ADDP 00.6

EXECUTIVE SERIES

ADDP 00.6

LEADERSHIPAustralian Defence Doctrine Publication 00.6 is issued for use by the Australian Defence Force and is effective forthwith.

A.G. HOUSTON, AO, AFCAir Chief MarshalChief of the Defence Force

Australian Defence HeadquartersCanberra ACT 2600

22 March 2007

© Commonwealth of Australia 2007

This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the Australian Government Department of Defence.

Announcement statement—may be announced to the public.

Secondary release—may be released to the public.

All Defence information, whether classified or not, is protected from unauthorised disclosure under the Crimes Act 1914. Defence information may only be released in accordance with the Defence Security Manual and/or Defence Instruction (General) OPS 13–4—Release of Classified Defence Information to Other Countries, as appropriate.

ADDP 00.6First edition 2007

Sponsor Commander Australian Defence College

Developer Director Centre for Defence Leadership Studies

Publisher Defence Publishing ServiceDepartment of DefenceCANBERRA ACT 2600

Defence Publishing ServiceDPS: September 2007

ADDP 00.6

FOREWORD1. Australian Defence Doctrine Publications (ADDP) and Australian Defence Force Publications (ADFP) are authorised joint doctrine for the guidance of Australian Defence Force (ADF) operations. ADDP are pitched at the philosophical and high-application level, and ADFP at the application and procedural level. Policy is prescriptive as represented by Defence Instructions, and has legal standing. Doctrine is not policy and does not have legal standing, however, it provides authoritative and proven guidance, which can be adapted to suit each unique situation.

2. The aim of this publication is to guide the development of leadership in the ADF. This document describes the basic leadership tenets, principles, behaviours and considerations necessary for leadership in the ADF. While well founded leadership principles are included, the document’s purpose is to inform current military thought rather than present dogma for rigid application.

3. ADDP 00.6 is for all ranks interested in leading in the military. In particular, it is for individuals in their initial leadership role. The publication will also be useful for others wishing to broaden their understanding of the application of leadership in the joint, coalition and inter-agency environments.

4. This publication focuses on leadership. Although a distinction is drawn between leadership and the concepts of command and management, the inter-relationship between these three concepts is not explored in depth within this publication. The publication then focuses on the two major functions of leadership, namely leading people and leading the organisation. Under these headings the publication examines values based leadership, the principles for leading people, the effects of leadership on ADF culture, leadership development and the role of leaders and followers.

5. ADDP 00.6 represents a departure from previous single-Service publications on leadership in that it starts with the conceptual foundations for leadership and finishes with descriptions of how the ADF develops its leaders. Rather than present a collection of contemporary leadership theories, this publication commences with a workable description of leadership and then builds logically from this point to construct the values based approach to leadership used in the ADF.

6. In chapter 1—‘On leadership’, the publication describes the process of leadership as it would be observed anywhere. This description of process is far from exhaustive, but it outlines the essential components of any leadership relationship. ADDP 00.6 builds on this foundation in chapter 2—‘Leadership in the military’ by describing what is different about leadership in the military to leadership in civilian society. Importantly, these differences are additional to the components already identified—they are not replacements. The publication then moves to leadership in the ADF and describes the two

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leadership functions of leading people in chapter 3—‘Leading people in the Australian Defence Force’ and leading the organisation in chapter 4—‘Leading the organisation—strategic leadership’. Once again, these functions share much with leadership in open society and leadership in other militaries. Any differences, and there are some stark ones, generally highlight the various cultures within the ADF rather than suggest that leadership in the ADF is somehow unusual or unique. As would be expected with such a popular concept, leadership in the ADF has far more in common with other organisations and militaries than it has in variance.

7. Certain themes and principles thread through most chapters. The exception is chapter 5—‘Contemporary issues for leaders’ in which some controversial leadership issues are introduced. Cultural alignment, gender, diversity and adaptive change in the ADF are examined, along with some dysfunctional leadership behaviours that can surface within the ADF.

8. Like leadership itself, this publication sets out to influence members to adopt desired values, principles and behaviours by showing a logical connection between leadership and the Defence mission. Although a description of strategic-level leadership is given, the guidance within this publication focuses upon the operational-level issues of leadership in the ADF. Chapter 6—‘Developing Australian Defence Force leaders’ brings this focus into sharp relief by discussing and describing the development of ADF leaders up to Lieutenant Colonel (equivalent) level. This is not to say, however, that there is nothing in this publication for senior officers and their staff. Leadership development of the next generation is a strategic leader responsibility. Continued review and reflection upon the material in this publication will ensure its ongoing relevance.

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AMENDMENTSProposals for amendment of ADDP 00.6 may be initiated in either of the following ways:

• By Minute to:

Director Doctrine and TrainingAustralian Defence Force Warfare CentreRAAF BaseWILLIAMTOWN NSW 2314

• By directly entering comment into the Joint Doctrine Development Environment (JDDE) found on the Australian Defence Force Warfare Centre (ADFWC) Defence Restricted Network (DRN) website (see http://intranet.defence.gov.au/VCDFweb/sites/adfwc/). Select JDDE on the ADFWC homepage and open either the ADDP or Australian Defence Force Publication (ADFP) block as required. Open the relevant publication and utilise the ‘Add Comment’ function button of the summary page for each publication.

Note

The second option is an addition to encourage feedback from the wider ADF, as well as encouraging use of the JDDE in general.

DOCTRINE PUBLICATION HIERARCHY

The hierarchy of ADDP and ADFP and the latest electronic version of all ADDP and ADFP are available on JDDE found on the ADFWC DRN website located at http://intranet.defence.gov.au/VCDFweb/sites/adfwc/.

This publication is current as at 22 March 2007.

This publication will be periodically reviewed and amended. The latest version of this publication is available on the ADFWC DRN website http://intranet.defence.gov.au/VCDFweb/sites/adfwc/.

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ACKNOWLEDGEMENTSThe Centre for Defence Leadership Studies acknowledges its intellectual debt in preparing this publication to a number of overseas military doctrinal publications, including:

Leadership in the Canadian Forces: Conceptual Foundations, Canadian Forces Leadership Institution, 2005

United States Army Field Manual No 1, Departments of the Army, Washington, DC, 2005

United Kingdom Ministry of Defence, Soldier Management: A Guide for Commanders, 2004

Singapore Armed Forces Centre for Leadership Development, Spirit and System: Leadership Development for a Third Generation SAF, 2005

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CONTENTSPage

Foreword iiiAmendments vContents ixList of Figures xiiiList of Tables xv

CHAPTER 1 ON LEADERSHIP

INTRODUCTIONDefining leadership 1.2Issues with leadership definitions 1.3Leadership components, or what makes

something leadership 1.7A definition of leadership 1.8Leadership—a common occurrence 1.9Leadership versus management 1.11Power, authority and influence 1.13Key leadership considerations 1.16Leadership theories and models 1.21CONCLUSION

Annexes:A. Leadership definitions used by the militaryB. Emotional intelligenceC. Traits and leadership potential

CHAPTER 2 LEADERSHIP IN THE MILITARY

INTRODUCTIONRequirements of service 2.4Leadership versus command 2.6Leadership in the military 2.13Leadership on operations 2.24Military ethos 2.31Mission command 2.41CONCLUSION

CHAPTER 3 LEADING PEOPLE IN THE AUSTRALIAN DEFENCE FORCE

INTRODUCTIONResults through people 3.3Evolution of Australian Defence Force leadership style 3.6Australian Defence Force values 3.9

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Values based leadership in the Australian Defence Force 3.11

Australian Defence Force culture 3.13Different Service cultures and realities 3.17Australian Defence Force leader responsibilities 3.19Leading Australian Defence Force people on operations 3.21Values based behaviour 3.25Defence Leadership Framework (foundational) 3.26Leadership capabilities 3.28THE DEFENCE LEADERSHIP MODELPerformance principles 3.30Leadership and retention 3.31TEN PRINCIPLES FOR LEADING

AUSTRALIAN DEFENCE FORCE PEOPLECONCLUSION

CHAPTER 4 LEADING THE ORGANISATION—STRATEGIC LEADERSHIP

INTRODUCTIONStrategic leadership defined 4.2Australian Defence Force strategic leaders 4.6The purpose of strategic leadership 4.8The role of strategic leaders 4.12Development of strategic leaders 4.15Strategic leader capabilities 4.19CONCLUSION

Annex:A. Defence leadership framework for One–Star

level

CHAPTER 5 CONTEMPORARY ISSUES FOR LEADERS

INTRODUCTIONCultural alignment 5.2Dysfunctional leadership behaviours 5.15Diversity 5.22Adaptive change 5.28CONCLUSION

CHAPTER 6 DEVELOPING AUSTRALIAN DEFENCE FORCE LEADERS

INTRODUCTIONLeadership potential, motivation and development 6.4

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LEADERSHIP DEVELOPMENT IN THE AUSTRALIAN DEFENCE FORCE

Formal leadership training 6.10Values inculcation through the affective domain 6.13Defence Leadership Framework (capability areas) 6.17Australian Defence Force leadership continuums 6.24Leadership assessment 6.29CONCLUSION

Annexes:A. Leadership theory and model selectionB. Description of Australian Defence Force

continuum of leadership courses

Glossary

Acronyms and Abbreviations

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LIST OF FIGURESFigure Title Page

1–1 Key leadership consideration 1–91–2 Functional leadership model 1–101–3 An organisation’s culture will determine who will lead

and what leadership styles and behaviours are acceptable 1–13

1–4 Responsible followers must exercise judgement and not just blindly follow a leader come what may 1–18

2–1 Schematic of moral leadership 2–82–2 Pre-deployment work up training turns the unfamiliar

into the familiar by allowing members to prove to themselves that they can accomplish likely tasks 2–11

2–3 Values such as care, compassion and respect form the basis for sound leadership 2–15

3–1 Leadership at sea, where the captain is the ship 3–103–2 Australian Defence Force leaders look for

opportunities to improve the odds in their favour and build resilience in themselves and their team 3–14

3–3 The Defence Leadership Model 3–17

4–1 Strategic leaders shape capability and create conditions for success 4–5

4–2 Navy’s Sea Change Program—an example of strategic leadership 4–8

4–3 Executive construct of the Defence Leadership Framework 4–13

5–1 Leaders must feel respected and proficient enough to assertively communicate resource implications to superiors 5–5

5–2 Navy has the highest proportion of female members at approximately 17 per cent; on the other hand, Navy has the lowest proportion of members with non-English speaking backgrounds at seven per cent 5–10

6–1 Integrating Defence leadership 6–96–2 Leadership capability areas 6–96–3 Effective military leadership training must replicate

as accurately as possible the psychological and physical demands likely to be encountered during operations 6–12

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LIST OF TABLESTable Title Page

1–1 Comparison of leadership and management behaviours 1–7

2–1 Comparison of leadership and command concepts 2–3

3–1 Defence performance principles and leadership behaviour 3–19

4–1 Comparison of leading people and leading the organisation 4–2

6–1 Defence Leadership Framework capability descriptions 6–10

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CHAPTER 1

ON LEADERSHIP 1

INTRODUCTION 1.1

1.1 This chapter focuses on the concept of leadership in its broadest sense. The chapter identifies the fundamental characteristics of leadership as it would be practiced anywhere in the world—either in McDonalds, the Commonwealth Bank or in a rural bushfire fighting unit. The chapter will outline the leadership characteristics and behaviours that are common to all leadership relationships, be that relationship an elected captain within a volunteer fire fighting team or a supervisor within a small factory.

Defining leadership 1.2

1.2 Leadership is a much debated topic. There are more than 13 000 books on the subject that range across the academic disciplines from anthropology to theology. Academics have reported some 220 separate

Executive summary

• Defining leadership is problematic but necessary for doctrinal deliberations.

• Leadership is more about influence than authority or power. Ideally, leadership influence should be non-coercive.

• There are two leadership functions in any organisation; leading people and leading the organisation.

• Management and leadership are different concepts that generate different behaviours.

• Leadership is a relationship involving followers that is affected by context and situation. Leaders inspire willing commitment.

• The leadership process is a means to an end, that end being change.

• Trustworthiness, good communication skills and professional competence are three of the many attributes of effective leaders.

• Organisations need both transactional and transformational leaders.

The larger topic of which leadership is a subtopic is the accomplishment of group purpose...

J.W. Gardner, 1990

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definitions of leadership. Annex A to this chapter records 16 different definitions of leadership drawn solely from Australian and overseas military doctrine and texts. In order of their published appearance, the following are four of the more widely cited leadership definitions:

• Leadership is no more than exercising such an influence upon others that they tend to act in concert towards achieving a goal which they might not have achieved so readily had they been left to their own devices. (N. Dixon, 1976)

• Leaders inducing followers to act for certain goals that represent the values and the motivations—the wants and needs, the aspirations and expectations—of both leaders and followers. (J.M. Burns, 1978)

• Leadership is an influence relationship among leaders and followers who intend real changes that reflect their mutual purposes. (J. Rost, 1993)

• Leadership is a sociological phenomenon (a process) involving the intentional exercise of influence exercised by one person over one or more other individuals, in an effort to guide activities toward the attainment of some mutual goal, a goal that requires interdependent action among members of the group. (Pierce and Newstrom, 2003)

Issues with leadership definitions 1.3

1.3 One reason for the plethora of leadership definitions is that the term itself is used in a variety of ways. Leadership is frequently defined as a virtue or a characteristic of a person. This is most often seen when leadership is defined as an ability or a capacity within someone such as the ability to inspire loyalty, respect and confidence or the capacity to identify and define organisational goals. Leadership definitions that focus on the characteristics or virtues of the leader, although popular with historians and those who subscribe to the trait theory, say little of the leadership situation or the role of followers.

1.4 Allied to the above are leadership definitions that describe a category of behaviour such as influencing people or directing, motivating and enabling others. Such definitions are popular with trainers and developers because they point to relevant leader competencies, but again these definitions tend to ignore the role of followers. Even more simplistic is defining leadership as an attribute of a position such as the leader or the officer in charge. Simply holding high office or a position of authority does not mean the office holder automatically displays leadership behaviour.

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1.5 Most commonly, leadership has been defined as a process, as in the definitions given above. Such definitions attempt to acknowledge the possible range of situations and the role of the follower in the process. Nevertheless, these process or relationship definitions tend not to differentiate between leading people and leading the institution. Within large organisations it becomes apparent that there are two different leadership functions, namely the function of leading people—or close leadership—and the function of leading the institution—or distant leadership. Close leaders have regular face-to-face contact with their group. A close leader’s personal example and behaviour is the major factor in influencing the group. Examples of close leaders include teachers in the school environment and platoon commanders in the military environment. On the other hand, distant leaders do not have regular contact with those they wish to influence but rather project their ideas and vision through a variety of media. Distant leaders also affect the behaviour and performance of others through purposeful alterations in organisational systems and environmental conditions. Examples of distant leaders include chief executive officers of large companies and prime ministers of countries. One leadership function does not exclude the other. Distant leaders can clearly also have close leadership relationships with their staff and direct reports.

1.6 All the above ways in which the term leadership is used have complicated attempts to come up with a single, all-encompassing definition of leadership. Simple definitions are generally value-neutral and make no distinction about what might be effective or ineffective leadership. On the other hand, more complicated definitions tend to be context specific and overly prescriptive.

Leadership components, or what makes something leadership 1.7

1.7 Despite the large number of definitions of leadership, a number of components are common to most. Six of these components appear to be the essence of leadership and each is required before a process can rightfully be called a leadership relationship. These six essential components are outlined below:

• Influence. Leadership is about someone influencing, motivating or inspiring others. Most commentators believe that influence in the leadership relationship is multi-directional and is not restrained by position. Some authors believe that these influence behaviours must be non-coercive. (J. Rost, 1993)

• Followers. Other people aside from the leader are a necessary component of leadership. Some commentators also stress that followers have responsibilities and obligations to leaders. These commentators believe that responsible followers must exercise choice, in other words, a responsible follower will choose dissent when

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faced with leadership influence that the follower believes is unlawful or unethical.

• Goal. Leadership also has something to do with a mutual goal, mission or vision. If there is no mutual goal, mission or vision then it is unlikely that a group will form or stay together. Nevertheless, the goal or mission may not be grand or visionary but may be as simple as to survive in the current environment, to co-exist as a group or to win a game of volleyball. Other commentators imply that the goal or vision must be significant, that it must represent a real change, change that transforms both leader and follower to higher levels of motivation and morality. (J.M. Burns, 1978)

• Purposeful action. Leadership involves doing something or taking action towards the successful achievement of the group’s goal. Although achievement is seen by some as the hallmark of leadership, other commentators believe it is the striving for achievement that is characteristic of leadership. Sir Ernest Shackelton may have failed to reach the South Pole but most would agree that his actions over the course of the failed expedition displayed outstanding leadership.

• Consent. Another component of leadership has to do with gaining the consent of the followers. Some definitions emphasise the willingness of followers while other definitions focus on the outcomes required. Left unstated is the amount of pressure a leader can bring to bear on a follower. In some contexts the leader is expected to use pressure as required to achieve the goal. In other contexts, followers will resist force and coercion. Clearly this is a major issue within the military environment and is addressed further in chapter 2—‘Leadership in the military’.

• Ethical dimension. Related to follower willingness or conviction is the concept that leadership has a moral or ethical component. Followers see the difference between striving for a goal that they believe to be ethically sound (a justifiable war) and one that is ethically bankrupt (exterminating a race of people). This distinction is made to differentiate between those leaders that are influential and visionary but morally corrupt and those that are equally influential and visionary but morally sound.

A definition of leadership 1.8

1.8 For the purpose of this doctrine and taking into account the six essential components of leadership identified above, leadership is defined as the process of influencing others in order to gain their willing consent in the ethical pursuit of missions.

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Leadership—a common occurrence 1.9

1.9 Leadership as described above occurs every day at every level of society. When a hockey team member suggests a different form of goal defence to his or her team, they have embarked on an everyday leadership challenge. The leader may outline a plan and attempt to influence other team members of its merit. Individual team members will develop some image of what it is they are being asked to do and may even suggest alterations to the plan. Importantly, the leader does not necessarily have to be the coach or a person in some sort of authority position.

1.10 These same components of leadership are also on display every Australian summer within the average rural bushfire fighting unit. Even though this situation may involve extreme danger and the risk of death, the group is bound by common purpose. The unit captain will influence and motivate his or her crew, largely by emphasising their mutual goal of saving property, but also by extolling the virtues of community service. The largely volunteer crew will gain confidence and respect for their captain after each successful practice session or call out to fight fires. The influence exerted by the captain is not necessarily based on authority since the crew are willing participants with the option to withdraw from the unit. Nevertheless, they all stick together under great danger because of a clear mutual purpose and their bonds of community spirit.

Leadership versus management 1.11

1.11 For many years there has been a running argument about the difference between leaders and managers with managers generally coming off second best. Managers are often disparaged as status quo rule followers, while leaders are seen as groundbreaking heroes. In reality, many members of large organisations perform both management and leadership functions. Management has been defined as ‘the process of planning, organising, directing and controlling organisational resources in the pursuit of organisational goals’ (Pierce and Durham, 1980). In this definition, no mention is made of purposeful influence or the willingness of followers. People are seen as resources to be organised, directed and controlled. Management is also based on formal organisational authority and entails responsibility for a broad range of functions that have traditionally included planning, problem solving, decision making, organising, informing, directing,

Leadership can be episodic or an ongoing part of a person’s role in life. It can ebb and flow in our daily lives in an accidental way. If we are discussing with friends where we will go for a bite to eat at lunch, the one taking the initiative to suggest a restaurant has, for that moment, acted as a leader.

General Peter Cosgrove (retired), 2006

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allocating resources, and controlling. Some definitions of management also include the function of leading1 while some definitions of leadership include the activities of directing and controlling (see annex A to this chapter). Although there is clearly some overlap between the two terms, the following differences between leadership and management are offered:

• Management requires an organisational structure, leadership does not.

• Management can only operate downwards, leadership operates in all directions.

• Following the advice of managers is organisationally recommended, following the advice of leaders is discretionary.

1.12 There are common themes that run through the writings of authors who attempt to differentiate between management and leadership. Leadership is generally seen as an influence process that energises followers while management is a control process aimed at bringing coordination and efficiency to people and organisations. For the purpose of clarity and to avoid overlap within this doctrine, the activities of directing and controlling are seen as more to do with management than they are to do with leadership.

1 As in the book Management: A Pacific Rim Focus by Bartol, Martin, Tein and Mathews, 2005.

There is a difference between leadership and management. The leader and his men who follow him represent one of the oldest, most natural and most effective of all human relationships. The manager and those he manages are a later product, with neither so romantic nor so inspiring a history. Leadership is of the spirit, compounded of personality and vision: its practice is an art. Management is of the mind, more a matter of accurate calculation, of statistics, of methods, timetables and routines; its practice is a science. Managers are necessary; leaders are essential.

Field Marshal Sir William Slim, Governor General of Australia, 1953–60

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Table 1–1: Comparison of leadership and management behaviours2

Power, authority and influence 1.13

1.13 The concept of influence appears central to leadership. Related to influence is the part played by power and authority. Power is normally defined as the capability of doing or affecting something but has been extended in management texts to mean the ability to change the behaviour, attitudes and beliefs of others. In this management sense, the five common bases of power include reward power, coercive power, legitimate power, referent power and expert power3. Research has consistently found that referent and expert power (also referred to as inspirational appeal and rational persuasion) are most effective for influencing task commitment. Conversely, legitimate and coercive power (enforced compliance and punishment for inappropriate behaviour) are least effective because over time, they diminish the ability of

Leadership behaviours Management behaviours

• Visioning—developing and communicating the vision (B. Bass, 1996), developing and communicating commanders’ intent

• Motivating (inspiring) people (J. Kotter, 1990)

• Influencing change in people, organisations (J. Rost, 1993)

• Setting an example, acting as a role model (B. Bass, 1996)

• Engender faith, trust , respect (B. Bass, 1996)

• Subordinates identify with leader (B. Bass, 1996)

• Convince individuals they can perform beyond their expectations (B. Bass, 1996)

• Planning and budgeting (J. Kotter, 1990), business planning, allocating forces and resources

• Organising and staffing (J. Kotter, 1990)

• Controlling and problem solving (J. Kotter, 1990)

• Producing goods, providing services (J. Rost, 1993)

• Supervising

• Decision making

• Monitoring activities

• Coordinating

• Administrating

• Controlling

2 Adapted from article ‘Distinguishing the Concepts of Command, Leadership and Management’ from the book Generalship and the Art of the Admiral, edited by B. Horn and S. Harris, 1981.

3 See Australian Army’s Land Warfare Doctrine (LWD) 0–2—Leadership for definitions and discussions on the forms of power.

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others to improve themselves. It stands to reason that if leadership is about inspiring willing commitment, then coercive and legitimate power is less useful than other forms of power. Even expert and reward power have their limitations when it comes to influence. A doctor may have expert power over his or her patient and an employer may have reward power over a paid employee. Both doctor and employer may use their power in order to make individuals do as they require but in both cases the hold over the individual is limited by the patient’s need for information and the employee’s need for money. Neither of these relationships could be considered examples of leadership.

1.14 Authority has been defined as ‘conferred power to perform a service’ (R. Heifetz, 1994). Legitimate authority, such as that given to an appointed commander or manager, will include certain obligations and responsibilities that are supported by established rules and procedures. The commander or manager has the legitimate authority to enforce compliance with established rules and procedures through the threat of punishment. Although sanctioned and at times completely appropriate, the use of such legitimate authority is not an example of leadership but rather an example of command or management. At least one author has noted, ‘Confusion between leadership and official authority has a deadly effect on large organisations. Corporations and government agencies everywhere have executives who imagine that their place on the organisation chart has given them a body of followers. And of course it has not. They have been given subordinates. Whether the subordinates become followers depends on whether the executives act like leaders’ (J. Gardner, 1990). This issue is revisited in chapter 2.

1.15 The influence referred to in the leadership process is an emotional influence most closely related to referent power. Followers commit to do what leaders require of them not necessarily because of formal authority but because of trust and belief. Two people can have identical formal authority and power and yet one is able to achieve so much more than the other. The head of one hospital may have the same authority and power (control over resources) as the head of another hospital and yet one can achieve remarkable results while the other flounders. The above and beyond effort from the staff in one hospital when compared to the other is not necessarily related to more pay or better equipment. The difference between the two equally resourced hospitals in this scenario is most likely to be one of profound persuasion and appeal from hospital leadership. Leadership is more about influence than authority or the various forms of power.

Key leadership considerations 1.16

1.16 The above discussion looks at leadership as a process and suggests some of the elements that are necessary before a process can be called leadership. Much more has been written on the factors that impact upon the

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leadership process. These factors include the leadership function, situation, culture, the leader’s and follower’s traits, values, behaviours, competencies and style. The more important of these factors are discussed below under the general headings of ‘leadership outcomes’, ‘leadership context’, ‘the leader’ and ‘the follower’.

Figure 1–1: Key leadership consideration

1.17 Leadership outcomes. Leadership is a means to an end. Leadership is about change—change from where the group or team is to where the group or team wants to go. If there is no goal, objective or vision then there is nothing to move towards and therefore there is no requirement for leadership. The considerations that fall under this heading include the leadership function, values based leadership and the ethics of leadership.

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Figure 1–2: Functional leadership model

• Leadership function. Leadership is at the service of the collective; leadership is about relationships and leadership is about achieving something that would normally be beyond the individual. These three things, the team, the individual and the task4 are often cited as the three most important leadership considerations. Through the eyes of the captain of a rural bushfire fighting unit mentioned previously, these three considerations may well be all that the captain is concerned with. In simple terms, the captain’s task is to extinguish the bushfire; the team consists of the mix of people who combine best to extinguish the fire, and the individual represents all the different combinations of fear, anxiety, experience and training in each and every member of the team. Although quite distinct in themselves, the three areas of task, team and individual overlap and action taken to satisfy one need will

4 Adapted from John Adair’s Functional Leadership Model, 1973.

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affect one or both of the other needs. Too strong a focus on the task of extinguishing the fire could result in the injury or even death of an individual; too strong a focus on an individual could result in the unnecessary loss of property. The groups needs in relation to resources, rest, training and feedback on performance requires careful consideration by the captain, in order to maintain ongoing group morale.

• Values based leadership. The behaviour of a group in pursuit of a goal is generally guided by external rules and the group’s internal values. The advantage of values over rules as a guide to group behaviour is the adaptability they provide in ambiguous situations. The firefighting unit may well use an appliance in an unconventional manner to extinguish a blaze if the group valued initiative above procedure. Within a group or organisation, values based leadership means that group members will be guided in their decisions and actions by the group’s agreed (and hopefully their own) values. Values based leadership, therefore, is a general leadership notion for any organisation where the behaviour of leaders reflects their values and sets the example for others in the organisation. Values based leadership, however, does not automatically mean that leadership outcomes are universally good. Values based leadership as a concept can apply equally to a terrorist organisation or to a hospital. The difference in how outcomes are achieved within these two groups, however, comes down to the values that form the basis of their leadership. Both groups could well share the values of courage, teamwork and initiative. It is unlikely, however, that a terrorist organisation would embrace the values of compassion, freedom, tolerance and the respect and dignity of all persons.

• Ethical leadership. The use of the phrase ‘values based leadership’ implies the consideration of ethics, or what one ought to do, in the leadership process. The point here is that it is not the quality of the purposeful influence process (value-neutral leadership) that determines a noble outcome but rather the quality and substance of the values that form the basis for that purposeful influence process (values based leadership). Some commentators have referred to the difference in these two concepts as the difference between positive and negative leadership. Positive leadership is seen to be characterised by socially accepted values such as integrity, honesty and humility while negative leadership is characterised by self-centred personalised values such as elitism, individualism and cunning. This positive/negative concept has previously been referred to as the moral or ethical component of leadership and is examined in more detail in chapter 5—‘Contemporary issues for leaders’.

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1.18 Leadership context. Different situations call for different leader and follower behaviour. A single leadership approach will not serve all individuals. Under this heading the considerations of situation, culture and organisational values are examined.

• Situation. Leadership is a contextual phenomenon. The particular time, place or situation that a group or leader finds itself in is a key determinate of who and how someone will lead. Context can include the environment, the prevailing culture, the follower’s abilities and attitudes, and the nature of any problem encountered. History shows some examples where a great wartime leader has faltered in peacetime. At a more mundane level, groups change their allegiance when circumstances indicate it is prudent to do so. If a ship’s crew found themselves lost on a jungle island, they would follow the individual who had knowledge of the jungle and a way out, no matter what their normal position on board the ship is.

• Culture. Allied to context but far more pervasive and harder to change, is a group’s or organisation’s culture. Derived from the organisation’s beliefs, traditions, assumptions and values, an organisation’s culture will determine who will lead and what leadership styles and behaviours are acceptable. For any member who wants to lead within an organisation, it is important that they understand and appreciate the culture that exists within that organisation. In plain language, organisational culture is the ‘way things are around here’, and not necessarily the way things should be. Ideally, an organisation’s culture is an accurate reflection of the espoused values of that organisation. Normally members do not join (or at least persist in) organisations where the culture opposes their own values and beliefs. Nevertheless, at the strategic level, leaders may attempt to align an organisation’s culture so that it reflects the values that they (the leader) espouse. In this respect, strategic leadership can be said to mould or shape an organisation’s culture.

HISTORICAL EXAMPLE—SITUATION EFFECTS LEADERSHIPBean recorded that Bennett, as brigadier-general, was ‘a young front-line leader’...he was more suited to the command of a brigade under the controlled conditions of the Western Front of 1918 than he was the command of a division fighting the Japanese in Malaya more than twenty years later...he was hardly the very model of a modern major-general.

From The Commanders edited by D. Horner

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Figure 1–3: An organisation’s culture will determine who will lead and what leadership styles and behaviours are acceptable

• Organisational values. ‘Shared values are the bedrock on which leaders build the edifice of group achievement’ (J. Gardner, 1990). Organisations within societies identify values that they believe will lead to behaviours that will benefit the organisation’s purpose or aspirations. Organisations see values like integrity and honesty as important because they believe values like these guide behaviour to a desirable end state. Values are not seen by organisations as replacements for rules but hopefully values act alongside rules as correct-path-beacons in ambiguous situations where the strict application of rules is not obvious. Much has been written about organisational values and the importance of aligning an individual’s values to those of the organisation. This recognises that there may be a difference between home and workplace values. The leadership aspect to this notion has two related elements. Firstly, a leader or follower can’t reasonably espouse organisation values and then be seen to operate by a different (or opposing) set of values. Put simply, leaders or followers are immediately compromised if they espouse honesty and are then caught being untruthful. Secondly, all leaders within an organisation have a role to play in aligning the values of members to the values espoused by the organisation. If the values of the members do not align with the values of the organisation, then dissonance will result between the member and the organisation, resulting in less than optimum performance from both.

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• There are some that believe single word values are not effective in aligning member behaviour to what is organisationally desired, largely because single word values, although easily remembered, are not understood or at best are open to broad interpretation. The value ‘loyalty’ is an example where a member may show loyalty to his or her immediate peers by covering unethical peer behaviour from the view of the greater organisation. Some aspects of the Australian concept of mateship may also confuse the notion of loyalty to the greater organisation with loyalty to a friend. Amplifying comments or statement style values obviously narrow the range of interpretation. Codes of conduct or examples of behaviours (that match the value under consideration) further reduce the chance of misinterpretation.

1.19 The leader. Traditionally, there has been a strong focus on the attributes, qualities and capabilities of the leader. As such, there are many considerations that relate to the make-up of the leader. These considerations include the leader’s character, competence, values, motivation to lead and leadership style.

• Character and competence. A leader’s behaviour will be closely observed by his or her followers. Countless organisational studies have indicated that a worker’s immediate supervisor has more influence on that worker than any other person in that organisation’s hierarchy. Appropriate leader behaviour will engender trust and credibility in the eyes of followers. This perspective recognises that the foundation of leadership is based on individual character and competence. Character, built on an individual’s values and attitudes, includes such things as social capacity, interpersonal skills, personal integrity, conscientiousness, self-assurance and trustworthiness. Many of these social awareness character traits are combined in what is now being called emotional intelligence, (see annex B to this chapter). Clearly it is a leader’s character that best engenders follower trust. Competence, on the other hand, includes professional mastery, cognitive ability, problem solving, decision making and communication skills. A leader’s perceived and demonstrated competence has a direct bearing on their credibility as viewed by followers.

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• A key flow-on from this character and competence perspective is that individuals must first develop themselves before they place themselves to lead others. Individuals who spend time developing professional mastery will at the same time be laying the foundations for credibility. Individuals who spend time developing their integrity will at the same time be laying the foundation for trust. The concept that leaders need both character and competence is a widely held view that has been expressed by both academia and the military. The United States Army’s shorthand expression ‘Be-Know-Do’ could be equally re-written as ‘Character-Competence-Action’.

• Leader’s values. Values are beliefs about what is considered centrally important in life. Values guide people’s thoughts, decisions, behaviours and interactions. In the Australian context, the Federal Government has identified nine value sets that are taught in Australian schools—care and compassion, doing your best, a fair go, freedom, honesty and trustworthiness, integrity, respect, responsibility and lastly, understanding, tolerance and inclusion5. The Government believes that encouraging its future adult citizens to adopt and live by such values will lead to a more cohesive and purposeful society. In a sense, the Government is outlining an ethical framework that will help guide individuals to assess the difference between right and wrong.

5 From Values for Australian Schooling, Department of Education, Science and Training website, 2006 (www.valueseducation.edu.au).

HISTORICAL EXAMPLE—A LEADER’S CHARACTERDuring the New Guinea campaigns, where camp sites were rough and facilities invariably rudimentary, Scherger (later Air Chief Marshall Sir Fredrick) moved among his troops with an easy camaraderie, often working stripped to the waist or wearing a bush shirt that carried no rank badges. Concern for the welfare of his men was always paramount, but while he was particularly mindful of the physical and psychological problems of flying personnel, he was a martinet when it came to pilots, trainee or otherwise, who needlessly stressed aircraft in unnecessary flight manoeuvres ...A savage dressing down by Scherger, brutally stressing that trainees were available in endless numbers while machines were in short supply, remains a vivid memory for some very senior Australian Airmen.

From The Commanders edited by D. Horner

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• Trustworthiness. Trustworthiness is one Australian value or trait that deserves special attention. Much has been written on leadership traits such as self-confidence, intelligence and adaptability. (See annex C to this chapter). Most of these are internal to the leader and are hard to observe from the follower perspective. Trustworthiness, on the other hand, is a trait that will be quickly assessed by followers, and for that reason alone, is perhaps the most import leadership character trait. ‘Trust in leadership is positively related to individual and group performance, persistence in the face of adversity and the ability to withstand stress. A climate of trust between leaders and the led is also positively related to such qualities as conscientiousness, fair play and cooperation. Whether trust is based mainly on demonstrated leader competence, the care and consideration for others displayed by the leader, or on perceptions of a leader’s character (integrity, dependability and fairness), the evidence supporting this common understanding is compelling and robust’6.

6 From Leadership in the Canadian Forces—Doctrine, Kingston, Canadian Forces Leadership Institute, 2005.

HISTORICAL EXAMPLE—TRUST IN LEADERTrust in one’s leader is no better illustrated than in HMAS HOBART’S miraculous survival on Black Sunday 15 February 1942. Under the command of Captain Harry Howden, Royal Australian Navy, the cruiser formed part of a combined strike force operating in the Banka Strait. The Japanese began their air attacks at 11 am and successive waves of enemy bombers continued on until darkness. HMAS HOBART was the most targeted of all the ships that day, on one occasion so blanketed by spray that a consort piped ‘Stand by to pick up HMAS HOBART’S survivors’ before the cruiser steamed clear. Throughout the ordeal Howden remained on the bridge calling for the most violent manoeuvring and relying on an instant response from his engineers. Considering it was the heaviest and most concentrated aerial bombing the ship ever experienced, the toll exacted was remarkably small. All in HOBART’s ship’s company knew that they owed their lives to Howden’s superb performance. As one chief petty officer later recounted: ‘Only our Captain’s split-second manoeuvring saved us time and again. ...The confidence we had in him was as strong as our faith in the ship’.

Adapted from The Face of Naval Battle edited byJ. Reeve and D. Stevens

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• Motivation to lead. Individual motivation is a requirement for leadership. An individual has to want to lead in order to turn any leadership potential that they may have into reality. Some authors believe that leaders require a certain amount of narcissism to drive them towards leadership positions (Kets de Vries, 2001). This desire should be balanced with the realisation that with leadership comes responsibility. Someone who wants to lead must accept additional burdens, increased accountability and the likelihood of being constantly challenged and tested. Although someone may be assigned a leadership position with associated authority, they are unlikely to wield influence from that position without their own motivation to lead.

• Leadership style. In a practical sense, leaders employ a variety of styles according to the situation within which they find themselves. In an office environment, a supportive style that considers the needs of employees is likely to be more effective than a directive style. Conversely, in a time critical or ambiguous situation, a directive style that clarifies the path ahead is more likely to motivate confused onlookers than a participative approach. Ideally, the influence behaviours that make up a certain leadership style should be consistent with the concept of leadership. Although appropriate in some social settings, a laissez faire style that accepts a complete absence of control is unlikely to provide purposeful influence. Equally, a total control authoritarian style, even though appropriate in some situations, is unlikely to generate willing commitment from followers.

• Leadership style has a direct bearing on what has become known as the transactional–transformational range of leadership. Transactional leadership is an exchange relationship where a subordinate performs tasks assigned by a superior in return for rewards such as pay and promotion. Transactional leaders are not necessarily concerned with subordinate needs and development—and for this reason some authors see the transactional style as management rather than leadership (Kets de Vries, 2001). Transformational leaders motivate followers by presenting them with compelling vision and inciting them to progress beyond personal interests for the good of the unit. Transformational leadership is said to be characterised by charisma, intellectual stimulation, inspirational motivation and individualised consideration (Bass, 1998). More recent examination of the transformational–transactional dichotomy indicates that both have their place in any organisation and that favouring one exclusively creates imbalance. Organisations do need leaders with vision, but they also need leaders and managers who finish the task at hand.

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1.20 The follower. By mid 2005, there were over 13 000 books published on leadership. At the same point in time, there were four books published on followership (K. Grint, 2005). Traditionally, studies on leadership have focused almost solely on leader attributes and leader behaviours. Nevertheless, leadership is a relationship that cannot exist without followers. Followership is not a passive activity for the meek and submissive. Followers have responsibilities and obligations to their organisation and to their leader. Responsible followers must exercise judgement and not just blindly follow a leader come what may. As outlined below, responsible followers shape leader behaviour, provide feedback on leader and group performance, and give or withhold consent when faced with difficult group decisions.

Figure 1–4: Responsible followers must exercise judgement and not just blindly follow a leader come what may

• Shape leader behaviour. Hersey and Blanchard (1982) have suggested that the personality and character of followers (be they lazy, competent, experienced and/or mature) will determine the style that the leader adopts (directive, coaching, delegating etc). Leaders may be required to change their behaviour to satisfy the needs of followers—in other words, followers shape leader behaviour. Competent followers with a clear vision of the goal will reject micromanagement or authoritarian leadership. Conversely, in unclear or ambiguous situations, followers will demand goal identification, path clarity and support. In life and death situations, followers want confident leader behaviour and care little for warm approval and consideration. In summary, followers also influence leaders in a leadership relationship.

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• Relationships that develop between leaders and followers in organisations impact on job satisfaction, organisational performance and turnover. In the transactional leadership process mentioned above, there is an ongoing exchange between the leader and the follower. This exchange is normally both economic (pay, awards, promotion) and social (privilege, esteem, trust) and open to some form of negotiation. Followers will pressure the leader for adjustment if they feel that the exchange is unfair or unbalanced. Follower satisfaction with the leader will be influenced by their perception of justice. Leaders are therefore required to make appropriate adjustments to their behaviour in order to achieve group cohesion.

• Follower feedback. Responsible followers will give feedback on a leader’s actions and decisions. A responsible follower will choose dissent when faced with leadership influence that the follower believes is unlawful, unsafe, oppressive or counter to the goals of the organisation. A confident leader will accept challenges to their decisions and will not see dissent as an attack on his or her character but rather use the dissent to re-evaluate any actions taken.

• Consent. Leaving aside the title ‘leader’ as a designator of a formal position, a person cannot become the leader of another unless the other accepts that relationship. This is much the same as the relationship of marriage which can only exist with consent from both parties. It is obvious that a supervisor at work or a prime minister of a country can move individuals in a particular direction, but they do not lead until they have achieved the acceptance of those individuals. When individuals or members of groups give unthinking or unwilling consent, they may be contributing to the demise of their organisation. There are many examples in history where such unthinking consent has resulted in disaster.

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Leadership theories and models 1.21

1.21 The first leadership theories to follow World War I were based on the leader’s possession of necessary personal qualities. This approach assumes that leaders share some common list of traits that can be identified and transferred, through training or development to others. Following World War II, the emphasis shifted from inner qualities to observable behaviours. Leaders were then thought to share common ways of saying and doing things, and that these could also be identified and transferred. By the 1960’s, the emphasis shifted to more complex models that involved greater flexibility and movement between behaviours of leaders, to accord with changes in situation. More recently, models are proposed that are based upon the effectiveness of reward or quasi-economic transactions between the leader and followers and the more charismatic approach in which the leader recognises and fulfils the higher order needs of followers.

1.22 The utility of leadership models is in explaining leadership theory and practice. Leadership models are used to explain and simplify many of the leadership considerations outlined above. For instance, John Adair’s model of functional leadership explains neatly the relationship between task, team and individual and is used extensively in initial leadership education. On the other hand the Hersey-Blanchard situational model includes leadership context and follower competency to suggest appropriate leadership styles. These and other leadership theories and models used by the Australian Defence Force are outlined in chapter 6—‘Developing Australian Defence Force leaders’. Further information on leadership theory is also contained in LWD 0–2.

HISTORICAL EXAMPLE—IRRESPONSIBLE CONSENTVice Admiral Sir George Tryon’s actions on 22 June 1893 caused the loss of his own flagship, the Victoria, after he insisted that the fleet, then split into two columns, turn towards each other in insufficient space. Despite being warned by several subordinates that the operation was impossible, Tryon insisted on its execution and 358 sailors were drowned—including Tryon. At the subsequent court martial of Rear Admiral Markham, on the Camperdown that rammed the Victoria, he was asked, if he knew it was wrong why did he comply? ‘I thought’ responded Markham, ‘Admiral Tryon must have some trick up his sleeve’.

From Followership: The Anvil of Leadership by K. Grint, 2005

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CONCLUSION 1.23

1.23 No single definition of leadership can hope to satisfy all students and practitioners of leadership. For the purpose of this publication, leadership has been described as the process of influencing others in order to gain their willing consent in the ethical pursuit of missions. Left unstated is how coercive this influence process can be, and to what extent the achievement of mission overrides all else, before the process is no longer leadership but rather management or command. Both these concerns will be visited in the following chapters. Nevertheless, what has been established is that leadership is a relationship between leaders and followers that involves trust, depends on the situation and is enhanced by having a shared set of values. Although certain behaviours are expected from both leaders and followers, there is no one best leadership style or a leader who excels in all circumstances.

Annexes:A. Leadership definitions used by the militaryB. Emotional intelligenceC. Traits and leadership potential

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Annex A to ADDP 00.6 Chapter 1

LEADERSHIP DEFINITIONS USED BY THE MILITARY A

1. The following definitions of leadership have been drawn from current Australian and overseas military doctrine and texts. The first nine are from Australian military doctrine and texts while the last seven are from overseas military doctrine and texts.

a. Leadership involves harnessing the energy, enthusiasm and skills of a group to achieve assigned organisational objectives in a range of work situations. In a practical sense, it involves:

(1) influencing peers and superiors,

(2) motivating and inspiring peers and subordinates, and

(3) directing and controlling subordinates. (Defence Instruction (General) PERS 10–8—Performance Appraisal Reporting in the Australian Defence Force)

b. The art of influencing and directing people to achieve willingly the team or organisational goal. (Australian Army Land Warfare Doctrine 0–2—Leadership, 2002)

c. Leadership involves the sometimes tangible, sometimes intangible things that inspire people, motivate them and convince them to act both individually and as members of a team in the pursuit of a goal or objective. (Chief of Navy Command Guide, 2004)

d. Leadership is about motivating people and the ability to influence others to achieve planned objectives professionally. (Royal Australian Navy’s Divisional Staff Handbook, 2003)

e. The ability to inspire loyalty, respect and confidence (Air Marshal D. Evans, in War: A Matter of Principles, 2000)

f. The direction given by going in front. (Air Vice Marshal E. Weller, in A Characterisation of Leadership and Command in the RAAF, 2000)

g. Leadership is about influencing others to gain their willing cooperation to achieve outcomes. (Dr James Warn—Australian Defence Force Academy, 2006)

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h. Military leadership is the projection of personality and character to get a force to do what is required of it. (Draft Australian Defence Doctrine Publication 00.1—Command and Control, 2005)

i. Leadership is of the spirit, compounded of personality and vision; its practice is an art. Management is of the mind, more a matter of accurate calculation, of statistics, of methods, timetables and routines; its practice is a science. Managers are necessary; leaders are essential. (Field Marshal Sir William Slim, 1957)

j. Leadership is defined as a process of influencing people to accomplish the mission, inspiring their commitment and improving the organisation. (Singapore Armed Forces Centre of Leadership Development, 2006)

k. Directly or indirectly influencing others, by means of formal authority or personal attributes, to act in accordance with one’s intent or a shared purpose. (Leadership in the Canadian Forces—Doctrine, 2005)

l. Directing, motivating and enabling others to accomplish the mission professionally and ethically, while developing or improving capabilities that contribute to mission success. (Leadership in the Canadian Forces—Doctrine, 2005)

m. Influencing people—by providing purpose, direction and motivation—while operating to accomplish the mission and improving the organisation. (United States Army Field Manual Number 1, 2005)

n. Leadership is influencing other people towards the achievement of shared goals. (L. Donnithorne, The West Point Way of Leadership, 1993)

o. Military leadership is visionary. It is the projection of personality and character to inspire those they command to do what is required of them. Skill in the techniques of leadership is the foremost quality in the art of command and contributes very largely to operational success. There is no prescription for leadership and no prescribed style of leader. Military leadership is a combination of example, persuasion and compulsion dependant on the situation. It should aim to transform and be underpinned by the ethos of mission command and a balance of military qualities and skills. Successful military leaders are those who understand

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themselves, the organisation, the environment in which they operate and the people that they are privileged to lead. (United Kingdom Ministry of Defence, Soldier Management—A Guide for Commanders, 2004)

p. Leadership is the phenomenon that occurs when the influence of A (the leader) causes B (the group) to perform C (goal-directed behaviour) when B would not have performed C had it not been for the influence of A. (W. Henderson, in Royal Military Academy’s Serve to Lead, 1985)

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Annex B to ADDP 00.6 Chapter 1

EMOTIONAL INTELLIGENCE B

1. Many of the elements of character that are desired in a leader, referred to briefly in paragraph 1.19, are covered in Daniel Goleman’s concept of emotional intelligence. Goleman concluded that emotional intelligence encompasses five fundamental competencies, namely:

a. Self-awareness. Knowing one’s internal states, preferences, resources and intuitions. This includes:

(1) Emotional awareness: recognising one’s emotions and their effects.

(2) Accurate self-assessment: knowing one’s strengths and limits.

(3) Self-confidence: a strong sense of one’s self-worth and capabilities.

b. Self-regulation. Managing one’s internal states, impulses and resources. This includes:

(1) Self-control: keeping disruptive emotions and impulses in check.

(2) Trustworthiness: maintaining standards of honesty and integrity.

(3) Conscientiousness: taking responsibility for personal performance.

(4) Adaptability: flexibility in handling change.

(5) Innovation: being comfortable with novel ideas, approaches and new information.

c. Motivation. Emotional tendencies that guide or facilitate reaching goals. This includes:

(1) Achievement drive: striving to improve or meet a standard of excellence.

(2) Commitment: aligning with the goals of the group or organisation.

(3) Initiative: readiness to act on opportunities.

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(4) Optimism: persistence in pursuing goals despite obstacles and setbacks.

d. Empathy. Awareness of others’ feelings, needs and concerns. This includes:

(1) Understanding others: sensing others’ feelings and perspectives and taking an active interest in their concerns.

(2) Developing others: sensing others’ development needs and bolstering their abilities.

(3) Service orientation: anticipating, recognising and meeting customers’ needs.

(4) Leveraging diversity: cultivating opportunities through different kinds of people.

(5) Political awareness: reading a group’s emotional currents and power relationships.

e. Social skills. Adeptness at inducing responses in others. This includes:

(1) Influence: wielding effective tactics for persuasion.

(2) Communication: listening openly and sending convincing messages.

(3) Leadership: inspiring and guiding individuals and groups.

(4) Change catalyst: initiating or managing change.

(5) Building bonds: nurturing instrumental relationships.

(6) Collaboration and cooperation: working with others toward shared goals.

(7) Team capabilities: creating group synergy in pursuing collective goals.

2. These five competencies encompass many of the desired components of team leadership and will be revisited in chapter 3—‘Leading people in the Australian Defence Force’.

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Annex C to ADDP 00.6 Chapter 1

TRAITS AND LEADERSHIP POTENTIAL C

1. Much has been written on leadership traits or the sort of qualities that must be inherent in a person before they can lead. Trait theory has generally proved to be a poor indicator of leadership ability, largely because it doesn’t take into account the equally important factors of leader motivation and development, the role of followers and the leadership situation. Nevertheless, certain psychological traits or capabilities, are both common in successful leaders and result in behaviours that are attractive to followers. The four most important of these traits or capabilities are:

a. Self-confidence. High self-efficacy, trust in own abilities, optimistic with internal locus of control.

b. Adjustment. Stable with low anxiety and the absence of neurosis, reliable and open.

c. Drive. Pro-social influence motivation, the desire for achievement, power, ambition, high energy, tenacity and initiative.

d. Cognitive ability. Intelligence; ability to integrate and interpret large amounts of information, knowledge of business and relevant technical matters.

2. Followers are attracted to people who display confidence, who are credible and who they can trust. Anybody who is neurotic or constantly anxious is unlikely to appear confident or attract followers. Conversely, people who have low levels of anxiety and high self-efficacy (a belief that they are capable of successfully completing assigned tasks) have the potential to attract followers. Followers are also more likely to be attracted to people who have a positive vision or goal for the future. Someone who is overly pessimistic with little drive is unlikely to attract followers. On the other hand, someone who is generally optimistic and hopeful for the future is said to have a psychological trait that shows potential for leadership.

3. Another psychological trait related to leadership potential relates to one’s locus of control. People with an external locus of control tend to believe in luck, tend to believe that most events in life are preordained and outside their influence. On the other hand, people with an internal locus of control believe that they are in charge of their lives and can control situations to suit their desired outcome. Followers are more likely to be attracted to someone who displays an internal locus of control (as opposed to an external locus of control) since that person appears to be more in charge of situations. People with an internal locus of control are better able to accept that change is something that they can shape and influence rather than change being an inevitable tidal wave over which they have no control. It is unclear if these

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characteristics caused the leadership success or were a consequence of that success. Nevertheless, these traits can be used to guide selection of leaders and subsequent leadership development programs.

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CHAPTER 2

LEADERSHIP IN THE MILITARY 2

INTRODUCTION 2.1

2.1 Accepting that leadership is an everyday occurrence and that it does not necessarily belong with a position or title, this chapter outlines what is different between leadership in the military—any military such as the United States Army, the Canadian Forces or the Australian Defence Force (ADF)— and leadership in civilian society. Part of the answer lies in the context or situation in which military leaders may have to operate. At home running the local volleyball team or on leave with the family, the leadership skills required of the service member are no different from those required of the rural bushfire fighting captain described in chapter 1—‘On leadership’. The

Executive summary

• The requirements of military service differentiate the profession of arms from civilian employment.

• By themselves, the requirements of service do not necessitate leadership but rather command.

• Command, compliance and discipline should not be confused with leadership.

• The moral component of fighting power is developed through leadership, rather than command.

• Morale is strongly related to the moral component of fighting power.

• Leadership in the military includes adapting to a variety of situations, ranging from peacekeeping support to joint warfighting operations.

• Leadership on operations includes dealing with member anxiety, stress and fear in battle.

• Military values help to suppress the fear in battle.

• Internalised values are the foundation for self-discipline.

• Mission command relies on self-discipline and team trust.

The qualities, characteristics and skills required in a leader are determined to a large extent by the demands of the situation in which he is to function as a leader.

R. Stogdill, 1948

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difference starts to emerge when the military member puts on their uniform. The difference becomes even more apparent when the member is required to lead on operations or in armed conflict.

2.2 Leadership in the military, like all leadership, concerns itself with the influence of members so that they willingly strive to ethically achieve assigned missions. Only military leaders, however, inspire member commitment throughout the lead-up to, and involvement in, operations. Military leaders support members so that they are able to confront and accept the moral component of operations. Military leaders encourage members so that they can deal with and suppress the fear of battle. Good military leaders put the needs of the mission and the concerns of the member before their own needs and concerns.

2.3 Leadership in the military should not be confused with command. The two concepts are most definitely linked through their mutual concern with the welfare and morale of members, but the term leadership and the term command are not interchangeable. Leadership is responsibility accepted, not authority granted.

Requirements of service 2.4

2.4 The mission to defend one’s country requires the maintenance of operationally capable forces with high levels of fitness, commitment, efficiency and discipline amongst their members. Certain inherent requirements which apply to servicemen distinguish the profession of arms from civilian employment. The Canadian Armed Forces refer to this distinction as ‘accepting unlimited liability’1. Accepting this liability means that all members understand that they are subject to being lawfully ordered into harm’s way under conditions that could lead to the loss of their lives.

2.5 The ADF lists eight inherent requirements of service (Defence Instruction (General) PERS 36–3—Inherent requirements of service in the Australian Defence Force) which include operational service, command and discipline, unrestricted service and regulation of lifestyle, amongst others. All ADF members need to recognise their obligation towards these inherent requirements of service. These obligations are underwritten by military law and enforced through the process of command. The relationship between these obligations and leadership is not always apparent. It is leadership rather than authority that reduces any list of requirements to a sense of duty.

1 Leadership in the Canadian Forces—Conceptual Foundations, 2005.

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Leadership versus command 2.6

2.6 Command. The North Atlantic Treaty Organisation (NATO) defines command as ‘The authority which a commander in the military service lawfully exercises over subordinates by virtue of rank or assignment. Command includes the authority and responsibility for effectively using available resources and for planning the employment of, organising, directing, coordinating and controlling military forces for the accomplishment of assigned missions. It also includes responsibility for health, welfare, morale and discipline of assigned personnel’. From this definition it is obvious that the essence of command is the legal authority to order subordinates towards assigned tasks. Command requires structure, can only be applied down the chain of command and requires compliance from subordinates. NATO’s definition places primacy on accomplishing the mission with a secondary focus on the personnel involved. The definition doesn’t include the word ‘leading’, nor does it mention that vital component of leadership, namely the influence of others.

Table 2–1: Comparison of leadership and command concepts

2.7 Compliance. The essence of command is the legal authority to direct subordinates towards the completion of assigned tasks. This includes accepting that one can be deployed to an operational area and placed in harm’s way, even if it is against one’s will. Assuming that the member has had little say in the government’s decision to go to war, then the member is required to subjugate their will to that of the government. A person in the military must allow themselves to be ordered to do something that they may not normally be inclined to do. Once a military superior decides on a legal course of action, there is little their team can do but obey and comply.

Leadership concepts Command concepts

• Responsibility accepted

• Organisational structure not required

• Can influence in all directions

• Following a leader’s actions or advice is discretionary

• Committed followers

• Authority granted

• Requires a hierarchical structure

• Influence is down chain of command

• Following a command (given by a legal commander) is compulsory

• Complying subordinates

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2.8 Discipline. In the military, discipline generally relates to training and conditioning (drills) to enforce obedient behaviour to rules and orders. These rules and orders are often additional to those of open society and are usually well defined in the respective military force’s Discipline Act. Non-compliance with these rules and orders can and often will bring about punishment, imposed in order to ensure future compliance. References to military discipline include statements such as:

• ‘Men must learn to obey orders when all their own instincts cry out for them not to be obeyed’ (General Montgomery, 1946).

• ‘Men of all ranks must be trained to obey their orders under the worst conditions of war’ (General Sir Rupert Smith, 2001).

2.9 The military uses the techniques of discipline to best ensure that its structure survives in operations and on the battlefield. Few would advocate a radical departure from this time-honoured approach. Nevertheless, the use of discipline, although essential in certain circumstances, is rarely a demonstration of leadership. Military discipline is based on legitimate authority and relies on coercive power and the fear of punishment for effect. Leadership influence is independent of formal authority and relies on personal power and an ability to gain willing commitment.

HISTORICAL EXAMPLE—LEADERSHIP OVER DISCIPLINEAustralian Airmen serving with the Royal Air Force in World War II included those in Bomber Command where they served often in mixed crews drawn from all parts of the Commonwealth.

Although the vast majority of Australians enjoyed the experience, especially the comradeship of mixed Commonwealth crews, British snobbery and senseless discipline could be vexatious. At many squadrons the traditional methods of enforcing discipline, such as insisting on exemplary dress and bearing, saluting, performing trivial duties on non-flying days, and so on, were ignored, as senior officers implicitly acknowledged the fact that men who face death on a daily basis did not need artificial contrivances to shape their behaviour. The qualities that were important in a wartime air force—professional competence, self-discipline in the air, courage and loyalty to crew and squadron—were not engendered by mindless obedience and trifling tasks. ‘As long as you were in the briefing room, properly fit to fly when you were required to fly, was all they asked’.

From The Royal Australian Air Force by Alan Stephens

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2.10 Directing and controlling. The process of directing and controlling usually implies some form of formal authority. NATO’s definition of command includes both the activities of directing and controlling. Directing by verbal or written orders, as in directing air traffic or issuing directives to subordinates, is an activity that comes from a position of authority and is generally given by superiors. Such directions require compliance and obedience. Under the definition of leadership previously given, directing and controlling that calls for unconditional obedience can not be considered a legitimate leadership activity. On the other hand, a style of leadership that is characterised by a leader who gives guidance, a leader who lets subordinates know what is expected of them, is called a directive style of leadership. (See chapter 1 for discussion on leadership styles). A directive style of leadership, although assisted by a position of authority, doesn’t necessarily rely on that position or authority for its effect.

2.11 Military leadership. The term ‘military leadership’ is somewhat misleading because it implies that there is a category of leadership that is peculiar to the military. The term has been incorrectly used by civilian commentators to describe the legitimate practice of command—a practice where subordinates (wrongly called followers) are compelled to obey lawful orders. Leadership as a concept is the same the world over, no matter how or where it is practised. The principles of leadership do not change in the military any more than the principles of leadership change from one country to another. What does change is the context and or culture in which leadership is practised. This context/culture results in distinctive styles or approaches, but they are still leadership styles and approaches.

2.12 A member of the military may be assigned a leadership position with the legitimate and related powers of command, and yet display little or no leadership behaviour. With command comes all the power and authority over subordinates that the leader needs to achieve tasks. Although not its intended purpose, command takes away the requirement to exercise persuasion and personal influence to get things done. In theory, the military could turn its back on leadership as a practice and rely solely on command to achieve military objectives. In practice this rarely occurs. The line of credit provided by command is an essential tool in the commander’s kit bag, but it is a blunt instrument when compared to the mind changing power of leadership.

Leadership in the military 2.13

2.13 Leadership is not a necessary process to ensure military orders are obeyed. Leadership is, however, a necessary process to ensure commitment to purpose and bolstering the will of others to continually pursue military objectives, even when unobserved. Without leadership, the will to fight is neither seeded nor nourished and therefore quickly wilts.

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2.14 The moral component. Australian Defence Doctrine Publication–D.4—Joint Warfighting, identifies three components of fighting power, namely moral, physical and intellectual. Perhaps the most important of these three is the moral component of fighting power. This moral component supplies and sustains the will to fight. Gaining this will to fight from service men and women is about influence rather than compulsion, the end result being a willingness of members to take up arms for a just cause. In other words, those who fight choose to do so because they are convinced of the rightness of their participation; they believe they are ‘a force for good’ as in Defence’s vision. In many respects, this moral component is the ‘Dao’ that the ancient Sun-Tzu was referring to in his classic text The Art of War.

2.15 Initially, military members will question why they are going to war; why they are resorting to lethal force. Someone who can provide a logical reason and a balanced argument will attract attention. Someone who can convince others that such a course of action is not only justified but also the right or moral thing to do, will start to attract willing followers. That someone, no matter what rank they wear, is demonstrating leadership. Leaders in the military are concerned with the emotions and behaviours of members that arise from their potential involvement in operations. Leaders in the military are concerned about persuading fellow members regarding the appropriateness of the common mission.

2.16 Belief in purpose. Moral behaviour implies personal choice, and the extent of that freedom to choose is the element of willingness or acceptance included in the leadership relationship. The moral component of leadership, the ability to get people to willingly fight, refers to the rightness or correctness of what one is doing on operations. The sense that one is fighting for a just cause and fulfilling a worthy purpose, the conviction that the purpose is morally and ethically sound, is a necessary component of leadership in the military. Morally defensible purpose is not the exclusive domain of military leaders (since it should be a concern of all leadership) but it is of heightened importance because of the life taking aspect of warfare. The military leader has to be convinced that what they are doing is right, and then go on to convince team members of the same. When the first shots are fired and people are dying, the conviction and the certainty that these actions are noble and just need to remain rock solid.

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2.17 All leadership, including leadership in the military, offers a choice to followers—even to the extent that this choice allows for dissent from followers. When constructive dissent is not appropriate to the situation, then the leader rightfully moves from leadership to command. Some would argue that dissent of any kind is not appropriate on the battlefield and therefore has no place in the military. That position is unnecessarily rigid and does not take into account the range of situations presented by military operations where constructive dissent is not only appropriate but also morally correct.

2.18 Morale. The NATO definition of command includes the responsibility for morale of assigned personnel. Although an often used word in military doctrine, morale is not clearly defined and tends to mean different things to different people. It has been variously defined as:

• ‘The state of mind of a group of people as reflected by their behaviour under all conditions’ (Australian Maritime Doctrine, 2000).

• ‘The spirit that seeks to triumph in adversity and arms a man against the shock of battle. The morale of an individual or a group is not of necessity a measure of happiness or contentment; it is a measure of the cohesion and power of an individual’s or group’s resolve to pursue its object come what may’ (General Sir Rupert Smith, 2001).

• ‘It is that intangible force which will move a whole group of men to give their last ounce to achieve something without counting the cost to themselves; that makes them feel they are part of something greater

HISTORICAL EXAMPLE—BELIEF IN PURPOSEThe legality and rightness of participation in the 2003 Iraq war was a frequent topic of conversation in the work spaces and mess decks, and potential internal dissension was, for a period, a matter of the utmost concern for the Commanding Officers. The personal internal conflicts growing within some of the ships company were clearly apparent and in need of attention. The Commanding Officers found that they were best able to help in this regard by ensuring that everybody onboard had access to non-emotive and factual information from all sides of the debate that was occurring in Australia regarding the legality and need for war. In some ships this was reflected by the production of a regular ships newsletter that summarised the thinking going on back home.

Commodore Peter Lockwood, reflecting on Frigate Command in 2003 Iraq War

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than themselves’ (Field Marshal Slim, 1956).

2.19 Field Marshall Slim stated that the foundations of morale were spiritual, intellectual and material. Under these headings he includes such conditions as ‘There must be a great and noble object’ of which the ‘achievement must be vital’. A more recent commander, Lieutenant General Clarke, United States Army, states something very similar. ‘The morale of soldiers comes from three things: a feeling that they have an important job to do, a feeling that they are trained to do it well, and a feeling that their good work is appreciated and recognised’2.

Figure 2–1: Schematic of moral leadership

2.20 Morale and leadership. The basis of military morale includes primarily a clear understanding of, and belief in, the aim. Personnel involved must have a conviction about the necessity, legality and morality of a military operation. The connection between leadership and morale appears to be with the leader establishing and convincing followers of the just cause of their proposed actions. This has been variously expressed by the above commentators on morale as the value of the ‘noble object’, the ‘enthusiasm for an ideal’ and even ‘the desire to see wrongs righted and wrongdoers punished’. Leadership has been defined above as something to do with influencing others to follow willingly. People will only follow willingly if they are convinced that what they are doing has a purpose and is right in respect to their beliefs. One (of possibly three) requirements for morale is establishing the correctness or the nobility of the action/goal being pursued. Here then is

2 United States Army Field Manual 1, 2005.

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the connection between leadership and morale. It may, in fact, be a moral connection. Morale has a link to leadership since both concepts are concerned with the rightness or appropriateness of the goal or mission that leaders and followers are attempting to achieve.

2.21 Range of military situations. The purposeful influence of followers is enhanced by an understanding of the situation in which the group will be led. Military service can, and often does, involve employment in a wide range of situations, both in terms of team composition and the complexity or urgency of task. Indeed, the modern military is characterised by networked teams embedded in a complex and ambiguous environment. Apart from the different variety of professional military skills required, different situations also require different leadership approaches. The leadership required by a logistics officer leading an office based resupply team is likely to be different from the leadership employed by a Special Air Service sergeant tasked with destroying an enemy ammunition dump. In the office situation, the leader will find that followers respond best to a collaborative and supportive style of leadership. On the other hand, in an ambiguous warfighting situation a more directive style will be more effective and appeal to followers. According to situation or context, a leader in the military will have to be flexible enough to employ:

• different leadership styles;

• different emphasis on task/people/team needs;

• different personal and social skills; and

• legitimate methods other than leadership to achieve tasks.

2.22 The difficulty for military members is to resist the temptation to continually revert to directive and autocratic styles, simply because such styles are easier to use in the military environment. Followers and subordinates will quickly tire of such styles and will feel unappreciated and disempowered. Continued use of a directive approach will result in low morale, the suppression of moral development and loss of initiative.

2.23 Trust and credibility. Leader and follower alike have to believe that the cause they are fighting for is honourable and just. Having been convinced of the correctness of the mission being undertaken, followers need to believe that the leader knows what they are doing and is capable of seeing the conflict through and capable of bringing their team or crew home. The leader has to establish their credibility in regard to the looming conflict and gain the confidence, trust and respect of the team. As indicated in chapter 1, trustworthiness is a most important leadership trait. This is no less so in the military environment.

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Leadership on operations 2.24

2.24 Having gained their team’s confidence, the leader in the military will also have to deal with member apprehension and anxiety in the lead up to conflict. During conflict, the leader will have to suppress their own fear and deal with the fear and stress in their team or crew. Post conflict, the leader will have to comprehend and deal with the burdens carried by many.

2.25 Apprehension and anxiety. Modern warfare is continually changing as technological developments transform the way that wars are fought, and might be fought in future. Although some of its characteristics may change with the times, the nature of war is immutable. Warfare invariably involves terror, violence, chaos, suffering, social and economic dislocation and destruction of life and property. All military personnel face the possibility of deploying to or near war zones should major hostilities occur. Military members may be called upon to engage in direct action against enemy forces. Even though there may be some similar civilian situations—like emergency response to civil disaster, bushfires or police riot action—such situations are generally less deadly than close combat, and don’t have the same level of compulsion inherent in operations. An additional dimension, and one that differentiates operations from civil disasters, is that military operations are often carried out far from home in a foreign and aggressive environment. All the above circumstances can be expected to produce great apprehension and anxiety in military personnel, their families and friends.

2.26 Reduction of anxiety. A member’s pre-conflict anxiety stems predominantly from two sources, trepidation at doing the unfamiliar and misgivings about their ability to accomplish what is required of them. These two sources can be attacked in pre-deployment work up training by turning the unfamiliar into the familiar and allowing members to prove to themselves that they can accomplish likely tasks. Initially, members push through their anxiety because of an undeniable desire not to let their mates down and an implicit trust that their leader will keep them from harm. The families of military members will also be affected by pre-conflict anxiety. Military family and friends will be bombarded with media during the lead up to any conflict. The commanding officer or military leader can help reduce the inevitable confusion and anxiety by feeding relevant and factual information back home to the member’s immediate family. The member and family will appreciate hearing directly from their commanding officer and the commanding officer will be best placed to know what is able to be released.

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Figure 2–2: Pre-deployment work up training turns the unfamiliar into the familiar by allowing members to prove to themselves that they can

accomplish likely tasks

2.27 Stress and fear. The responsibilities of leadership can be stressful in normal situations. On operations, this level of stress is likely to increase. The commencement of hostilities will bring confusion, chaos, uncertainty and incredible fear. This situation creates an atmosphere that is ripe for leadership. People caught up in this confusion look for guidance and reason. They want to be shown a direction that will lead to a reduction in chaos, confusion, uncertainty and fear. In such a situation a person who is able to control and suppress their own fear will attract the attention of others. If that same person is then able to soothe and abate the fear in others then they will have supporters.

2.28 To reduce fear in these chaotic situations, a leader should:

• Explain that fear is a normal occurrence and encourage discussion. In so doing, members are then less likely to suffer self-recrimination after

The leader must be able to manage fear, first in himself for if he cannot then his leadership must begin to fail: but in others also for otherwise they may collapse.

General Sir John Hackett in Serve to Lead, Royal Military Academy 2001

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danger has passed.

• Maintain routine and habit in conflict. As far as possible, adhere to daily routines.

• Timely and accurate passage of information. Knowledge dissipates the unknown and quells rumours.

• Understand and monitor signs of stress in self.

• Suppress own fear and try to behave calmly in stressful and dangerous situations.

2.29 Knowledge, discipline and training before the conflict play a vital role in suppressing the inevitable stress and fear during the conflict. It is a leader’s responsibility to ensure that their team knows as much as possible about the situation they are entering, both in terms of their own equipment capability and the likely capability of the enemy. It is also the leader’s responsibility to ensure that relevant and realistic training has been carried out so that when conflict arises, members are confident they know what to do. Lastly, it is a leader’s responsibility to ensure that their team is disciplined and will carry out procedures and drill in an automated and confident manner. In the heat of combat, this drill and automation will focus the attention of individuals and drive fear and stress to one side.

HISTORICAL EXAMPLE—CALM UNDER ATTACKBeing on a ship whilst it is being attacked by aircraft was a completely new experience for me...You get the countdown, you can hear the roar of the engines of the jet aircraft, the whoosh of missiles firing and the crackle of small arms and machine gun fire. Then the whole aluminium and steel fabric of the ship—or cell as it seems at that moment—rocks and shakes in combination with the noise of the bombs exploding. You have no understanding of what is going on outside of your immediate area.

The Captain clearly understood how everyone was feeling. He calmly announced to the ship’s company over the ships loudspeaker system what was going on, both in and around the ship and what the Navy was doing about it. He was delightfully unruffled and his voice was gentle. He had an immediate, positive, calming effect on everyone, although no-one said very much.

British soldier on board HMS FEARLESS, Falklands War 1983

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2.30 Burden. Operational leaders must be perceptive and responsive to the individual stresses and concerns of the team members where the normal support mechanisms of home and family and the release provided by leisure activities are absent. The leader has to become the de facto family head, allay fears and facilitate communication with loved ones back home. The burden of having done what one has done in conflict, especially the burden of having taken human life, will affect people in profound and different ways. The leader has a role in recognising and adjusting for post-traumatic stress. Even though not necessarily evident in them, the leader must accept the distinct possibility that others have been affected and are suffering post-traumatic stress. A leader must be sensitive to what may appear as weak or cowardly behaviour from others and ensure that such individuals are cared for appropriately.

Military ethos 2.31

2.31 The fundamental spiritual characteristics of a culture are represented by its ethos. Military ethos comprises the values, beliefs and the ethical framework for the military profession. Military ethos enables professional self-regulation, creates desired military culture and establishes the trust that must exist between the military and the society it serves.

2.32 Military values. Military forces tend to espouse values that are relevant to war fighting and therefore more demanding than those of civilian organisations. Society recognises that the operational imperative is sufficient grounds to espouse values that would hold less weight in society at large. Values such as honour, duty, selfless commitment, courage, discipline and loyalty are more prevalent in military organisations than in wider society (where some of these concepts are less well understood). These professional military values are concepts derived from the demands of battle and the technical needs of a military hierarchy (S. Milgram, 1974). Battlefield situations induce tremendous fear and confusion in individuals. It is no surprise that courage is valued so highly in the military environment since it is courage that is the foil of fear. If someone displays ample courage then the process of influencing them to willingly go into battle is so much easier than if, say, they were imbued with values pertaining to self-preservation.

2.33 Values based leadership in the military. Professional military values are more complementary to followership in battle than they are to leadership in non-operational environments. Professional military values like courage, loyalty and selfless commitment lead to behaviours that are highly desirable in operational situations. Although few in the military would want to see professional military values down-played in the operational context, it is important to remember that these values alone are not a sufficient basis for leadership in all military situations. Militaries require their leaders to carry out their duties well in both peacetime and operational environments. Military leaders need to embrace values that underpin both the law of the country and

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the rules of engagement. Values such as care, compassion and respect form the basis for sound leadership in both war and peace, even though these values are rarely stated in military value sets.

2.34 The idea that the values of an organisation should reflect the broader civic values of the society to which that organisation belongs is not new. ‘The legitimacy of the profession of arms requires that it embody the same values and beliefs as the society it defends’3. The law is the means by which social order is established and maintained, and is the supreme authority in society. No one is above the law and actions by the government must be sanctioned by the law. Under the rule of law, a country’s military has an obligation to obey and uphold the law, that is to defend the rule of law as an important social value and to ensure obedience to the law.

2.35 Military ethics. Military ethics has been described as the application of ethics (knowing what one ought to do) to military endeavours. This is not to say that ethics in the military is somehow different to ethics in the wider community. Military ethics still involves a system of moral principles by which a military leader’s actions and proposals may be judged good or bad or right or wrong. There are two main areas of interest in the application of ethics to the military context. The first concerns the proper use of military force and covers such issues as the just war theory4 and the law of armed conflict. The second concerns military professionalism and the conflict of values—such as the balance between loyalty and integrity when giving unvarnished advice up the chain of command. Military leaders will occasionally be confronted by ethical dilemmas on operations and in their careers. To fire upon children brandishing enemy weapons or to interrogate prisoners withholding imminent ambush information are two contemporary examples. By their very nature, dilemmas have no easy answers. Nevertheless, leaders are expected to apply moral sensitivity and be able to ethically justify their decisions and actions. The Government, and indeed the civil population, expects military leaders to know what ought to be done in these and other ambiguous situations. The issue of military professionalism and conflicting values is revisited in chapter 5—‘Contemporary issues for leaders’.

3 From Duty with Honour—The Profession of Arms in Canada, 2003.

4 See Living by the Sword: the Ethics of Armed Intervention by Tom Frame, 2004, for an outline of just war theory and its application to contemporary operations.

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Figure 2–3: Values such as care, compassion and respect form the basis for sound leadership

2.36 Moral development. The relationship between the development of ethical reasoning, internalised values and self-discipline is strong. The behaviour of young military recruits is at first externally controlled by the use of rules and regulations through imposed discipline. Although effective, this method of behaviour control is time consuming and collapses when the rules don’t extend to an unexpected situation. Similarly, in the early stages of moral or ethical development, an individual defines right or wrong in terms of what results in rewards or punishment. Overuse of the directive style of leadership simply reinforces moral retardation. It is a leader’s responsibility to encourage individuals to break free from the shackles of this early moral development stage and progress to a more internally controlled state. When certain values are internalised and used to regulate individual behaviour, the need for regulations and constant supervision diminishes. Not surprisingly, there is a similar progression in the development of ethical or moral reasoning. At higher levels of moral development, an individual stops defining right and wrong in terms of rules and punishment and instead develops internal moral principles that define right and wrong from a universal values point of view. This is why the inculcation of civil and military values is so important. A simple example of this progression is when someone decides not to bully subordinates because of the value of human dignity rather than any fear of

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punishment. A leader’s responsibility in the development of their people involves both modelling moral and values based behaviour and encouraging discussion and reflection on moral or ethical dilemmas.

2.37 Self-discipline. A general goal of military training and education is to develop in individuals a sense of judgement and a capacity for self-regulation so that reliance on external discipline is minimised. In so far as self-discipline relates to the internal regulation of behaviour, the advantages of this behaviour (over externally regulated behaviour) in terms of consistency, initiative and adaptability make the inculcation of self-discipline in others a key responsibility of military leaders. The development of self-discipline in members is revisited in chapter 6—‘Developing Australian Defence Force leaders’.

2.38 Military culture. Authority in the military is based upon rank, rather than position, and is readily identifiable (in uniform and insignia) and is transportable. There is a well defined chain of command in which all subordinates are sworn to obey lawful directions from above. In general terms, military culture is largely rules based, conservative and traditional—with a belief in service before self, especially during operations. In wartime, military members surrender their individual rights, including rights to protection and personal safety.

2.39 Military leaders need to be aware of typical military culture since it can both aid and undermine them. Military culture definitely assists those who have leadership positions in the military. There is little doubt that leadership in a structured and well organised hierarchy is considerably easier than leadership in an unstructured volunteer organisation. As has already been noted, rank, uniform and medals give those in leadership positions a jump-start in their credibility stakes. Strong military cultures have great influence on member behaviour. Positive benefits include cohesiveness, courage and organisational commitment.

2.40 Military leaders also need to be aware of cultural aspects that can undermine performance. Negative aspects can include misplaced loyalty, resistance to change, discouragement of diversity and a can-do approach to all assignments. Most militaries can cite examples where loyalty to a mate or to a unit has resulted in well-meaning individuals or groups hiding unethical practices from the larger organisation. A can-do culture that too readily embraces all assignments without regard to resources will risk member burnout and damage to equipment through maintenance shortcuts. Some of these issues are expanded in chapter 5 of this publication.

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Mission command 2.41

2.41 Mission command has its origins in the German Army concept of Auftragstaktik and refers to a command style that allows subordinates maximum freedom of action within the bounds of the commander’s intent. Land Warfare Doctrine 0.0—Command, Leadership and Managementdefines mission command as ‘a philosophy of command and a system for conducting operations in which subordinates are given a clear indication by a superior of their intentions. The result required, the task, the resources and any constraints are clearly enunciated; however, subordinates are allowed the freedom to decide how to achieve the required result’.

2.42 Ironically, the concept of mission command has more to do with leadership and self-discipline than it has to do with command (as the two terms have been so far defined). Mission command places emphasis on decentralising authority and empowering personal initiative. Mission command encourages initiative by providing freedom of action for subordinates at each level. It requires trust in subordinates to achieve assigned tasks largely undirected and subsequent support for decisions honestly taken with unforseen consequences. The link between mission command and the self-discipline required of subordinates is obvious. Without direct control or observation, subordinates rely on their understanding of the commander’s intent and their self-discipline to ensure difficult assignments are carried out professionally.

HISTORICAL EXAMPLE—TRUST IN TEAMHMAS STUART had to shut down her engines for repair while in the Mediterranean and sit idle in broad daylight for 14 hours in seas known to contain patrolling German and Italian submarines. STUART was a sitting duck. Having been told by his engine room staff that the problem would take a day to fix, Captain Hector Waller waited patiently for his engineers to finish their work. Not once did Hec send to know how much longer they were going to be before he could get under way. When the job was done, he thanked them publicly over the ship’s main broadcast and then rung on maximum revolutions, confident that his engines were now repaired.

From Royal Australian Navy 1939–1941by H. G. Gill, 1968

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CONCLUSION 2.43

2.43 Leadership in the military is required to gain commitment rather than just compliance to operational service. Leadership in the military is required to secure deep connections with others—connections to values, beliefs and the morality of conflict. Leadership in the military is required to ensure endurance, a persistence that mere authority can’t generate. Leadership in the military is required to progress individuals from resource intensive discipline to more reliable self-discipline. Leadership in the military is required so that all members can overcome the fear, stress and anxiety of war. In some respects, the role of leadership in a military environment is to achieve those things that command alone is unlikely to achieve. It is folly to rely on positional power alone to bring about long-term effects. A position of authority may give a person a jump start in achieving military missions, but the well-spring of commitment will soon fade without leadership.

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CHAPTER 3

LEADING PEOPLE IN THE AUSTRALIAN DEFENCE FORCE 3

INTRODUCTION 3.1

3.1 The ADF recognises the importance of leadership in maximising the operational effectiveness of the ADF approach to warfare. Accordingly, the ADF places a strong emphasis on cultivating leadership qualities in ADF members. One of the strengths of the ADF historically has been the high quality of its leaders at all levels. Commanders and their staff set the example for others to follow, through their personal qualities of integrity, courage, loyalty and compassion. Leadership by example helps the ADF maintain morale, avoid wasted effort and promote initiative in young leaders.

3.2 This chapter covers those aspects of military leadership that are of heightened importance to the ADF. These concepts build on the concepts developed in the previous two chapters. There is a strongly held belief by most members of the ADF that our Defence Force is as good as the best in

Executive summary

• People lead in the Australian Defence Force (ADF) to accomplish results.

• ADF values are instilled by leader example.

• An appreciation of the different Service cultures assists leading people in the joint environment.

• There are distinct responsibilities associated with leading people in the ADF.

• ADF leaders develop individual, team and unit capabilities—including individual and team resilience and ability to handle operational stress.

• ADF leadership is a main contributor to the retention of members.

• The ADF endorses ten principles for leading people.

Objective One—Maintain Quality Leadership

Defence People Plan 2006–16

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providing specialist capabilities. This will remain so only as long as every leader continues to develop individual, team and unit capabilities to accomplish results.

Results through people 3.3

3.3 The world faced by today’s ADF is an environment of rapid change, complexity and uncertainty. Coupled with the increase in technology, leading people in the ADF now requires additional skills to those identified twenty years ago. The overall objective, however, remains much the same—ADF leaders achieve results through people.

3.4 The ADF’s mission is to provide the Government with effective land, air and maritime military capability. All leadership activity within the ADF must be aligned to this mission. The primacy of mission success, however, does not come at the cost of people. A high results focus accompanied by a low people focus is not sustainable over the long run. Such a strategy represents organisational suicide in an environment where there is a shrinking pool of smart young people.

3.5 ADF leaders recognise that people who feel good about themselves produce more effective results. ADF leaders exercise skills that increase motivation levels in those that they lead in order to raise their people’s self-esteem and confidence. Since any form of intimidation, harassment or bullying is absolutely corrosive to an individual’s confidence and self-esteem, such behaviours are not tolerated by ADF leaders.

Evolution of Australian Defence Force leadership style 3.6

3.6 A short examination of our military history indicates that in early conflicts and operations, Australian forces were generally led by other nations. In the ANZAC campaign, this situation slowly distilled into a distrust of senior military leaders at the tactical level and the consequent development of ingenuity, tenacity and resourcefulness within Australian soldiers. The actions of Captain Albert Jacka, VC, MC and bar, and many other Australians at Gallipoli, demonstrate the attitudes of the time. Although proving themselves as independent and resourceful fighters, the Australians had a less than reverent approach to authority and discipline.

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3.7 As a result of our military history, the ADF has developed a way of leadership that focuses as much on the characteristics of those that are being led as it does on the attributes of the leader. ‘The ADF Way’1 of leadership is not so much a process of direct control but rather a belief in the initiative and resourcefulness of the led. In other words, ADF leaders are less likely to revert to command in its literal sense (organising, directing, controlling) and more likely to use supportive influence behaviours that give a degree of latitude to the team. Implied in this is the belief that we trust our subordinates to make the right decision—the decision the leader would have made had they been there—but accept that if the decision made is different, it becomes an opportunity to learn.

3.8 The ‘ADF Way’ also implies that we value and encourage the resourcefulness of subordinates in allowing them to achieve the means without necessarily worrying about the method used to get there. This approach sits well with the concept of mission command as covered in chapter 2—‘Leadership in the military’. Values also play a vital role in the

1 Adapted from Command: The Australian Way by M. Meecham, 2000.

HISTORICAL EXAMPLE—EVOLUTION OF AUSTRALIAN DEFENCE FORCE LEADERSHIP STYLE

On May 20, 1915, a 22 year-old Acting Lance-Corporal wrote these words in his diary:

‘Great battle at 3 am. Turks captured large portion of our trench. D. Coy called into the front line. Lieut. Hamilton shot dead. I led a section of men and recaptured the trench. I bayonetted two Turks, shot five, took three prisoners and cleared the whole trench. I held the trench alone for 15 minutes against a heavy attack. Lieut. Crabbe informed me that I would be recommended’.

This laconic account describes the action which led to the first award of a Victoria Cross to a Commonwealth soldier in the Great War. The soldier was Albert Jacka, probably the most exceptional fighting man in the Australian Imperial Forces during that terrible conflict. One of the most famous details of the whole incident is that when Lt Crabbe found Jacka sitting amidst Turkish and Australian dead with an unlit cigarette in his mouth, he said ‘Well, I got the beggars, sir’. Albert Jacka was clearly a man confident of his own abilities and was not one to respect badges of rank for their own sake.

Extract from Return to the Hellfire Corner by Chris Murphy

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‘ADF Way’ of leadership. Previous influence and inculcated values will guide an individual or a group when they are separated from their normal leader or confronted with an unfamiliar situation.

Australian Defence Force values 3.9

3.9 The ADF subscribes to a set of six values, namely professionalism, loyalty, integrity, courage, innovation and teamwork (PLICIT). This set of values, which goes by the memorable acronym PLICIT, resonates well with the value sets of the three single-Services. The single-Service values reflect the uniqueness of the separate Services and they both compliment and expand the Defence values.

3.10 As stated in chapter 1—‘On leadership’, single word values are open to wide interpretation. For this reason, each Service has amplified their value sets by placing them in narrative form, as demonstrated by the documents Serving In Australia’s Navy, Army’s Rules for a Fair Go and Air Force’s Values Statement. For similar reasons, the ADF has amplified each of the PLICIT values so they provide better guidance in regard to expected behaviour. These amplification statements are listed below:

• Professionalism. Striving for excellence in everything we do. We work hard to deliver high quality results, do our job to the best of our ability and take pride in our achievements. We are sensitive to changes in our working environment and ready to respond. We provide impartial, comprehensive, timely and accurate advice. We constantly seek to improve our work performance.

• Loyalty. Being committed to each other and to Defence. We serve the Government of the day and support our leaders and colleagues to undertake tasks and achieve results in line with Government direction. We treat everyone at all levels with respect, care and compassion. We work to uphold the best interests of the Australian people.

• Integrity. Doing what is right. We behave honestly and ethically, and demonstrate the highest standards of probity in our personal conduct. We act fairly and accept personal responsibility for our decisions and actions. We build trust through productive working relationships. We do not allow mateship to be misused to cover up bad behaviour or bring the organisation into disrepute. Our actions will clearly match our words.

• Courage. The strength of character to honour our convictions (moral courage) and bravery in the face of personal harm (physical courage). In Defence we stand up for what we believe is right and we speak out robustly and openly against what is wrong. We have the courage to accept valid criticism, admit to errors, learn lessons and improve. We

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give honest feedback on work performance.

HISTORICAL EXAMPLE—COURAGEPilot Officer Middleton’s Stirling bomber had taken part in the attack on Turin on 29 November 1942. ‘Flying through heavy flak, Middleton had just identified the target when a shell burst in the cockpit wounding him and his copilot. Middleton slumped in his seat. The Stirling plunged towards the ground, its wings and fuselage continually hit by shrapnel. As the copilot pulled the aircraft out of the dive only seconds from impact, Middleton regained consciousness. He took control, resumed the bombing run and successfully attacked the target...

Despite his dreadful injuries—his right eye had been shot away, leaving the socket and bone completely exposed, and his lower body was severely lacerated—Middleton remained at the controls and ordered the copilot to go and have his wounds dressed. The crew considered flying to North Africa to avoid the return climb over the Alps, but Middleton was determined to get his men back to England...

Once the Alps had been crossed and the plains of France reached, the crew could have baled out but Middleton was determined to keep his men out of German hands...

At last the French coast came into view. Middleton instructed his crew to bail out and asked for his own parachute to be passed to him. In retrospect, his wireless operator believed that this was no more than a gesture to reassure us, as Middleton must have known he was ‘too far gone’ to get out.

Against all the odds, the Stirling made it across the channel. As it reached the English coast five of the crew bailed out and two stayed on board to help their mortally wounded captain. Middleton then turned the Stirling back over the Channel in an attempt to ditch, but crashed into the sea.

As the wireless operator later reflected;

During the return home there were many opportunities for us to abandon the aircraft over France, and for Middleton to live. But he preferred that we, his crew, and the aircraft of which he was the captain, should not fall into enemy hands. That was the kind of man he was.’

From The Royal Australian Air Force by Alan Stephens

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• Innovation. Actively looking for better ways of doing our business. In Defence we are open to new ideas and strive to identify and implement better ways of doing business. We are clever and make best use of the resources that we have to do our job. We encourage sensible risk taking, and strive to identify opportunities to eliminate inefficiency and waste.

• Teamwork. Working together with respect, trust and collective purpose. Teamwork is cultivated through strong, positive leadership and attention to the needs of team members. In Defence teamwork is integral to everything we do, and characterises our working relationships inside Defence and across the whole of government. We foster collaborative workplaces, communicate openly and solve problems in a collegiate manner, share ideas and take advantage of the diversity of our knowledge and experience.

Values based leadership in the Australian Defence Force 3.11

3.11 Like most military value sets, the PLICIT values are more complementary to followership in battle than to leadership in non-operational environments. Courage, loyalty and teamwork are highly relevant to any group based organisation that is involved in intrinsically dangerous

HISTORICAL EXAMPLE—LOYALTY, COURAGE and TEAMWORK

Chief Petty Officer ‘Buck’ Rogers was a living example of Defence values. On the night he died, the aircraft carrier HMAS MELBOURNE and the destroyer HMAS VOYAGER were conducting exercises off the New South Wales south coast. In the late evening VOYAGER crossed in front of MELBOURNE and the two ships hit, with MELBOURNE smashing the destroyer in half. Rogers was one of more than 50 men trapped in darkness in a compartment of the sinking forward section.

He took control and tried to bring calm in the disastrous situation. He probably realised that not all would be able to get through a small escape hatch and that he, being a large man, had no chance at all. ‘He was more intent on getting the younger chaps out first’, said a survivor. The forward section finally sank about ten minutes after the impact. Rogers was heard leading his remaining doomed shipmates in a prayer and a hymn during their final moments.

From 50 Australians, Australian War Memorial

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undertakings. The PLICIT values alone do not make a substantial basis for the activity of leadership which, by its nature, has a focus on relationships and follower aspirations. This issue is addressed in the ADF through:

• the amplification of the professional military values (PLICIT) so that they include the values of respect, care, compassion and trust; and

• the recognition that all ADF members embrace Australian civic values.

3.12 The legitimacy of the ADF requires that it embody the same values and beliefs as the Australian society that it defends. The nine value sets taught in Australian schools, listed in chapter 1, are foundational for all members joining the ADF. The Government’s use of the ADF also reflects community values about the need for Australia, where it can, to seek to resist international aggression, relieve human suffering, promote justice and freedom internationally, and protect our borders. A military force is therefore not simply an instrument of state power, it is also a reflection of the society from which it is drawn.

Australian Defence Force culture 3.13

3.13 Australia is a country with a history of stable government under a system of parliamentary democracy. Principles of democratic government, including a respect for the rule of law and human rights, as well as social equity and fairness, are important to all Australians. The Australian ethic of egalitarianism and ‘a fair go for all’ has been a defining feature of the way we see ourselves, and the way others see us. This quality is largely drawn from a long history of immigrant settlers who arrived in Australia and were able to prosper through their own efforts—not their family background, ethnicity or religious beliefs. Other reasons to explain our particular culture include:

• The ANZAC legend ‘a legend not of sweeping victories so much as triumphs against the odds, of courage and ingenuity in adversity’2.

I found myself a little while ago talking to primary Principals about what our soldiers and officers are doing on operations...What’s interesting is that I think our soldiers and officers bring a different dimension—dignity, respect, compassion and humanity—that soldiers and officers from other nations aren’t taking into the battlefield. So. I said to these primary Principals the other day, ‘thank you for what you start’ and I’d say the same to secondary schools and to families.

Lieutenant General Peter Leahy, Chief of Army, 2005

2 Prime Minister Paul Keating, Funeral Service of the Unknown Soldier, 1993.

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• Mateship. Australian servicemen place more importance on not letting down their mates than on their own wellbeing.

• The Australian can-do attitude, leading to both resourcefulness and adaptability.

• A sense of humour, even in times of hardship, combined with loyalty and compassion.

3.14 Although obviously shaped by Australian culture, the ADF also has a strong military culture. The advantages and pitfalls of leadership in a military culture have been outlined in chapter 2. The ADF shares many of the characteristics of a typical military culture and also has some cultural characteristics of its own. The ADF rewards fitness and teamwork, task completion and operational service. In many cases these strengths also contain the seeds of weakness. An initial training establishment’s over-emphasis on physical prowess will be daunting for someone who is slight but otherwise able. Pressure to complete a task on time can lead to unsanctioned shortcuts and unsafe practices. A platform-centric focus, where the maintenance of operational readiness is seen as paramount, can force safety considerations into the background. Quick rotations through jobs on a career pathway will result in short-term decision making. Obsequiousness towards seniors will lead to answers that seek to please rather than answers that indicate any form of failing. Some of these cultural traits are further examined in chapter 5—‘Contemporary issues for leaders’.

3.15 ADF leaders need to appreciate Defence and ADF culture and do all that they can to align their behaviour and practice so that they accord with Defence and Australian values. The ‘Australian Way’ is where everybody is treated with respect and given a fair go. Enhancing and sustaining the culture and values of Defence is central to an effective people framework, and fosters a connection between Defence and its people that is about more than just an employment relationship.

3.16 The emphasis on cultures and values within Defence is being driven from the highest levels throughout the organisation, reflecting the commitment by Chief of Defence Force and the Secretary to ensuring that people are treated with care, consideration and compassion. The 2005 ADF military justice review provided a good opportunity to address the issues of fair play, justice and a fair go that should underpin Defence and reinvigorate the important role of culture and values.

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Different Service cultures and realities 3.17

3.17 The cultures of the three Services have always been different and they will most probably remain so, even in the ever increasing joint environment. There is, in fact, greater similarity between the trans-Tasman single-Services—for instance similarity between the Royal Australian Navy and the Royal New Zealand Navy—than there is between Australia’s Navy, Army and Air Force. As would be expected, it is the function of a particular Service that most determines its culture.

3.18 ADF leaders need to develop an early appreciation of the culture and practice of their sister Services. More so today than ever before, the ADF will be operating in the joint environment. Recent experience in East Timor and the Solomon Islands indicate that the greatest hurdle to the success of joint operations is misunderstanding between the Services. This misunderstanding is not related to the technical aspects of each Service’s equipment but rather to the different interpretations of basic concepts such as discipline, teamwork, loyalty and the chain of command. Some of these cultural differences are outlined below:

• The crews of sea-going Navy vessels are required to live in confined spaces. These spaces are constantly moving in a marine environment from which there is no escape. Where the ship goes, everybody on board goes and to a large extent, risk and danger is shared by everybody on that ship. There is a greater emphasis on teamwork and tolerance of crew member differences. This is the fundamental reason why the Navy has adopted the Divisional System, a family away from the family approach to social structures.

• The Navy also has a somewhat omnipotent approach to leadership at sea where the captain is the ship. The Navy’s Australian Maritime Doctrine states that ‘the focus at sea is on the effort of the entire crew to place the combat instrument which is the ship into the control of the directing mind of the commander. No bullet is fired, no missile can be launched without specific command direction’. Secondary duties and the teamwork approach of a ship at action stations also means that Navy crew members have to be skilled in functions outside their primary employment category.

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Figure 3–1: Leadership at sea, where the captain is the ship

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• The Army has a command practice of including a senior soldier as an adviser to the officer in charge in all headquarters from platoon level upwards. This relationship, based heavily on mutual trust, exists throughout the Army’s command structure. At the Army’s highest level this relationship exists between the Chief of Army and the Regimental Sergeant Major of the Army. To some extent both the Navy and Royal Australian Air Force (RAAF) are embracing components of this command practice with the advent of Service and Command Warrant Officers.

• Army members are more likely to physically face the enemy in combat. It would be rare for Navy and RAAF to see their enemy face-to-face in a war situation. Army members therefore have to be more self-sufficient in the survival sense. Each member has to be able to deploy in the field with a pack on their back that can sustain the member for several days. Arguably, Army members have to be more physically fit and have greater physical endurance than their Navy and RAAF counterparts.

• The majority of RAAF members work on air bases and their work, directly or indirectly, contributes to maintaining the RAAF’s capability to deliver air power as directed by Government. On flying bases a relatively small number of pilot and non-pilot aircrew are supported by a much larger organisation of specialists, each of whom contributes capacities that allow those aircrew to perform their role. All are members of an interdependent team.

• A commonly held view of air forces is that they are about technology. This is only partially correct. Technology is an enabler that is used to achieve air force goals, however, it is not the essential component, particularly in a small air forces such as the RAAF. The essential component is people, and it is the quality of the training and leadership that these people receive in peacetime that equips the air force to operate effectively in war.

• To be adaptable, flexible and responsive to future challenges, the air force is striving to develop an adaptive culture in which its people are values based, open, have a shared sense of purpose, understand and value relationships, value learning and adopt a systems thinking approach. These attributes are underpinned by leadership at all levels.

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Australian Defence Force leader responsibilities 3.19

3.19 Leading people effectively is both an opportunity and a responsibility. As previously discussed, the occupation of a leadership position doesn’t necessarily imply influential leadership behaviour, nor does it imply that subordinates automatically become followers. Nevertheless, the ADF expects that members placed in positions of authority will exercise both leadership influence and fulfil the management roles and command obligations attached to that position.

3.20 Within the context of leading people in the ADF, there are two distinct areas of responsibility. The first responsibility of ADF leaders is to use their influence for the attainment of organisational goals. It is misplaced effort for the ADF to develop leaders who are inspirational, passionate and visionary if their goals are counter to the ADF’s mission or if the ADF itself is not suitably structured to utilise the leader’s skills. Secondly, noting the importance of trust and understanding to the doctrine of mission command, leaders need to practice delegation, encourage a willingness to take risk and foster a climate of innovation.

Leading Australian Defence Force people on operations 3.21

3.21 The only real difference with leading people in the ADF to leading people in any complex organisation is the inherent danger and consequences of error in the business of Defence. Mistakes may lead to widespread loss of life. Leading people matters most when things go wrong, when panic threatens, when injury or death occurs and shock sets in. The ability to cope with such situations distinguishes operational leadership from even the most complex of civilian leadership situations.

3.22 Leadership on operations relies heavily on the training and development of members that has occurred before operations. ADF leaders train and develop individual, team and unit capabilities, including individual and team resilience and ability to handle operational stress. Realistic team

We need to empower our people. Once we have skilled and experienced people we have the opportunity to empower them. When you empower people you form a direct connection to innovation and creativity. We need to let people get on with the job so that they are excited by what they have to do and they produce good results for us. In my experience, micro-management and innovation just don’t go together.

Air Chief Marshal Angus Houston addressing the Senior Non-Commissioned Officer Forum, 2005

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training in simulated environments and focused adventurous training in harsh climatic conditions can prepare members for the inevitable fear and uncertainty encountered on operations.

3.23 ADF leaders must resist the temptation to withdraw from adverse or life threatening situations. Instead, ADF leaders continually look for opportunities to improve the odds in their favour and build resilience in themselves and their team to fortify against setbacks, stress and fear. Leading people on operations means developing both individual and team confidence by confronting and defeating fear before battle. ADF leaders give constant feedback and always look for opportunities to bolster a team’s confidence and preparedness.

3.24 Competent ADF leaders will be role models of the PLICIT values outlined earlier. They not only live these values, but look for those same values in their people. Leaders take every opportunity to discuss these values with their team and peers. ADF leaders realise that by encouraging their people to adopt and internalise professional military values, they will heighten individual self-discipline and team cohesion. ADF leaders know that if each

HISTORICAL EXAMPLE—LEADING PEOPLE ON OPERATIONSHMAS ANZAC was advised of a likely future task for the ship to proceed to a dangerous multiple threat location closer to the coast than they had been before, and then engage the Iraqi land forces with the main gun armament. This was an unfamiliar environment and one that generated apprehension.

ANZAC would need simultaneously to have Special Sea Dutymen and the Precision Navigation team closed up due to the confined navigational waters, be at Action Stations ready to engage Iraqi land forces, still defend against an Iraqi gunboat or asymmetric suicide boat attack, mount additional specialist lookouts, assume a quiet machinery state due to possible sea-mines, and enforce a near gas tight state in the ship to counter the possibility of chemical attack.

A full personnel and material rehearsal of the activity was conducted in a safe area of the Persian Gulf to demonstrate that the task could be done safely. The unfamiliar had thus become familiar and the ships company could see that they could do it—although still apprehensive, the anxiety levels over that task then significantly dropped.

From Navy Combatant Command in Wartime-Frigate Experiences from the 2003 Iraq War, Commodore P. Lockwood

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individual in a team has self-discipline and if each individual in that team has confidence in team members, then that team is best placed to combat operational stress and fear.

Figure 3–2: Australian Defence Force leaders look for opportunities to improve the odds in their favour and build resilience in themselves and

their team

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Values based behaviour 3.25

3.25 Defence espouses a philosophy of values based behaviour. Values based behaviour is about individuals at all levels being prepared to accept responsibility and accountability for their actions and to think clearly about the consequences of their actions for Defence. Behaviour is the visible hallmark of values and there are a number of constructs that explain how values based behaviour is operationalised within Defence.

Defence Leadership Framework (foundational) 3.26

3.26 Although leadership is defined as a process in chapter 1, leadership in the ADF is viewed almost exclusively as a capability that resides within the leader. Furthermore, the leader invariably occupies a formal position and therefore ideally practices both leadership and management behaviours. Defence has developed a leadership framework which indicates the generic capabilities, proficiencies and associated behaviours for employees at all

HISTORICAL EXAMPLE—DEFENCE VALUES SUPPORTING OPERATIONS

The most difficult task I’ve had in 22 years in the Australian Public Service (APS) was to address my staff in the Navy Aviation Systems Program Office (NASPO) in Nowra immediately following the Nias tragedy (02 April 2005). NASPO is a mixed work force of military members, civilians and contractors. Struggling for somewhere to start, I relied upon the PLICIT values as I drafted words that acknowledged the shock and grief everyone felt, whilst also needing to bring focus onto continuity of the business of supporting Navy aviation. I encouraged each person to gain inspiration from their own professionalism, knowing they have the training skills and experience to respond to a situation that could otherwise be overwhelming. I spoke about how it takes courage to speak openly to people we work with about what we were feeling but we needed to do that and we needed to provide support and encouragement to our team mates. I talked about the integrity and commitment of the people in NASPO, and that we all needed to ignore ill-informed comment in the media that sought to reflect negatively on us. I emphasised the loyalty we needed to show our friends we had lost by celebrating their lives, including through attending the memorial services ...

Mr Andrew Wood, Director-General Navy Aviation Systems, 2005

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levels in Defence. The Defence Leadership Framework (DLF) provides a structured listing of the skills, capabilities and knowledge for Defence personnel to perform at 11 identified levels—APS levels 1 to 6 and Defence levels 05 to 09.

3.27 The DLF is constructed around five major capability areas, which are further broken down into proficiencies for each classification. Against each of these proficiencies there are a number of behaviours. The outline below, extracted from the foundational construct of the leadership framework, indicates the five capability areas and associated proficiencies for staff from the APS 1 to the APS 6 level. (chapter 4—‘Leading the organisation—strategic leadership’ outlines the executive level construct.)

Leadership capabilities 3.28

3.28 The key capabilities needed for effective leadership are as follows:

• Strategic thinking. Strategic thinking:

– contributes to organisational purpose and direction;

– allows leaders to understand the wider ramifications of their actions;

– keeps self and others informed and contributes to planning and decision making; and

– shows judgement, intelligence and common sense.

• Result focused. A result focused leader:

– manages team and own ability effectively;

– applies and builds professional expertise;

– adapts to, supports and manages the impacts of change; and

– takes responsibility for managing work projects to achieve results.

• Relationships. A leader:

– develops and maintains effective internal and external relationships,

– acknowledges and understands others,

– values individual difference and diversity, and

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– positively responds to feedback and assists in knowledge transfer and learning.

• Personal drive and integrity. A leader:

– behaves professionally and ethically;

– commits to action;

– shows initiative in managing work outcomes, opportunities and challenges;

– adopts a positive and balanced approach to work; and

– seeks and applies ongoing improvement and learning.

• Communication. A leader:

– communicates clearly and concisely;

– listens, understands and adapts to audience; and

– negotiates and works to reconcile diverse views.

THE DEFENCE LEADERSHIP MODEL 3.29

3.29 The Defence Leadership Model, illustrated below, is a model that indicates the relational chain, where desired leadership behaviours are underpinned by leadership capabilities, performance principles and the Defence values.

Figure 3–3: The Defence Leadership Model

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Performance principles 3.30

3.30 The performance principles and leadership capabilities listed below are loosely aligned to those outlined in the DLF discussed above. Together they form the basis for appropriate leadership behaviour in the ADF.

PERFORMANCE PRINCIPLE

LEADERSHIPCAPABILITY

LEADERSHIPBEHAVIOUR

Challenge People like a challenge and set new performance standards when they are clear about our purpose and understand where their contribution fits in

Set the standard for performance • Articulate and

communicate performance expectations

• Explain where people’s contribution fits in

• Exemplify the standard and encourage/assist others to perform

Associates with‘Achieves Results’from the DLF

Elbow-room People are responsible, accountable, exercise self-direction and self-control when their supervisor involves them in decisions affecting their workplace and allows them to do their job

Give meaningful direction

Associates with ‘Strategic Thinking’ from the DLF

• Involve people in decision making

• Communicate the objective with clarity

• Link direction to corporate goals

• Ensure people have what they need to get the job done, within resources allocated

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Table 3–1: Defence performance principles and leadership behaviour

Feedback People exercise imagination, and creativity to solve problems when they get constructive feedback on their ideas and are confident that communication lines are open

Make communication a priority

Associates with ‘Communication’ from the DLF

• Tell it as it is

• Make sure messages are understood

• Listen and respond

• Actively create a trusting environment

Self-esteem People who feel good about themselves do good work when their supervisor recognises a job well done—praise from supervisors does wonders for self-esteem

Create the climate for success

Associates with‘Relationships’from the DLF

• Take an interest in people as individuals

• Explain people’s roles in the organisational direction

• Value and acknowledge people’s contribution

• Recognise people by name

Pride People are proud of the job they do and the organisation they work for when the organisation is making a meaningful contribution to society, engendering trust and mutual respect

Persist until the job’s well and truly done

Associates with‘Personal Drive and Integrity’ from DLF

• Celebrate the team’s achievements

• Continually review progress and adjust priorities

• Help people understand why the job is important

• Understand the resources necessary to complete the task

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Leadership and retention 3.31

3.31 Perhaps the biggest issue facing the ADF now and into the future will be competing for talented young Australians in a shrinking work force. It is no secret that the most efficient way to combat the effects of a competitive marketplace is to retain the talent that has already been recruited. Studies across a number of organisations have indicated that good leadership has a profound effect on retention. Research has indicated that a member’s intention to stay with the Service is directly related to the behaviour of their supervisor or leader. The top retention-inducing behaviour of supervisors is the provision of information and feedback that leads to a sense of member worth and purpose. A member’s commitment to stay is strongly influenced by a perceived connection between their work and the organisation’s strategic mission.

3.32 Leadership is therefore the most influential variable affecting job performance and job satisfaction. Defence needs to maintain a well tuned, long-term and integrated focus on leadership that creates the conditions for leaders at all levels and in all functions to be responsible for their people. ADF leadership plays a decisive role in enhancing employee commitment. Leader behaviours that have a direct bearing on the intention of members to stay include clearly articulating organisational goals, demonstrating honesty and integrity, the provision of positive feedback and the setting of realistic performance expectations.

TEN PRINCIPLES FOR LEADING AUSTRALIAN DEFENCE FORCE PEOPLE 3.33

3.33 These principles, first included in Army’s leadership doctrine in 1973, have withstood the test of time and are directly relevant to all arms of the ADF. The principles are useful for self-assessment and development of a personal leadership action plan. They reinforce the leadership behaviours outlined above and support the observation that leadership is best taught by example.

3.34 Be proficient. Leaders must ‘know their stuff’. Sailors, soldiers and airman trust leaders who are confident in their own abilities. To be confident, a leader must be tactically and technically proficient. The leader is also responsible for training subordinates. Proficiency can be attained through a combination of formal training, on-job experience and self-improvement. Successful leaders recognise that developing proficiency is a lifelong pursuit.

At a time when the Army’s senior leadership is struggling to find ways to retain its people the evidence suggests that the solution lies in an area on which the Army has always prided itself—leadership.

From The Real C-Cubed by N. Jans with D. Schmidtchen, 2002

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It is the capacity to develop and improve their skills that distinguish good leaders from others. They have the self-discipline to develop themselves. Some suggestions for expanding proficiency include:

• studying the techniques of successful leaders and adopt the approaches that best suit;

• seeking balance in all that one does;

• maintaining confidence; all leaders at some time in their lives have doubted their ability;

• seeking to develop creativity and constantly ask the question: ‘How can I, or we, do it better?’ and

• motivating self to take positive goal oriented action.

3.35 Know yourself and seek self-improvement. To know themselves, leaders need to understand their own preferences, strengths and weaknesses. This allows the leader to take advantage of strengths and to seek self-improvement to overcome weaknesses. Knowing and understanding one’s strengths and weaknesses is the first step, doing something about them is the next. Leaders must take responsibility for shaping their own circumstances and experiences into success. Gaining insight into one’s strengths and weaknesses requires allocation of regular time for reflection on performance. Self-awareness, one of four endowments illustrated below, allows humans to have greater control over their behaviour. Awareness and control allow people to respond instinctively to what happens around them. This is referred to as the ability to create a gap between stimulus and response. When something happens we typically have the chance to evaluate the event and also our likely reaction before we actually do anything. In that time we can check what we want to do, use our imagination or creativity in choosing a response, use judgement in choosing the best course of action and apply our conscience to decide if it is right or wrong to do what we are about to do. If you know yourself and make a conscious effort to improve you will have laid the foundation for knowing others. If you understand this then you will find it easier to improve your own strengths and weaknesses. The more you are aware of your own values, needs and biases, the less likely you will be to impose your feelings onto others. Also you will be able to act in a manner which reflects and is consistent with your values. This will lead to credibility which is important to any member of a group, be they leader or follower.

3.36 Seek and accept responsibility. Leading always involves responsibility. A leader must be prepared to accept those responsibilities when they accept the role of a leader. These include both those responsibilities passed from superiors and those demands of subordinates.

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Beyond stated responsibilities, seniors expect leaders to take the initiative within the stated vision and to also train and encourage subordinates to seek responsibility. When a leader sees something that requires action, they do not wait to be told to act but take the responsibility. The example set by assuming responsibilities helps to shape a team. When a leader makes mistakes, they accept fair criticism and take corrective action. Leaders avoid blaming someone else and accept responsibility for the actions of their team in order to keep their confidence.

3.37 Lead by example. Sailors, soldiers and airmen will want and need the leader to be a role model. No aspect of leadership is more powerful. If the leader expects courage, competence, candour, commitment and integrity from followers, then the leader must personally demonstrate those qualities. High, but attainable, standards should be set, and the leader should be willing to do what is required of the rest of the team, and share dangers and hardships with them. The leader’s personal example will affect followers more than any amount of instruction or form of discipline. The leader must become a model that others trust and choose to follow.

3.38 Provide direction. A team must understand its purpose. Each member needs to know the task to be done, the standard to be achieved and the time frames within which it is to be achieved. Being able to analyse the superior commander’s intent and operate within the environment of mission command is essential for success. In the absence of orders, the leader and the team should have the skills, knowledge and initiative to act in accordance with the commander’s vision. The following hints will help in using this principle:

• be sure there is a need for an order;

• use the established chain of command;

• study the joint military appreciation process;

• develop the ability to communicate clearly;

• encourage the team to seek explanation of anything which is not clear;

• by questions and scenario based quick decision exercises, confirm the team’s understanding of orders, the context of the situation, and the superior commander’s intent; and

• supervise the execution of orders to ensure the intent is being achieved, but do not stifle initiative by over supervising and make every possible means available to the team to assist them in their task.

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3.39 Know and care for your subordinates. The leader needs to commit time and effort to listen to and learn about their followers. Leaders strive to understand what makes their sailors, soldiers or airman tick and what is important to them. Leaders who show genuine concern for their team will find that they will trust and respect the leader in response. Failure to care for them during training will give the message that the leader will put little value on their lives in battle. It is insufficient to tell the team that the leader cares for them, it must be demonstrated. People have a range of needs that they want satisfied. These range from the need for food and shelter to the need for meaningful work and self-development. Accordingly, the leader should:

• be fair and approachable;

• obtain as much knowledge as possible from personal records and personal contact with the team;

• be concerned for subordinates’ domestic circumstance, living conditions and work environment;

• be fair and firm in the administration of reward or discipline;

• provide opportunities to assist subordinates’ personal development; and

• support the team with loyalty and respect.

3.40 Develop the potential of your subordinates. By delegating authority to subordinates a leader will enable subordinates to develop their potential as leaders. When a leader is willing to delegate authority, it indicates trust in the team and will foster an environment where they seek more responsibility. It is the leader’s responsibility to create conditions where subordinates’ potential may flourish. The following points should be remembered:

• use the chain of command;

• tell subordinates what to do, not how to do it and then supervise, intervening only when necessary;

• provide opportunities for team members to perform higher duties;

• be quick to recognise the accomplishments of subordinates—be open with praise and correct any errors constructively; and

• support subordinates—have faith in their performance until convinced otherwise.

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3.41 Make sound and timely decisions. A leader must be able to rapidly assess the situation and make sound decisions. Delaying or avoiding making a decision will create hesitation, loss of confidence, and confusion. Good decisions made at the right time are better than the best decisions made too late. Successful leaders don’t come up with the answers all the time but they do have to be prepared to endorse a decision to act when necessary. Leaders can develop their ability to make sound and timely decisions by:

• Clarifying the issue and gathering the facts. Don’t rely on assumptions. The most frequent mistake in decision making is trying to decide before all the facts are known. Also seek to balance gathering facts with the need to be timely in decision making.

• Practicing making logical assessments of all factors before coming to any decision, even the everyday ones.

• Planning ahead and work out answers to problems, including possible risk.

• Listening to your subordinates and value their knowledge. Seek their opinion and use their thoughts to assist in your decision making process.

• Considering the short and long-term effects of decisions and answer the question: Is it ethical?

• Keeping the team informed of policies and plans so that they also can plan ahead.

3.42 Build the team and challenge their abilities. The Australian military is based on team activities. The leader must develop a camaraderie among subordinates that motivates them to willingly and confidently meet all challenges. Team members need confidence in the leader’s ability to lead them and in their own ability to perform as a member of the team. The individuals will perform better when they share the goals and achievements of the group. Subordinates will gain satisfaction from performing tasks that are reasonable and challenging but will be frustrated if tasks are too easy, unrealistic, or unattainable, keeping the following points in mind:

• ensure the group is keeping pace with the current training program,

• try to get the best training facilities and resources available and make training innovative and demanding,

• educate subordinates in the duties of other team members and in the duties of adjacent groups,

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• let each individual know the importance of their role in the success of the team, and

• use the full capabilities of the group before requesting assistance.

3.43 Communicate and keep your team informed. Individuals have changed the outcome of battle using initiative in the absence of orders. Keeping subordinates informed helps them to make decisions and execute plans within the leader’s intent, encourages initiative, and improves teamwork. Sailors, soldiers and airmen who are well informed are less likely to be influenced by false rumour and their morale and confidence will be higher than if they were left in the dark. They will look for logic in orders and in a high trust environment will question things that do not make sense. They expect the leader to keep them informed and, when possible, explain reasons for instructions. Leaders will need to work hard at building these relationships, based on mutual respect.

CONCLUSION 3.44

3.44 The ADF achieves results through people but not at their expense. Leadership in the ADF focuses as much on the characteristics of followers as it does on attributes of the leader. Leading people in the ADF involves accepting responsibility for others, modelling values by example, developing people through praise and attempting to shape team culture. ADF leaders understand the importance of their mission, but they also understand that if they care for their people and empower them, results will follow.

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CHAPTER 4

LEADING THE ORGANISATION—STRATEGIC LEADERSHIP 4

INTRODUCTION 4.1

4.1 There are two major leadership functions in the ADF. The one that has been dealt with thus far is leading people. The other major leadership function, primarily concerned with developing and maintaining the ADF’s military and professional capabilities and creating the conditions for operational success, is leading the organisation—or strategic leadership.

Executive summary

• Leading the Australian Defence Force (ADF) involves developing and maintaining the ADF’s military and professional capabilities and creating the conditions for operational success.

• Although strategic leaders are generally senior officers, any member of the ADF can lead strategically.

• Strategic leaders shape capability by adapting internal systems to fit the external environment. They have no option but to become change agents.

• Orientation to the external environment is the hallmark of strategic leadership.

• Strategic leaders build and maintain Service culture by exemplifying ADF values.

• Defence has identified the generic capabilities and behaviours required of its strategic leaders.

I am committed to seeing the ADF develop as a balanced, networked and deployable force, staffed by dedicated and professional people, which excels at joint, interagency and coalition operations.

Air Chief Marshal Angus Houston, Senior Non-Commissioned Officer’s Forum, 2006

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Strategic leadership defined 4.2

4.2 Leadership in the ADF has been defined in chapter 1—‘On leadership’as the process of influencing others in order to gain their willing consent in the ethical pursuit of missions. Strategic leadership fits within this definition, but only when the words ‘others’ and ‘missions’ are considerably expanded, as indicated in the next three paragraphs.

4.3 External focus. In leading the organisation, the ‘others’ that the strategic leader attempts to influence are many and varied. Not only do the ‘others’ include all those that supervise and control internal Defence systems, but they also include many people and groups external to Defence. Indeed, the strategic leader will frequently attempt to influence Government and the Australian public on certain issues. As such, the strategic leader employs far reaching and complex social networks in order to affect all-round influence.

4.4 Indirect influence. By the very spread and diverse nature of these ‘others’, the influence exercised by the strategic leader tends to be less direct and more distant than the influence exercised in team leadership. Strategic leaders are more likely to influence through media broadcast, policy formulation, force structure, provision of equipment and shaping work conditions than they are by face-to-face conversations.

4.5 Provide capability. In leading the organisation, the mission that the strategic leader’s focus is on, is the provision of military capability to the Government—both currently and into the future. This mission is broad and complex and involves developing and maintaining both military and professional capabilities as well as creating the conditions for ongoing tactical and operational success.

Table 4–1: Comparison of leading people and leading the organisation

Leading people Leading the organisation

• Influence is directed towards team members

• Influence is close and direct, usually face-to-face

• Mission is tactical or operational in scope, normally discrete and well defined

• Short time frame, achievement of results expected in leader’s tenure

• Influence is directed towards all within ADF as well as many external agencies

• Influence is generally distant or indirect

• Mission is national in scope— providing Government with military capability

• Long time frame, results may not been seen for 20 years

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Australian Defence Force strategic leaders 4.6

4.6 This chapter is not intended to be a job description for the Chief of the Defence Force (CDF) and the Secretary. The function of leading the organisation falls to many senior leaders and their staffs. The ADF is required to deliver military capability to meet our Government’s goals and it is the responsibility of many to sustain and develop the numerous systems and capabilities that are required to meet Defence’s commitments, both now and into the future. Strategic leaders are the senior officers and senior non-commissioned officers (NCO) who serve in key appointments and by association, the subordinate staffs who work directly for senior officers. Finally, anyone with the ability and desire to influence the development of the ADF’s strategic or professional capabilities is, by definition, a strategic leader1.

4.7 The strategic corporal. Much has been written recently about the strategic Corporal operating in an environment of immediate and long-range media coverage. It is not so much that every Corporal has the desire to lead strategically and shape the ADF’s capability, but rather every corporal can have a strategic effect. Modern communication tools and the global presence of the media mean that the effects of tactical leadership decisions can have strategic consequences. This, however, is not strategic leadership. Ideas and imagination, not media coverage, are the currency of strategic leadership.

The purpose of strategic leadership 4.8

4.8 The overriding purpose of strategic leadership in the ADF is to ensure that the Australian Government always has at its disposal a capable Defence Force. As simple as this task may sound, it is an exceedingly complex undertaking.

4.9 Military capability. The many possible permutations of future operations complicate development of appropriate forces, both in terms of structure and equipment. Future Australian demographic trends, with a shrinking labour market, will compound the personnel equation. Changing environmental circumstances, both political and social, make it difficult to predict future member commitment to serve. Despite these complexities, the Government and the Australian people expect the ADF to be prepared to meet whatever the uncertain future may bring.

4.10 Fundamental inputs to capability. In the ADF, military capability is defined as the combination of force structure and preparedness, which enables the nation to exercise military power (Australian Defence Doctrine Publication 00.2—Preparedness and Mobilisation). Military capability is

1 This definition is adopted from the Canadian Forces.

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managed using a systems approach where the more tangible inputs, termed the fundamental inputs to capability (FIC), are combined to achieve Government goals. To ensure consistency across Defence in establishing and reporting levels of preparedness, the FIC have been consolidated into a single check list. The eight FIC are:

• command and management,

• organisation,

• collective training,

• major systems,

• supplies,

• facilities,

• support, and

• people.

4.11 Strategic leaders in Defence use the FIC to ensure that non-financial resource management is linked to available financial resources and that Defence can approach its core business in a holistic manner. This is not to say that strategic leaders are focused solely on the material aspects of capability and not the people aspects. A glance at the executive construct of the Defence Leadership Framework (DLF) indicates the strength of the strategic leader’s people focus (see annex A to this chapter).

The ADF needs to be balanced because in my experience I can’t think of circumstances where we’ve had more uncertainty in our strategic circumstances. If we look out into the longer-term future, we see the possibility of strategic competition in our region between the big powers and close to home we see the potential for instability in the immediate neighbourhood. We also face a very lethal asymmetric threat. So I think we have to be balanced and I think we also have to be responsive to what we might have to do in the near term. It means that we have to be a very adaptable defence force and we need to be very flexible in the way we employ it.

Air Chief Marshal Angus Houston, Senior Leadership Group, 2005

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The role of strategic leaders 4.12

4.12 There are principally two roles for strategic leaders in Defence. Firstly they are expected to shape the military capability required by Government, both for current application and into the future. Secondly, they are to create conditions for operational success, both now and into the future.

Figure 4–1: Strategic leaders shape capability and create conditions for success

4.13 Shape capability. Strategic leaders develop, shape and maintain ADF capability in two major ways. Firstly, by adapting the FIC to fit the current and future external environment, through strategic planning and the implementation of subsequent change. Secondly, by influencing the external environment through Public Affairs, strategic partnerships and professional networking:

• Adapting fundamental inputs to capability to fit external environment. The number of people predicted to enter the Australian workforce in 2020 will be a quarter of the size of the entry pool experienced in 2001. The ADF will clearly have to adapt to this external situation by adjusting some, if not all, of the FIC listed above. Major systems will have to be adapted to operate with fewer people. Facilities may have to be rationalised and supplies adjusted. Although

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the Australian demographic situation is one of the ADF’s biggest strategic challenges, any major change in the external environment will most likely require consequent adjustment to the FIC. Recent examples of FIC adjustments to fit changing environmental circumstances include the increase in intelligence personnel and the purchase of C–17 Heavy Lift aircraft as a response to changing security threats. Adapting internal systems as a result of external pressure invariably involves change. As a result, strategic leaders have no option but to become agents of change.

• Influencing the external environment. The defining feature of strategic leadership is an orientation to the external environment. Strategic leaders must manage the relationship between the ADF and the many components of the external environment. These relationships will not only include the Government and its agencies but also other security forces such as the Australian Federal Police, the private sector, the media and the public. For many years the ADF has enjoyed strong public support, both within localised Defence communities and across the nation. Whether it be the protection of wildlife at Jervis Bay or partnership with Australian aviation industry at Wagga Wagga, strategic leader influence has resulted in strong local support which better enables capability delivery. On a national level, the carefully managed ADF/media relationship during operations in East Timor in 1999/2000 resulted in favourable public opinion and high praise for all those involved in the operation.

4.14 Create conditions for success. Strategic leaders also shape and influence the task environment of the operational level and tactical level leaders. Strategic leaders must strive to create conditions for operational success and this they do in two major ways. Firstly, by aligning internal systems so that all within Defence are pulling in the same direction and members can see they are making a worthwhile contribution. Secondly, by shaping ADF culture and ethos so that all members identify strongly with the ADF, feel committed to it, and are proud to serve:

• Aligning systems. The CDF’s vision follows the executive summary to this chapter. A clear vision is crucial to the health of any organisation. It provides a common focus for the allocation of resources, and is the basis for unified effort. To the extent it is shared by all members, it draws them together, thereby providing at least a beginning basis for collaborative effort. CDF’s vision gives meaning to the work of the members in the sense of showing them that their effort is significant when judged by reference to a higher purpose.

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• Over the past decade, the ADF has undergone a number of renewal initiatives—driven by resource limitations, downsizing requirements and greater attention to core business. The increased use of contractors, subcontractors, suppliers and industry has resulted in increased complexity in the internal environment. Strategic leaders ensure that the systems they are responsible for works well with this internal complexity and remain aligned to the broader Defence mission and vision.

• In achieving alignment of effort, strategic leaders have to work hard at the interface between Government and the operational levels of Defence. Government departments reserve the right to delay decisions until all available information is collected. Even then, the situation may remain ambiguous with friction between departments. On the other hand, operational and tactical leaders expect and enjoy timely, clear and unambiguous direction. One important alignment role of strategic leaders is to interpret strategic level ambiguity and friction and present it as operational level clarity.

HISTORICAL EXAMPLE—ALIGNING SYSTEMSTo fulfil my role as a leader in this organisation, I needed to focus a huge effort on vision and communication. We needed to develop a clear picture of where the organisation was headed in the future and how we were going to get there. We needed to understand why the future organisation would be more fulfilling for staff than the current one. I needed to use a range of communication methods from personal briefings to newsletters to emails. Most importantly, though, I needed to cascade the right leadership style delivering the right messages through my Directors and Regional Managers. Getting the whole organisation on the same wavelength, aligned to the vision and understanding their place within that vision was my most important task.

Air Commodore Julie Hammer, addressing the Macquarie Graduate School of Management in 2002, about her time as

Commanding Officer Electronic Warfare Squadron

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Figure 4–2: Navy’s Sea Change Program—an example of strategic leadership

• Shaping Australian Defence Force culture. Perhaps the two most important stewardship roles of strategic leaders are to empower subordinates and to encourage a values based culture. Strategic leadership is not about holding on to power. Strategic leaders recognise experienced and skilled members and then empower them. Only empowered members generate innovation and creativity. Junior members of the ADF pay close attention to what senior leaders do, measure and reward and, perhaps more importantly, what senior leaders ignore or overlook.

• The behavior of strategic leaders sends a very clear message to junior staff about what they think is important. For these reasons, strategic leaders need to become almost evangelical in maintaining the ANZAC identity and exemplifying ADF organisational values. They must ensure that new members are appropriately socialised and given every opportunity to consider and adopt the ADF value system. Internalising the values of the organisation will lead to self-regulated behaviour that can only enhance the ADF’s reputation.

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Air Force Adaptive Culture Program—An Example of Strategic Leadership

Air Force aims to be attuned to its environment and act in a purposeful way to achieve its objectives. This means we need flexible, adaptable and responsive people. To be able to adapt to changes in the environment rather than react to them, the way we do things in the Air Force needs to look more like this:

Values based. Being values based means that our skill as living and thinking people matters more than a set of arbitrary rules. Values are the expectations we have about how we are treated, and how we should treat one another. Values shape our behaviour; they do not rule our behaviour.

Open. An open Air Force encourages critical and creative thought and takes appropriate risks to explore opportunities. Being open means listening, not only to others but also to the environment.

Understanding and values relationships. Air Force relies on a complex web of relationships in achieving capability outcomes. Trust based relationships encourage the sharing of knowledge and consideration of others in decision making.

A shared sense of purpose. A team of Air Force people working together towards a shared goal will get there much faster than a group of people pulling in various directions. To adapt quickly and purposefully to environmental change, Air Force people must be able to use their autonomy to reach the shared objectives.

Valuing learning. This is about recognising the value of knowledge in Air Force people and encouraging them to innovate and experiment. It also encourages learning from mistakes rather than a culture of blame. The heart of an adaptive capacity is the use of knowledge and the permission to experiment with it in relation to the changing environment.

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Development of strategic leaders 4.15

4.15 Considering the complexity and broad nature of a strategic leader’s responsibilities, it is not surprising that their developmental needs are equally complex and broad ranging. Three important sources of strategic leader development include professional military education, career progression challenges and mentor feedback.

4.16 Professional military education. The professional military education (PME) of ADF’s future strategic leaders starts early in an individual’s career. Each Service delivers command, leadership and management training via a continuum of career courses. These leadership courses (outlined in chapter 6—‘Developing Australian Defence Force leaders’) introduce the concept of strategic leadership and, towards the end of each continuum, focus on Service specific aspects of strategy. Within the joint environment, the Australian Defence College is the principal deliverer of PME. Both the Australian Command and Staff Course and the Centre for Defence and Strategic Studies expose selected ADF and Defence members to military officers from many other nations and to a broad range of topics. These topics, which form the platform for subsequent strategic leadership, include the following:

• Strategy and the development of strategic thought.

• The organisation, structure and capabilities of the ADF and how these relate to the Australian Government.

• The strategic environment in which the ADF operates. This alone will require coverage of geographic, economic, political and social factors which are themselves constantly changing.

Systems thinking. Systems thinking recognises that everything is interconnected. Changes in one dimension impact on another. Nothing can be done in isolation; however, it is possible to find a simple pattern in an otherwise complex web. This impacts our decision making ability.

There are many people in Air Force doing their bit to transform Air Force into a force for the future. The Adaptive Culture Program aims to influence the achievement of the desired cultural attributes by building networks, guiding, learning, adapting and innovating. This requires leadership at all levels of Air Force.

Air Force Adaptive Culture Program, 2003

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• Regional military technology as well as the cultural and social fabric of Australia’s near neighbours.

• The likely threats to Australian security and a solid coverage of Australia’s regional and international relationships.

• Australian culture, values and social trends.

• ADF and Service culture—given that an understanding of one’s culture should precede any attempt at shaping that culture.

4.17 Career progression. Individuals destined for strategic leadership roles will not only have had structured opportunities to broaden their professional and formal education but will be exposed to a series of progressive staff appointments. These experiences should challenge the member and provide them with the opportunity to think strategically, build organisational capability, lead change within a strategic context, exemplify personal drive and integrity, cultivate productive internal and external relationships and communicate effectively.

4.18 Mentor feedback. Both informal and formal mentoring are encouraged at all levels within the ADF. As a form of leader development, mentor feedback is perhaps more important at the strategic level than at more junior levels. This is because as members rise through the ranks there is a tendency for their subordinates to tell them what they want to hear. On the other hand, feedback from mentors is more likely to be frank and accurate. Informal mentoring is generally left up to the individual to pursue but should be encouraged by groups responsible for officer and NCO development. For example, the Centre for Defence and Strategic Studies maintains a voluntary mentor program whereby members are assigned a mentor of Two-Star rank or civilian equivalent for the duration of the course. Although falling outside the strict definition of mentoring, the Air Force uses a Senior Leadership Team Behavioural Compact to emphasise senior officer commitment to the organisation and to their members. The compact is a signed statement about expected behaviours that commits the member to the organisation’s values and a set of agreed behaviours. Senior leader compacts reflect a two-way commitment with a statement of the supervisor’s commitment to act as a role model and to assist subordinates in achieving agreed outcomes.

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HISTORICAL EXAMPLE—STRATEGIC LEADERSHIPVice Admiral Collins considered himself too young at 49 to fill the post of Chief of Navy Staff but Prime Minister Ben Chifley was adamant that an Australian must lead the Royal Australian Navy (RAN). Collins proved to be a shrewd and capable administrator who enjoyed the respect of the higher echelons of Defence and Government. These qualities were much needed as the Navy was reshaped to meet changing strategic, social and fiscal circumstance. Collins oversaw the introduction of aircraft carriers into the Fleet as well as the involvement of the RAN in the Korean War and the Malayan Emergency. He also instigated coordinated strategic and operational planning by the RAN, Royal Navy and Royal New Zealand Navy. He followed this success in 1951 with similar arrangements with the United States Navy (USN). The resultant Radford-Collins Agreement came to symbolise the post-war primacy of the RAN’s relationship with the USN.

Adapted from Australian Naval Personalities, G. Gilbert, 2006

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Figure 4–3: Executive construct of the Defence Leadership Framework

Strategic leader capabilities 4.19

4.19 Defence Leadership Framework. As stated in chapter 3—‘Leading people in the Australian Defence Force’, Defence has developed a leadership framework which indicates the generic capabilities, proficiencies and associated behaviours for all employees in Defence. The executive level of the DLF includes 05/Executive Level 1 to 09/Senior Executive Service (SES) Band 3 levels and provides a structured listing of the proficiencies and expected behaviours for Defence personnel to perform at any of these identified levels.

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4.20 Executive level capabilities. The DLF is constructed around five major capabilities (referred to as meta-competencies in some academic publications). figure 4–3 extracted from the full Executive Level DLF, indicates the five capability areas for strategic leaders and lists under each capability area, the associated proficiencies.

4.21 Against each proficiency are a number of behaviours. Each behaviour amplifies the proficiency by describing it in more detail. An example of the One-Star/SES Band 1 level framework, complete with associated behaviours, is attached in annex A to this chapter.

CONCLUSION 4.22

4.22 The world of the strategic leader is a complex one—broader responsibilities, more uncertainties to deal with, webs of interpersonal relationships to manage and longer time spans of activity. In general, strategic leaders are responsible for managing large ADF systems and sub-systems, ensuring their efficient and effective internal management and their adaptability to future requirements. Moreover, as a consequence of this extremely broad scope of responsibility, strategic leaders operate in a social environment consisting of numerous collaborative relationships, as well as competing interests and points of view, and requiring the application of multi-directional influence.

4.23 The defining aspect of strategic leadership is the requirement to sustain and develop, now and into the future, the support systems and capabilities that the ADF requires to meet the military needs of Government. In broad terms, the role of the strategic leader is to shape future capability by adapting ADF systems to the external environment and at the same time influence that external environment, while also aligning internal systems and shaping ADF culture.

Annex:A. Defence leadership framework for One–Star level

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DEFENCE LEADERSHIP FRAMEWORK FOR ONE–STAR LEVEL A

1. The five major capability areas (bold below) that have been identified within the Defence Leadership Framework are further broken down to the proficiencies and behaviours expected of the One-Star/Senior Executive Service Band 1 level officer.

a. Shapes strategic thinking:

(1) Inspires a sense of purpose and direction.

(a) Develops the strategic direction for the business unit and creates a shared sense of purpose by demonstrating how elements of the strategy fit together and contribute to higher level goals.

(b) Encourages others’ input and communicates required actions and expected outcomes.

(2) Focuses strategically:

(a) Understands the organisation’s direction and role within Government and society, including the whole of government agenda.

(b) Considers multiple perspectives when assessing the ramifications of issues.

(c) Develops plans that address both current and likely future requirements.

(d) Seeks to align business unit activities with strategic priorities.

(3) Harnesses information and opportunities:

(a) Draws on information and alternative viewpoints and monitors information channels to understand new issues of importance to the Government.

(b) Monitors change in the environment.

(c) Seizes opportunities and adjusts approach to respond to threats.

(d) Addresses any critical information gaps.

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(e) Uses knowledge of the organisation to provide a context for others.

(4) Shows judgement, intelligence and commonsense:

(a) Applies intellect and knowledge to weigh up complex information and identify critical factors and issues.

(b) Works effectively when all of the information is not available.

(c) Explores the options in full and makes sound decisions under pressure.

(d) Considers opportunities and anticipates risk.

(e) Applies lateral thinking and identifies innovative solutions.

b. Achieves results:

(1) Builds organisational capability and responsiveness:

(a) Investigates ways to improve effectiveness by harnessing technology and implementing continuous improvement activities.

(b) Builds team with complementary skills and engages in succession planning.

(c) Responds flexibly to changing circumstances, deploys resources astutely and identifies optimum resourcing combinations.

(d) Creates a flexible environment that enables others to meet changing demands.

(2) Marshals professional expertise:

(a) Integrates professional expertise into the organisation to improve overall performance and delivery of business unit outcomes.

(b) Manages contracts judiciously.

(c) Actively ensures relevant professional input from others is obtained and shares own experience.

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(3) Steers and implements change and deals with uncertainty:

(a) Adopts a planned approach to the management of programs.

(b) Defines high-level objectives and supports translation into implementation strategies.

(c) Operates effectively in an environment of ongoing change and uncertainty and maintains flexibility.

(d) Actively ensures stakeholders are kept informed during times of change.

(4) Ensures closure and delivers on intended results:

(a) Drives a culture of achievement.

(b) Ensures ideas and intended actions become reality and that planned projects result in expected outputs.

(c) Strives for quality and ensures compliance with regulatory requirements.

(d) Puts systems in place to establish and measure accountabilities.

(e) Manages risk that may impede on project outcomes and ensures that key stakeholders are across all relevant issues.

c. Cultivates productive working relationships:

(1) Nurtures internal and external relationships:

(a) Builds and sustains relationships within the organisation, with the Minister’s office and with a diverse range of external stakeholders.

(b) Looks for shared agendas and uses these to bring people together.

(c) Shows a commitment to client service through own actions and those of the business unit.

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(2) Facilitates cooperation and partnerships:

(a) Brings people together and encourages input from key stakeholders.

(b) Facilitates cooperation within and between organisations.

(c) Promotes the reciprocal sharing of information to build knowledge.

(d) Fosters teamwork and rewards cooperative and collaborative behaviour.

(e) Resolves conflict and manages the sensitivities involved.

(3) Values individual differences and diversity:

(a) Recognises the positive benefits that can be gained from diversity and capitalises on these for the benefit of the business unit.

(b) Harnesses understanding of differences to anticipate reactions and enhance interactions.

(c) Recognises the different working styles of individuals and tries to see things from different perspectives.

(4) Guides mentors and develops people:

(a) Encourages and motivates people to engage in continuous learning, and empowers them by delegating responsibility for work.

(b) Sets clear performance standards and gives timely praise and recognition.

(c) Makes time for people and offers full support when required.

(d) Delivers constructive feedback and manages under-performance.

(e) Offers support in time of high pressure and engages in activities to maintain moral.

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(5) Promotes and adopts a positive and balanced approach to work:

(a) Pursues corporate strategy to maintain personal health and wellbeing for the workforce.

d. Exemplifies personal drive and integrity:

(1) Demonstrates professionalism and probity:

(a) Adheres to and promotes organisational values and code of conduct and acts with upmost integrity and professionalism.

(b) Encourages these standards in others.

(c) Operates professionally and within the boundaries of organisational processes and legal and public policy constraints.

(d) Represents the organisation effectively in public and internal forums, and advocates the corporate agenda.

(2) Engages with risk and shows personal courage:

(a) Provides impartial and forthright advice.

(b) Is prepared to make tough corporate decisions to achieve desired outcomes.

(c) Challenges and encourages debate on difficult or controversial issues.

(d) Stands by own position and supports others when required.

(e) Takes responsibility for mistakes and learns from them.

(f) Seeks guidance and advice when required.

(3) Commits to action:

(a) Commits to achieving key outcomes for the organisation.

(b) Demonstrates personal drive, focus and energy.

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(c) Galvanises others to act.

(d) Acts decisively and initiates urgent action to overcome difficult problems.

(4) Displays resilience:

(a) Persists with, and focuses on achieving organisational objectives even in difficult circumstances.

(b) Monitors own emotional reactions and responds to pressure in a controlled manner.

(c) Displays a positive outlook and maintains momentum in difficult situations.

(5) Demonstrates self-awareness and a commitment to personal development:

(a) Examines own performance and regularly seeks feedback from others.

(b) Confidently promotes areas of strength, acknowledges development needs and proactively identifies related learning opportunities to extend skills and experience.

(c) Reflects on own behaviour and recognises the impact on others.

e. Communicates with influence:

(1) Communicates clearly and concisely:

(a) Confidently presents messages in a clear, concise and articulate manner.

(b) Focuses on key points for the audience and uses appropriate, unambiguous language, and explains the implications and ensures the conclusion is clearly conveyed.

(c) Selects the most appropriate medium for conveying information and structures written and oral communication to ensure clarity.

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(2) Listens, understands and adapts to audience:

(a) Seeks to understand the audience and tailors communication style and messages accordingly.

(b) Listens carefully to others and checks to ensure their view has been understood.

(c) Anticipates reactions and prepares a response to address the audiences concerns.

(d) Checks own understanding of others comments and does not allow misunderstandings to linger.

(3) Negotiates persuasively:

(a) Approaches negotiations with a strong grasp of the key issues.

(b) Presents a convincing and balanced rationale.

(c) Anticipates the position of the other party, and is aware of the extent of the potential for compromise.

(d) Acknowledges and addresses disagreements to facilitate mutually beneficial solutions.

(e) Encourages the support of relevant stakeholders.

(f) Focuses on the desired objectives and ensures negotiations remain on track.

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CHAPTER 5

CONTEMPORARY ISSUES FOR LEADERS 5

INTRODUCTION 5.1

5.1 The transformation of work within the information technology revolution in the latter part of the twentieth century has changed organisations dramatically. The new realities of technology intensive, knowledge based processes have specific implications and challenges for the ADF. The aspirational concepts of Network Centric Warfare, effects based approach and force transformation are but three of the challenges presented by the revolution in military technology. These challenges invite a rethinking of basic values, attitudes and assumptions that together influence the culture of Defence. This chapter looks at some related contemporary issues that concern leaders in the ADF. These issues include:

• cultural alignment,

• dysfunctional leader behaviours,

Executive summary

• Australian Defence Force (ADF) culture and subcultures can be major barriers to an aligned and adaptable ADF.

• Dysfunctional leadership may bring immediate and impressive results but is corrosive in the long-term.

• Authoritarian leadership styles can suppress the moral development of subordinates.

• Modern militaries need to reflect as far as possible the cultural and gender diversity of the society it defends.

• Rapidly changing environmental conditions require leaders at all levels to be adaptive and open to innovation.

There will always be leaders who have it in them to brutalise and even kill for their own bad purpose. The only way such leaders can be stopped or at least slowed is by followers who are willing to take them on.

B. Kellerman, 2004

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• diversity and gender balance, and

• adaptive change.

Cultural alignment 5.2

5.2 This chapter indicates that an important role for strategic leaders is to shape ADF culture. Typically, military organisations are characterised by hierarchical structure, strategy formulated at the top, centralised decision making and a rigid, or at least conservative, culture. These organisational characteristics, although excellent for producing reliable and predictable outcomes, are not necessarily well suited for dealing with today’s knowledge intense and turbulent external environment. Organisations that are more flexible, adaptable and able to quickly modify their procedures to reflect new knowledge and insights are more likely to prosper in today’s environment. The term ‘learning organisation’ has been used to describe organisations that are more flexible, adaptive and responsive.

5.3 Australian Defence Force—a learning organisation. Strategic leaders in the ADF are now starting to emphasise behaviours that typify learning organisations. The Royal Australian Air Force (RAAF) Adaptive Culture Program, briefly outlined in chapter 4—‘Leading the organisation—strategic leadership’, stresses the behaviours that are required to adapt to changes in the environment rather than just react to them. Such ‘learning organisation’ behaviours include:

• encouraging critical and creative thought;

• taking appropriate risks to explore opportunities;

• creating a climate conducive to individual and team learning;

• encouraging learning from mistakes rather than a culture of blame; and

• providing incentives for learning, experimentation and innovation.

5.4 Barriers to cultural alignment. Chapter 3—‘Leading people in the Australian Defence Force’ outlined the different Service cultures and suggested that an appreciation of the three cultures was necessary when leading in the joint environment. Although few would suggest that the three Services’ cultures should be made the same, most would agree that no matter what the culture, all Defence members should be pulling in the same direction, share the same sense of purpose and agree on appropriate methods to achieve tasks. A team of ADF people working together towards a shared goal will get there much faster than a group of people pulling in various

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directions. Some of the barriers to cultural alignment in the ADF (or habits that allow members to pull in different directions) include entrenched tribalism, alternative value sets, and even the normally positive can-do attitude.

5.5 Tribal nature of Defence. The different Service cultures, outlined in chapter 3 were seen to derive from the broad function of that particular Service. In other words, the Navy developed its culture from a long history of fighting and winning at sea just as the sister Services developed their culture from functioning in their respective environments. More particularly, these cultural differences flow from distinctive features of unit leadership and employment within the three Services. In the Navy, the core element of professional identity is command at sea and, in a warship, the whole focus is on the bridge, especially when the captain is present. In the Army unit, leadership is more dispersed and the art of land warfare or the ‘brotherhood of arms’ is the core element of professional identity. In the combat RAAF squadron, where aviation technology is core, the commanding officer is seen as the head knight and must perform their technical flying function as well as anyone else (Janes, 2002). These intra-Service distinctions create further sub-cultures within each Service. Within the Navy there are the seamen or submariners and then the rest. In the Army there are combat arms then support corps and then the rest. In the RAAF it is fast jet pilots first, other pilots second and then the rest.

5.6 These intra-Service distinctions create differing levels of expectations or acceptance depending on whether the member is with the ‘in group’ or ‘the rest’. ‘In group’ members perceive their treatment to be fair, justified and appropriate while the rest or ‘out group’ members perceive themselves to be the ‘second eleven’ with commensurate treatment and respect. This tribal nature within Defence can act against attempts to align ADF culture. Although it would be naive to deny these perceptions exist, ADF leaders must suppress cliques, nepotism and elitism while stressing the Defence value of teamwork. ADF leaders know that those actually engaged in combat would face enormous difficulties in the field without support of the highest quality in headquarters, bases and logistic units.

5.7 Alternative value sets. As noted previously, Defence values and those of the three single-Services are roughly congruent and, when combined with other Australian values such as trust, care, compassion and respect, form a solid basis for leadership. The cultural alignment issue associated with values is not so much to do with the various lists of values, but how these agreed lists of values are sometimes sidelined by, or even mutate into, alternative value sets.

5.8 The values espoused by the ADF, such as teamwork and integrity, are not necessarily the values that are rewarded within some ADF subcultures. The values of competition, hierarchy and power dominate in some sections of the ADF, as evidence by the rivalry and blocking tactics between tribes as

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discussed above. The rewarding of alternative values tends to push aside or sideline Defence values. Even more telling is when espoused values are publicly stated but privately punished. At least one whistleblower scheme was discredited because the person with the moral courage to step forward was branded a dobber and ostracised from the work group. In 2004, the media reported a story from a disgruntled member who claimed he was driven from the ADF by his mates because the individual alerted the authorities to incidents of marijuana or social drug use within his group (Nathan Moore in the Weekend Australian, October 2003).

5.9 Essentially, there are always invisible social forces or what can be described as unwritten rules of social order, often with no formal force to back them up, that make it difficult for individuals to act in any way they choose. In fact, any breach of this collective understanding of normal behaviour can draw quite angry reactions. In some groups this social force is so strong that it is able to mutate Defence values so that they no longer represent their common meaning but instead take on a meaning particular to that group. In such groups courage can be seen as stupidity, cowardice can be seen as cunning and cruelty can be seen as daring (Longstaff, 2006). The torture of cats by a small group of Defence personnel in Queensland is an example where such value mutation has occurred (The Age newspaper, June 2004).

5.10 Fortunately, conflict between agreed values is more common than their mutation to unsavoury alternatives. Value conflicts arise not so much when there is a choice between good and evil but rather when there is a choice between good and good. Examples include when loyalty to a mate, who has been observed doing wrong, is in conflict with one’s own integrity or personal set of rules. Individuals sometimes turn a blind eye when a good mate is involved in wrong doing, yet in similar circumstances with other people, they would have taken corrective action. Another less common example of value conflict occurs when an individual’s innovative idea is in conflict with the group’s concept of teamwork. Bright ideas may never be tested because they are swamped by the power of ‘group-think’.

5.11 Although there is no real golden rule for knowing what ought to be done in these and other ambiguous situations, two guidelines are supported by the ADF. Firstly, place the Defence value ‘integrity’ as principle amongst the other Defence values and secondly, before taking action, consider how that action would look next day as headlines in a daily paper or as a lead story in the evening news.

5.12 Can-do attitude. The military emphasis on mission achievement, irrespective of the associated human performance constraints and costs, has been termed the can-do attitude (Falconer and Murphy, 2005). In the ADF, the ability to achieve a task or mission on time, no matter the resource or human challenge, is a source of professional pride. Indeed, the performance principles contained within the Defence Leadership Model (see chapter 3)

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stress the importance of challenge to both team and leader. Teams and individuals often perform beyond their expected limitations when challenged and guided by experienced leaders. However, such challenges can generate trade-offs, and in safety-critical domains these compromises may eventually come at great cost in the form of accidents. Members routinely applying a can-do attitude may be blind to the subtle build-up of risks, shortcuts or exhaustion that can align to cause injury or even death. This can-do attitude has been seen as a partial cause for some of Defence’s worst peacetime disasters, including the crash of two Black Hawk helicopters in 1996 resulting in the death of 18 servicemen.

Figure 5–1: Leaders must feel respected and proficient enough to assertively communicate resource implications to superiors

5.13 Associated with this can-do attitude is the pressure put on leaders to accomplish tasks handed down to them. If the leader points out concerns or is reticent about achieving the tasks, they are often replaced by someone who will achieve the task, with obvious implications about the career prospects of the replaced leader. The alignment that is required to deal with the can-do attitude relates to balancing the productive aspects of team and individual challenge with a sensible risk management approach. Leaders should continue to stretch their teams but be ever aware of team stress and safety (see chapter 1—‘On leadership’). Members must be trained to recognise conflicting goals and to seek or to make specific priorities among them. They

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must feel respected and proficient enough to assertively communicate resource implications to superiors who may not be aware of the full ramifications of their decisions at the level of the operator.

5.14 Culture has been described as the way things are done around here. Accepting this phrase as representing the essence of ADF culture, then cultural alignment is making sure that ‘the way’ is invariably safe, based on agreed ethical principles and that the ‘things’ are of value—not only to the group but to the ADF, the Government and the Australian people.

Dysfunctional leadership behaviours 5.15

5.15 Although people like to think that leadership behaviour is always for the good of the group, organisation and wider community, some leadership behaviours, either intentionally or otherwise, result in negative or unethical outcomes. The ethnic cleansing practiced by Adolph Hitler in World War II and Slobodan Milosevic in Kosovo are extreme examples. Although modern Australians would like to believe that these two examples could never happen in a society that values tolerance, respect, diversity and giving everybody a fair go, Australia’s early history also included an example of ethnic cleansing with the extermination of Tasmanian aboriginals in the 1800’s. In a completely different vein, some Australian business leaders such as Alan Bond and Christopher Skase have succumbed to self-importance and indulgence that has resulted in the abuse of those they seek to lead and influence. Three areas of dysfunctional leadership that the ADF needs to remain ever vigilant against are:

• self-serving leadership;

• an aggressive task focus to impress supervisors; and

• the suppression of moral development in subordinates by the overuse of autocratic leadership styles.

5.16 Self-serving leadership. ADF leaders must guard against their own sense of self-importance and recognise that leadership in the ADF is about serving others, not serving themselves. As noted in chapter 1, all leaders need considerable self-confidence, ambition and some amount of narcissism to strive for leadership positions. Too much leader narcissism, however, can be very damaging to subordinates and eventually the organisation1. Overly narcissistic or self-serving leaders tend to personalise their vision of the organisation, pursue results for their own benefit and are contemptuous towards others that do not agree with them. The behaviour of self-serving leaders is not necessarily brash or loud but can be very subtle. Self-serving

1 As reported in article ‘Narcissism and Leadership: An Objective Relations Perspective’ from the book Leaders & the Leadership Process by J. Pierce and J. Newstrom, 2006.

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leaders are very good at image management and tend to surround themselves with sycophantic yes-men. They tend to use stereotypes to describe other groups and ingratiate themselves with their followers through an appeal to the group’s uniqueness. They are able to influence others by emotional appeals rather than the use of rational argument. They are therefore more likely to engender envy, greed, hate and conflict rather than altruism, harmony and cooperation. Tribal cultures with strongly held but exclusive norms, appeals to racism and appeals to elitism all point towards self-serving leadership.

5.17 The ADF condemns self-serving leadership but supports values based leadership where the values of the leader reflect social responsibility and benefits the greater good. As highlighted in chapters 3 and 4 of this publication, leadership in the ADF is about serving other people and the organisation.

5.18 Aggressive task focus. At times, ADF leaders are required to drive their subordinates very hard to achieve tasks. This drive may be to meet an urgent contractual deadline or to satisfy an important political imperative. A leader with a continuous and unrelenting drive to achieve, sometimes referred to as a firefighter, can be counterproductive over the long-term. Such individuals are good at getting tasks done but often hurt people in the process. Impressive short-term results are achieved but with a legacy of long-term damage to the individuals involved—often a legacy that is passed on to the next supervisor to rectify.

5.19 For many years, leader behaviour has been viewed along two independent variables, one being a task focus (or structure orientation) and the other being a people focus (or consideration orientation). Briefly, a task focus includes behaviour in which the leader defines roles, outlines expectations and pushes for achievement. On the other hand, a people focus includes behaviours in which the leader encourages participation in decision making and promotes two-way communication. Not surprisingly, research has shown that a leader who shows high people focus or consideration is rewarded with lower subordinate grievances and lower turnover. Conversely, a leader who shows high task focus (alone) is faced with high subordinate

It is also possible to produce lists of leadership traits that are at best counter-productive and at worst destructive. Abuse of power, overly authoritarian behaviour, lack of appropriate or necessary consultation before making decisions, and behaviour that is not in line with Navy values would be high on such a list. Bad leadership has important implications, now and in the future, for its impact on people and their willingness to stay and perform in the Navy

Chief of Navy Command Guide, 2003

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grievances and turnover. What is interesting, however, is that the level of grievance and turnover stays constant when the leader initially establishes a high people focus and then increases task focus or structure. The lesson here for the ADF is that leaders should first focus on individual consideration and then build task structure upon this foundation. Within the Service, there will always be periods of high operational tempo. These times are more easily weathered when ADF leaders have established a foundation of consideration. In terms of retaining a productive and satisfied workforce, the ADF leader must first focus on their people.

5.20 Suppression of moral development. In the early pre-conventional2stage of moral development, individuals define good behaviour as behaviour that is praised or rewarded and bad behaviour as behaviour that is punished. A young child will believe that stealing is wrong, not because of broken trust or property concerns, but because you get punished if you get caught. Any discipline system that relies totally on reward and punishment to control its members will reinforce this pre-conventional stage and retard further moral development within its members. Autocratic or directive leadership styles also rely heavily on obedience, reward and punishment and similarly retard moral development. When members are encouraged to obey orders for fear of punishment rather than any appreciation of the order’s purpose, they are in effect suspending any moral judgement. As indicated in chapter 2—‘Leadership in the military’, the moral development of military members is often suppressed by the predominant leadership patterns associated with military service. Autocratic or directive leadership relies on uncritical obedience to external authority and results in dependable task completion—but it also suppresses moral development.

5.21 The ADF encourages a balance in leadership styles rather than an overuse of directive and authoritarian styles. It is a leader’s responsibility to encourage individuals to break free from the shackles of the early stage of moral development and progress towards a more internally controlled state. When certain values are internalised and used to regulate individual behaviour, the need for regulations and constant supervision diminishes. Not surprisingly, there is a similar progression in the development of ethical or moral reasoning. At higher levels of moral development, an individual stops defining right and wrong in terms of rules and punishment and instead develops internal moral principles that define right and wrong from a universal values point of view. This is why the inculcation of civil and military values is so important. A simple example of this progression is when someone decides not to bully a subordinate because of the value of human dignity rather than

2 The ‘Pre-Conventional’ stage is defined by Kohlberg (1976) as individuals who emphasise obedience structure to escape from punishment.

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any fear of punishment. A leader’s responsibility in the development of their people involves both modelling moral and values based behaviour and encouraging discussion and reflection on moral or ethical dilemmas.

Diversity 5.22

5.22 Diversity relates to differences based on two broad dimensions. Inborn differences are those differences that have an impact throughout a person’s life such as gender, skin colour and mental abilities. Acquired difference are those differences that are picked up as a result of profound experiences such as involvement in war or the emersion in another culture. The two major diversity issues within the ADF come from each of these dimensions, one being gender diversity and the other being cultural diversity. The strategic challenge for the ADF is to strive for greater representation of both these groups to better reflect the make-up of Australian society. At the tactical and operational levels, leaders need to recognise that each person brings value and benefit based on their unique diversity characteristics.

5.23 Gender. In contemporary management literature, men are stereotyped as being task focused and assertive—and therefore favour a more autocratic and directive style of leadership. By contrast, women are stereotyped as being more empathetic and people focused—and therefore favour a more democratic and collaborative style of leadership. Nevertheless, research has failed to find these stereotypes in organisational settings where it has been discovered that organisational norms override sex-differentiated styles. Organisational leadership roles usually provide clear and unambiguous behaviour guidelines. Supervisors of both sexes are more concerned about leading effectively than representing societal gender roles. More recent research has focused on the effect of organisational culture on leadership style. Within most Australian organisations, a numerically male dominated hierarchy nurtures male leadership stereotypes while at the same time suppresses female leadership stereotypes (Eagly and Johnson, 1990). This research is cause for concern in modern organisations where people focused and democratic leadership (stereotypic female styles) are of increasing importance when compared to traditional male leadership styles. The proceeding sections of this chapter have also indicated that overly task focused and autocratic leadership styles (typical male) have some severe shortcomings when overused.

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5.24 In the aggregate, male and female leaders are equally effective but this is not so in every situation. Research has indicated that female leaders do not fare well in those situations that are perceived as masculine in nature, such as the military, just as men do not fare well in situations that are perceived as feminine in nature, such as social service organisations3. For leadership roles that are typically regarded as especially suitable for men, negative attitudes towards female leaders prevails. Such negative perceptions are evident in the ADF where some long serving members tend to have negative attitudes about women occupying leadership roles.

Figure 5–2: Navy has the highest proportion of female members at approximately 17 per cent; on the other hand, Navy has the lowest proportion of members with non-English speaking backgrounds at

seven per cent

3 As reported in article ‘Leadership and the Role of Gender’ from the book Leaders & the Leadership Process by J. Pierce and J. Newstrom, 2006.

HISTORICAL EXAMPLE—DISCRIMINATIONGroup Captain Clare Stevenson was a senior executive with the Berlei company who was in 1940 appointed as the first director of the Womens Auxiliary Australian Air Force. She found her job full of discrimination, difficulty and loneliness. While the women she led discovered the camaraderie of shared hardship and the excitement of being independent from home and doing jobs never before performed by females in Australia, Stevenson had to fight against the patronising attitudes of Air Marshals and politicians...

From The Royal Australian Air Force by Alan Stephens

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5.25 Women are under pressure to adopt male stereotypic styles of leadership in male dominated environments such as the military (Gardiner, 2002). Compounding this is the fact that females in the ADF are a small minority and females in senior leadership roles are almost non-existent. In 2006, there were no females above One-Star rank in the ADF and only one in each Service at One-Star rank. When women leaders are rare, the tendency for them to be more participative and democratic is dramatically eroded.

5.26 Although women now have increasing presence in the ADF (estimated at some 13 per cent), there is a need to increase the representation of this half of the employment pool. Moreover, not unlike many of the other professions, there are also some serious concerns related to female representation in upper levels of management. The ADF has come a long way in terms of equity—the right for female representation around the table. It has still some way to go in terms of diversity—valuing the perspective offered by females. A greater proportion of females in the ADF is a long-term strategic aim of Defence, but the more immediate requirement for ADF leaders at all levels is to change prevailing culture so that the ADF is more accepting of the diversity offered by female leadership styles.

5.27 The impact of cultural diversity on leadership is perhaps not so clearly determined. One reason for this may be the culturally narrow base upon which the contemporary leadership discourse has developed. A discourse that is dominated by the Anglo-American world, and to a lesser extent Western Europe, cannot be presumed to be easily transferable to Asian, Eastern European, South American or African contexts. The biggest restraint to constructively mobilising the asset of diversity in the ADF is ethnocentricity. This relates to the belief in the intrinsic superiority of one’s own cultural norms. Unfortunately, this is also often accompanied by feelings of paternalism, or even dislike and contempt for other groups. Cultural diversity aids a more adaptable ADF, a force that is more able to transform to meet the large variety of regional tasks expected in the future. Leaders can promote diversity in all forms by examining their own assumptions and recognising that diversity is good. Any local program that aims to build diversity into the ADF requires a culture that values diversity; the creation of structures, systems and processes that support diversity; and training to promote awareness of diversity. For these strategies to succeed, active support by senior leadership is fundamental. Some examples of how diversity can benefit the ADF include:

• at the system level, embracing diversity as a policy supports resource acquisition through the benefits of a reputation as a preferred employer;

• at an operational level, the insight and cultural sensitivity that people from other culture can bring when engaged in multinational operations;

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• at group level, greater creativity and less conformity is possible when accessing diverse perspectives; and

• within teams, research points to better problem solving with the increased range of perspectives and knowledge offered through cultural diversity.

Adaptive change 5.28

5.28 When a group or organisation is facing a problem, members often look to the leader to provide solutions. Leaders feel compelled to come up with a solution in order to maintain trust and credibility in the eyes of their followers. Some problems, however, do not have any routine or easy solutions. In these cases, the leader must avoid the temptation of shifting blame, fudging answers or accepting sole responsibility for eventually providing the solution. Instead, the leader must skilfully turn the problem back to the members for examination—with the intention of producing new learning and innovative solutions.

5.29 Global warming is an example of a problem that does not have any easy answers and will require new learning and innovation within most societies. Making progress on global warming will require changes in people’s values, attitudes and behaviours. To meet difficult challenges such as global warming, some authors have proposed a concept of leadership called adaptive change (R. Heifetz, 1994). Adaptive change promotes the capacity within followers to adapt to a difficult situation rather than expecting authority to always provide the answers.

5.30 Although the concept of adaptive change goes against the grain of traditional military leadership where the leader is the problem solver, adaptive change has increasing relevance in a complex networked environment. No one commander can be all-knowledgeable and expect to solve all problems in today’s complex world. Under the adaptive change concept, leadership is not about providing expected answers or assured vision but of taking action to clarify both values and reality. Adaptive change requires leaders to act more like facilitators and less like professors.

5.31 Allied to the concept of adaptive change are the human factors associated with Network Centric Warfare and situational awareness. Adaptive change requires a realistic and constantly updated appreciation of the environment in which the group or organisation is immersed. Such an appreciation will facilitate both the early detection of looming problems and group collaboration, thus better positioning the ADF to provide innovative solutions to tomorrow’s challenges.

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CONCLUSION 5.32

5.32 Leadership is a very rich and complex subject. To practice it requires skill, reflection and imagination. Reflection generally refers to what has already happened while imagination refers to what might happen in the future. In a similar respect, the issues discussed in this chapter will have already occurred to some readers while other readers may confront them in the future. There are many contemporary issues for leaders and the four outlined above are by no means all the issues that concern the ADF. Future iterations of this publication will undoubtedly address completely different issues. Indeed, readers are invited to reflect and ponder what issues may surface in the future and submit their thoughts for inclusion in the next publication.

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CHAPTER 6

DEVELOPING AUSTRALIAN DEFENCE FORCE LEADERS 6

INTRODUCTION 6.1

6.1 In the study of world military history, leadership is often credited as the single most decisive factor on the battlefield. Time and again, superior forces have been defeated by a smaller, but better-led foe. It is not surprising, then, that military forces throughout the world have continued to seek an understanding of the nature of leadership, and the principles behind the training and development of effective leaders. Of small size when ranked among the world’s forces, the issue of superior leadership training and development is a crucial one for the ADF.

6.2 Training and development are two distinct, yet related processes. Training involves the conduct of formal exercises and activities as part of a structured program. The principal elements of ADF leadership training include the Services leadership training continuums, most often including leadership

Executive summary

• The Australian Defence Force (ADF) recognises that leadership ability is a function of a given potential, relevant motivation and certain developmental processes.

• Leadership development in the ADF starts at recruit and initial officer training and continues until discharge.

• Leaders in the ADF are developed through a combination of career progression, exposure to other leaders, mentoring, performance appraisal and formal education and training.

• Competency based training is used to deliver fundamental leadership knowledge, skills and attitudes through a continuum of career courses.

• Attitude and values inculcation, or character development, is the principal focus of ADF leadership education.

• The ADF trains towards the Defence Leadership Framework (DLF) which outlines the behaviours expected of leaders and managers at all levels.

• The ADF encourages feedback from team members since followers are very well placed to comment on a leader’s effectiveness.

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education, adventurous training activities and military exercises. Development involves an overarching process that integrates professional military education, mentor and peer interaction, career progression, operational postings and even life experiences. The potential for leadership is inherent in all those selected to join the ADF, the fundamentals of leadership are delivered on ADF courses, and the practice and continued fine tuning of leadership is gained throughout an ADF career.

6.3 The inculcation of Service values is an example of leadership training and development working hand-in-hand to produce a desired outcome. Service values are introduced as words and concepts in initial training but with no real expectation of immediate and unconditional adoption. These values are then displayed and modelled by instructors and staff throughout initial and subsequent training periods. Between training periods, Service values are evident in the behaviour of members engaged in routine field and base activities, at sea in Royal Australian Navy (RAN) ships, on the sporting field, on military exercises and operations. At any time a member can take up a values issue with their supervisor and reflect on their own performance against selected values. Eventually, the values are internalised and start to guide the member’s behaviour, even in the absence of direct military control. As with most leadership capabilities, the initial training is cemented and internalised by subsequent development activities.

Leadership potential, motivation and development 6.4

6.4 Leadership potential. There is an old saying that leaders are born and not made. The genesis of this saying was the early observation that leaders seemed to share certain traits. After much debate and research, psychologists agreed that certain traits do indicate leadership potential. These psychological capabilities, discussed briefly in chapter 1—‘On leadership’, include such things as cognitive ability, self-confidence and an absence of neurosis. The ADF actively selects against these and other psychological capabilities to ensure new members have the potential for leadership.

6.5 Motivation to lead. Leadership potential alone is not sufficient. Many individuals have the psychological capabilities to become leaders but choose not to. Many people are more comfortable as part of a group and shun any opportunity to stand out in front of that group. Many people simply do not want the responsibilities and hardships of leadership. A potential leader, on the other hand, requires the desire and motivation to lead. This motivation may vary according to the situation (some people are happy to lead in non-vocational settings but not at work) but it is strongly related to an individual’s self-esteem and self-confidence. The ADF selects people who are

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motivated to lead and subsequently uses development interventions to increase member’s self-esteem and self-confidence, thereby maintaining leadership motivation.

6.6 A new musician, blessed with a musical ear (potential) and an inclination to play an instrument (motivation), will show improved performance with the aid of formal music training and development. So is the case with young leaders, where training and development will fine tune and enhance their leadership performance. It is in the area of leadership training and development (as opposed to the more innate leadership potential and motivation) that the ADF applies the greatest effort. The ADF recognises, however, that substantial leadership development has already taken place well before the member joins a Service. Leadership development, like character development, starts in early childhood. Parental, family and peer influence, as well as education, social activities, sport and other childhood experiences all determine a future member’s self-esteem and motivation to lead. Pre-service work experience, social responsibilities and civilian mentors further shape early adulthood leadership development. The ADF aims to build on this leadership experience and development.

LEADERSHIP DEVELOPMENT IN THE AUSTRALIAN DEFENCE FORCE 6.7

6.7 For many European nations, modern thought on military leadership development began at the end of World War I. For Australians, in particular, the Great War ended the notion of inbred superiority and the right of nobility to military leadership. The war itself was regarded as a failure of hereditary leadership, and led many western nations to dispose of their hereditary leaders. The huge numbers of casualties suffered in the war had also led to the admission of unprecedented numbers of talented, trained and ‘common’ members into the higher leadership ranks of the engaging forces. The performance of these members strengthened the conviction that leadership is not a birthright, and that leaders can be developed. The door was opened to widespread debate, study and speculation on how future leaders should be trained and developed.

6.8 Sources of leadership development. Like the development of other life skills, leadership is learnt from a variety of sources. Within the ADF, these sources include exposure to other leaders through job rotation and mentoring programs; career progression and other structured opportunities to take responsibility of people—including operational experience; formal leadership education and training and other less structured opportunities for reflection on leadership performance; examination of leadership performance of others via lessons learnt databases, case study and professional reading; and feedback

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on individual leadership performance through both annual appraisal reporting and peer/subordinate feedback. Some of these sources of leadership development are expanded below:

• Job rotation. In order to gain broad-based experience, members of the ADF are required to rotate through jobs every two to three years. In some cases this rotation can occur as frequently as every 18 months. Although some argue that such churn does not allow for the development of job expertise and thwarts strategic thinking, rotations do expose members to a variety of supervisors from which very valuable leadership lessons, both good and bad can be learnt.

• Mentoring. The ADF encourages mentoring and coaching on an informal yet structured basis. The provision of frank and honest advice and guidance from trusted coaches and mentors, with no fear of repercussion, is a powerful tool for leadership development. Leaders at all levels are able to receive valuable feedback and learn about their leadership foibles and quirks in a non-threatening manner.

• Formal leadership education and training. All three Services conduct formal leadership training, starting at recruit and officer entry establishments and then at intervals throughout a member’s career. Broad details of this training continuum are included in annex B to this chapter. Adventurous training, defined as an activity of a challenging physical and mental nature, designed to develop those higher individual and team qualities, such as overcoming fear and stress, that are required for operations and combat, forms part of formal leadership training.

HISTORICAL EXAMPLE—ADVENTUROUS TRAININGWithin an operational context, the skills I picked up from adventurous training had to do with ground appreciation, weather analysis, group dynamics—particularly when that group is afraid—and thinking logically under pressure. These skills had a direct bearing on my performance in East Timor. Certainly, in the 02 August 2000 contact in which two enemy were killed in action, my ability to overcome personal concerns and motivate the lads, I believe, was influenced by being under similar pressures in adventurous training situations...Confidence in yourself is the biggest issue, and its my belief that adventurous training has had a direct effect on my competence as a platoon commander.

Captain Michael Humphreys, Army, 2005

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• Career progression. By its very nature, career progression will involve a gradual increase in responsibility, both in range and depth. Although the number of their direct reports may stay relatively constant, ADF members generally become responsible for a larger number of members as they progress in rank. The considerable responsibilities associated with close face-to-face leadership will remain while the additional responsibilities of distant leadership will be added as individuals move towards strategic leadership roles.

• Additional responsibility. There are many types and forms of additional responsibility and all can be used to aid the development of leadership capabilities. The ADF encourages participation and leadership in team sports and provides opportunities for individuals to lead in mess deck and other communal living situations. In the more structured work environment, the allocation of higher duties or acting rank provides individuals with an opportunity to develop a wider range of personal leadership strategies and styles.

• Performance appraisal. In the ADF, performance appraisal is the continual process of evaluating the performance of individuals. This is formally done, in writing, at least once per year. Performance appraisal reports are a vital component of both the officer and non-commissioned officer (NCO) career management systems and the leadership task. They provide a record of assessments of performance and a statement of development requirements and wishes. Performance appraisals provide the means for the individual officer or NCO to understand their own strengths and weaknesses, as seen by their supervisor, and provides the assessed a view towards improving performance.

• Operations. Perhaps the most confronting, and many would say the best, environment for leadership development is leading ADF members on operations.

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6.9 The ADF has been very successful in recent operations and leadership at all levels has contributed significantly to this success. Further, ADF surveys continue to show that a majority of respondents are satisfied with the leadership provided by their immediate supervisors. Even though it remains difficult to establish a direct link between particular leadership development interventions and down stream leadership successes, the ADF is confident that the development programs that it currently supports are effective.

Formal leadership training 6.10

6.10 Competency based training. Within the ADF, competence is described as the ability to perform activities within an occupation, function, or role, to the standard required in that employment. The concept of competence focuses on what is expected of an individual in the workplace rather than on the learning process itself. In the ADF, the workplace can vary from an office desk in a city to a submarine 200 metres below sea level. Competence also includes the ability to transfer and apply skills and knowledge to new situations and environments.

6.11 Learning domains. Knowledge, skills and attitudes are three components of competence that are recognised within the ADF. These components have been adapted from the cognitive (knowledge), psychomotor (motor skill) and affective (attitudes, values and beliefs) learning domains.

HISTORICAL EXAMPLE—LEADERSHIP DEVELOPMENT THROUGH EXPERIENCE

Within a few months of graduating from Duntroon in 1968, I found myself, like many young men of my generation, fighting a war in Vietnam. What perhaps made my situation different from most—though by no means unique—was the fact that at the age of twenty two I was in very real, practical terms responsible for the lives and wellbeing of 30 other Australians—an infantry platoon of soldiers in our Army’s 9th Battalion. While Duntroon had gone a long way to preparing me for this role, the stark actuality of that responsibility was initially very confronting. An acute awareness of that responsibility has remained with me always.

General Peter Cosgrove, Disaster Conference, 11 September 2003

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6.12 Within the complex subject of leadership, the cognitive domain covers topics such as leadership theories, leadership models and the conceptual aspects of leadership—such as the difference between leadership and management. The psychomotor domain of leadership is less significant but covers the physical aspects involved in communication such as body positioning, voice projection and facial expression. These skills are relevant to all inter-personal activities such as conducting meetings, effective listening, conflict resolution and giving praise and reward. The affective domainembodies interests, attitudes, values and the development of appreciation. This means that the affective domain covers such important leadership concepts as self-confidence, belief in own ability, adaptability, integrity, empathy, ability to handle fear, conscientiousness and many other inter-personal characteristics. The affective domain of leadership is the dimension on which the bulk of ADF leadership programs focus.

Values inculcation through the affective domain 6.13

6.13 Since the affective learning domain provides the key to understanding individual motivation, group dynamics and inter-personal relationships, it is the most important learning domain in leadership development and training. It is through training focused on the affective learning domain that values are inculcated, character is developed and self-discipline eventually replaces imposed discipline.

6.14 External control of behaviour. Discipline is a time honoured military approach used to control member behaviour. This external form of behaviour control is required when members do not understand what is required of them, when members are unwilling to apply the effort required to achieve a task or when members are unwilling to comply with directions or rules. As a means of exercising influence, however, discipline has some serious limitations. For a start, the exercise of external control is extremely demanding on supervisor time and effort. Secondly, everybody will eventually come across a situation where there is no supervisor and no rule to cover the circumstances. It is in these circumstances that self-discipline, or internally regulated behaviour, becomes a superior mode of operation.

6.15 Internally regulated behaviour. Self-discipline stems from the values held by that individual. A member who values personnel health and fitness will show self-control over food intake and exercise. A member who values conscientiousness will turn to an onerous task even in the absence of supervisor or observation. A person who values honesty will return a found wallet. The advantages in consistency, adaptability and sense of self-worth provided by internal regulation make the inculcation of self-discipline and its associated values a key responsibility of ADF leaders. Indeed, self-discipline and initiative are key to the concept of mission command.

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6.16 Effective leader development comes from having fundamental values that underpin leadership behaviour. Leadership values such as care, compassion, trust, integrity, respect, tolerance and moral courage provide a benchmark, against which leaders may reflect on and judge their actions.

Defence Leadership Framework (capability areas) 6.17

6.17 This publication defines leadership as the process of influencing others in order to gain their willing consent in the ethical pursuit of missions. This definition indicates that leadership is more a process, or a relationship with followers, than a skill set that resides within a single individual. Nevertheless, in training members to fulfil leadership positions, certain leadership behaviours and skills are necessary to ensure that the leadership process functions as it should. Appropriate leadership behaviours include such activities as motivating others, communicating clearly, setting an example, engendering trust and developing the team. These and other requisite leadership skills and behaviours are set out within the DLF.

HISTORICAL EXAMPLE—CARE AND COMPASSIONLieutenant Commander Harry Howden, RAN, serving in HMAS AUSTRALIA, put his life on the line for one of his petty officers. During a gale in the North Atlantic in 1928 a heavy sea swept Petty Officer Evan Allan over the side. The Captain brought the ship alongside Allan but the sea was too rough to lower a boat. The jumping ladder was lowered but the exhausted man was unable to grasp it firmly and was in imminent danger of being lost. His heavy sea boots and oilskins were dragging him under. Harry Howden yelled to him to ‘hang on’ and then went down the ladder to make the rescue. He had to let go the ladder. Eventually Howden was able to come up right under Allan and cradled him in his arms till the ladder and both men clinging to it were hauled 30 feet up to the deck. Harry Howden went on to command HMAS HOBART as a very distinguished Cruiser Captain in World War II. Petty Officer Evan Allan served through World War II and died on October 17, 2005 aged 106—the last living Australian to have served in World War I. Harry Howden’s compassion and daring that day in 1928 meant that Evan Allan lived for a further 77 years.

Adapted from article in the Sydney Morning Herald, 19 October 2005

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Figure 6–1: Integrating Defence leadership

6.18 The DLF is a whole of Defence framework that provides guidance and information on the development of leadership skills for all levels within Defence. The DLF integrates Defence’s civilian and Service requirements; figure 6–1 illustrates this. The focus of the DLF is on developing the Defence Executive and supporting foundational competencies for Australian Public Service (APS) staff. Foundational competencies for military staff below the 05 level are developed through existing Service specific frameworks and practices.

Figure 6–2: Leadership capability areas

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6.19 Leadership capabilities. The DLF is constructed around five core capabilities; strategic thinking, results, relationships, communication, and personal drive and integrity as illustrated in figure 6–2.

6.20 Increasing task complexity. As rank and level increase; tasks become more complex and Defence’s expectations of its people becomes greater. To focus this expectation, the DLF competency areas are phrased differently for the executive and foundational levels as described in table 6–1.

Table 6–1: Defence Leadership Framework capability descriptions

6.21 The Executive DLF is modelled on the Integrated Leadership System (ILS) developed by the APS Commission in 2004. This provides for a common framework across the Commonwealth Federal Government sector at the executive and senior executive level. The foundational DLF extends this framework and includes the leadership capabilities and behaviours expected of employees at the APS 1 to APS 6 levels. It was developed through ongoing consultation with various stakeholders, including all the Groups and Services.

6.22 Leadership proficiencies. Each capability area has a number of proficiencies. A proficiency can be defined as knowledge of, and/or the ability to demonstrate a skill or behaviour. For each proficiency the framework describes further the behaviours that the effective person should demonstrate at each level. These leadership proficiencies and behaviours, selected for the

Capability areas

APS 1 to APS 6 05–09/Executive Level 1—Senior Executive Service 3

• Strategic thinking • Shapes strategic thinking

• Results • Achieves results

• Communication • Communicates with influence

• Relationships • Cultivates productive working relationships

• Personal drive and integrity • Exemplifies personal drive and integrity

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appropriate level or rank, are used as the basis for curriculum development in the ADF leadership training continuums. In formal training, where command, management and leadership are often taught in the same module, other related command and management proficiencies are also included in the leadership continuum. An example of a behaviour that falls under the ‘Relationships’ capability is ‘takes time to listen to colleagues and appreciates and responds to their views and needs’.

6.23 Such proficiency statements can appear mechanical or rule-like without the guidance provided by underlying values. In the above case, the values of respect, tolerance and compassion underpin and bring alive the stated proficiency.

Australian Defence Force leadership continuums 6.24

6.24 All Services deliver a continuum of leadership courses that commence at recruit school and then continue throughout a member’s career. These courses normally combine modules on personal development, management, leadership and, later in the member’s career, command. They are variously known as Leadership, Management and Personal Development (LMPD) or Command, Leadership and Management (CLM) continuums. The length and frequency of the individual courses are greater at lower ranks than at senior ranks. The leadership component within these courses generally progresses from:

• self-awareness, to

• leading a team, to

• leading a network of teams, and finally concludes with

• strategic leadership.

6.25 Focused training. The goal of ADF leadership training continuums is to satisfy the leadership needs at each promotional level. In doing so, consideration must be given to the limited time available to training and the general context in which the outcomes of the training are to be applied. In considering context, military training rightfully focuses on the possibility of conflict. At the fundamental level, the application of leadership training outcomes will occur in the workplace environments of peace, or of tension and conflict. Given the consequences of an imperfect performance for each of these environments, and the brevity of our courses, ADF training must necessarily give its greater focus to training for leadership in tension and conflict. Effective military leadership training must replicate as accurately as possible the psychological and physical demands likely to be encountered during operations. Exhaustion, fear and uncertainty cannot be simulated but

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to ensure some element of realism and subsequent success, leadership training continuums must take individuals, teams, and leaders outside their established comfort zones.

Figure 6–3: Effective military leadership training must replicate as accurately as possible the psychological and physical demands likely

to be encountered during operations

6.26 Selection of leadership models and theory. Leadership is a contextual phenomenon and therefore the context in which ADF graduates use the outcomes of their training will determine the most appropriate theory or model for training. Once the workplace context of our leaders is clearly established, the selection of which theory best suits their training becomes relatively simple. There are many benefits in using this established training approach. For example, the workplace leadership training needs of the petty officer can be balanced against the time constraints of their training and linked to the prerequisite training needs of the next rank level. The approach is based on relevance and on proceeding from the simple to the complex. The process of relating the needs of each rank level will lead to a coherent and logical continuum of training, for which the selection of appropriate theories and models is facilitated. Annex A to this chapter indicates the broad process used for model and theory selection. Annex B indicates which sort of models and theories are used at each level of training.

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6.27 Australian Defence Force principles for leadership training. Some training methods and interventions are deliberately emphasised in the early stages of ADF continuum of leadership courses while others are not embraced before some Service leadership experience has been accumulated. Self-confidence building ‘challenge’ type exercises and ‘right of passage’ activities are typical components of recruit and initial officer courses. Other interventions, such as reflection on performance and 360 degree feedback, require Service leadership experience before they are relevant and so are placed mid-way through the leadership development continuum. Other leadership training interventions, such as conceptual vision creation and strategies to understand and shape Service culture relate more to strategic leadership and are therefore placed later in the ADF continuum of leadership courses. To ensure that ADF leadership and management training best utilises available time and builds on a member’s prior experience base, the continuum of courses adopts the following principles:

• The DLF is used to develop leadership and management curriculums and assess the behaviours expected of leaders and managers at the various rank levels.

• The ADF continuum of leadership courses address all three learning domains, as defined in paragraph 6.11, with a particular focus on the affective learning domain.

• A selection of leadership theories and models are utilised within the ADF leadership continuum, depending on the perceived leadership needs of the graduate.

• ADF leadership continuums use a broad range of training methods and interventions, ranging from confidence building obstacle courses through to multi-source leadership feedback tools.

6.28 An outline of the generalised ADF leadership continuum, for both NCO and officer up to and including the rank of major (equivalent), is contained in annex B to this chapter.

Leadership assessment 6.29

6.29 The objective of ADF education and training programs is to change the attitudes, knowledge and skills of individuals and teams so that they can perform competently in the work environment. An observable outcome of education and training is the behaviour of the individual and or team. This observed behaviour is very often the only indication that the education or training program has had any real effect. When the desired behaviour is observed consistently in the work environment under a variety of conditions,

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the education or training program is assessed as being successful. It therefore follows that the leadership behaviours listed under each rank within the DLF form an excellent foundation for leadership assessment.

6.30 Group harmony and cohesion. Further guidelines for assessing the leadership performance for all ranks up to lieutenant colonel (equivalent) are given in Defence Instruction (General) PERS 10–8—Performance Appraisal Reporting in the Australian Defence Force. One of the guidelines relates to group harmony and cohesion. In the leadership context, an implicit organisational objective is group harmony and cohesion. Failure to establish and maintain group harmony and cohesion is therefore assessed as a failure of leadership.

6.31 Peer and subordinate input. Leadership behaviours, such as visioning, motivating others, setting an example, engendering trust, empowering others and developing subordinates are difficult to faithfully observe. The people best placed to assess the existence and sincerity of influence behaviours (and thus the effectiveness of the leadership training) are the subordinates and followers within the leadership relationship. Followers, rather than supervisors, are best placed to comment on the leader’s ability to influence in a positive and constructive manner. For this reason, the ADF encourages supervisors to seek input from peers and subordinates when assessing the leadership capabilities of their staff.

CONCLUSION 6.32

6.32 The ADF recruits young Australians who show potential for leadership. Through a continuum of leadership courses that starts with initial training, the ADF firstly delivers the fundamentals of leadership and then builds on this base by using a framework which outlines the behaviours expected of leaders at all levels. Perhaps most importantly, a rich and varied ADF career—one that can include a range of challenging postings and operational experience—will provide for the practice and continued fine tuning of an individuals leadership development.

Annexes:A. Leadership theory and model selectionB. Description of Australian Defence Force continuum of leadership

courses

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LEADERSHIP THEORY AND MODEL SELECTIONA

1. Range of theories and models. The first leadership theories to follow the Great War were based on the leader’s possession of necessary personal qualities. This approach assumes that good leaders share a common list of traits that can be identified and transferred, through training, to others. Following World War II, the emphasis shifted from inner qualities to observable behaviours. Good leaders were then thought to share common ways of saying and doing things, and that these could also be identified and transferred. By the 1960s, the emphasis shifted to more complex models that involved greater flexibility and movement between the behaviours of leaders, to accord with changes in situation.

2. More recently, models are proposed that are based upon the effectiveness of reward or quasi-economic transactions between the leader and followers (the transactional model); and a more charismatic approach in which the leader recognises and fulfils the higher order needs of followers (the transformational model). Among the most recent offerings, is the concept of effective leaders being possessed of high levels of emotional intelligence. This theory proposes that this intelligence (with which effective leaders have been naturally endowed) can be analysed to a competency level and can, through the processes of competency based training, then be transferred to others.

3. Which theory and model? Complex phenomena are often subjected to modelling when we seek to understand them. In this, the phenomenon is reduced to its constituent parts, each part is examined in detail, the relationship between the parts is established and finally the parts are assembled to reform a representation of the original phenomenon that can be manipulated and studied. Computer emulation of weather systems, wind tunnel experiments on airfoils, and role plays of a social situation are all examples of modelling. Modelling is very useful in an instructional context, as the model provides a structure and vocabulary for the instructor and student to work with, and the very process of reducing complexity to simple fundamentals aids uptake and understanding of the issue. A model can provide check lists for skill practice and it may be used as a basis for discussion, correction and assessment. Complex social phenomena such as leadership can be modelled, and the Australian Defence Force (ADF) uses more than a dozen models in its leadership training.

4. The issue for the ADF is one of finding which combinations of models and theories provide the best platform for our leadership training. The issue has been a confusing one. Every model or theory has been found to be deficient. No two lists of ‘indispensable’ leadership qualities are the same and leadership behaviours have varied dramatically. The greatest deficiency of every model or theory is its lack of transferability; a failure to deliver the

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timeless principles, thought to exist, that underpin all good leadership throughout history, and that could be used to train leaders in other times. Each model and theory may be valid, but—on close examination—only within its own narrow context of time, culture and circumstance. In short, given the right context, every leadership theory is the correct one. For these reasons, a variety of models and theories are utilised in the ADF continuum of leadership courses, as outlined in annex B to this chapter.

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DESCRIPTION OF AUSTRALIAN DEFENCE FORCE CONTINUUM OF LEADERSHIP

COURSES B

1. Australian Defence Force (ADF) recruit courses are important in initiating leadership training. The primary emphasis of recruit training is given to followership. To this end, group responsibilities are imposed (eg area responsibility, group rotational duties, and collective responsibility for group advancement (the award of flashes)). In addition, recruits participate regularly in group activities (eg drill and ceremonial, military challenge activities, team sport and the shared experience of adventurous training). The effect of these activities is to expose many recruits to the concept of teamwork, and the development of a Service identity and esprit de corps. Recruits are made progressively aware of the requirements and functioning of the chain of command, and of the power of group response and of united action.

2. The recruit’s exposure to leadership concepts is continually maintained through the example of the section leading seaman or corporals, and their model behaviour and maintenance of standards. Introductions to leadership responsibilities are delivered through rotational duties as course orderlies, as section commanders and as executive members of recruit committees. The recruit course provides an effective platform on which to base further leadership development opportunities that will present themselves after graduation.

3. The leading seaman or corporal rank generally presents the first line of ADF leadership and is the first promotional rank. The duties of leading seaman and corporals involve immediate supervision in a daily, direct, face-to-face and hands-on role. The new leading seaman or corporal is encountering their first sustained level of leadership responsibility. Previous exposure is generally limited to recruit school and workplace models. To enable the leading seaman and corporal to adapt to the new role, the training need is one of adopting appropriate leadership attitudes and behaviours. Because of this, functional leadership models are used by the ADF for leading seaman and corporal leadership training. Students are exposed to the concept that leaders are recognised by what they say and do. Leadership check lists are provided, not as a fail-safe recipe to leadership but as a guide and confidence booster. Check lists are accompanied by functional models, such as the John Adair model to underpin decision making and the balancing of priorities. Training is generally over a two or three week period. To maximise this limited time, leadership is linked to virtually every element of the course (eg how Service and ADF values are evidenced and demonstrated, by the leading seaman or corporal, in the workplace). Training is conducted in the principles of decision making, setting and maintenance of standards, delegation, motivation, team discipline and conflict resolution. Training is also conducted in subordinate development and on-job training. Adventure

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training type exercises are conducted on course where each student will act as section head. Tasks are conducted in the construction of field defences, patrolling, control of a check point, coordination of range cards and the development of a key point. Students additionally understudy the position and responsibilities of section leader.

4. The petty officers or sergeants are team leaders. While the involvement continues to be in a daily, face-to-face role, the rank should not be underestimated as ADF work groups vary considerably in size. The role confronting the newly promoted petty officer or sergeant is one of extending the functional level delivered on the leading seaman or corporal course. Training needs to cope with the increasing range of workplace variables for which they are now responsible. The training models selected for use at this level of training are situational. The new petty officer or sergeant is now required to adapt their previously learned behaviours to the most appropriate of a range of approaches (directing, coaching, supporting, delegating). An accurate appraisal of the situation is used to determine the most appropriate and effective alternative. One model used is Blanchard’s Situational Leadership II.

5. Again, the brief time constraint determines that leadership underpins the conduct of virtually every course outcome. Items of Service culture (history, customs, rules and traditions) are closely related to petty officer or sergeant workplace attitudes and behaviours. In alignment with the increased scope of their leadership concerns, students also receive training in personnel assessment reporting, interpersonal and workplace relationships; and the rights, obligations and responsibilities of contractors and public servants in Defence. Training is conducted in the establishment of concurrent activities, daily routines, tactical movement, and sleep and stress management.

6. The workplace role of the chief petty officer/flight sergeant/warrant officer 2 is to lead more than one team or work group, and to coordinate their activities and outputs. Chief petty officers (or equivalent) act as the workplace intermediary of their warrant officer, and are identified as the non-commissioned officer (NCO) with the highest levels of personal, workplace interactions. The increased need for personal interaction determines this faculty as the training need for newly promoted chief petty officers/flight sergeants/warrant officers 2 as a logical continuation of their previous leadership training. The ADF has selected a Professional Capability Framework that encompasses technical expertise, generic skills, diagnostic maps and emotional intelligence (EI). The EI approach isolates the elements responsible for individual success, and identifies them as competencies that are capable of transfer through competency based training. Again, leadership (and EI) is closely related to other course outcomes to maximise the training’s

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effectiveness. This involves the relationship of EI to project management. Other roles involve the personal interactions required for the management of rosters, and project management supervision.

7. The workplace role of the ADF warrant officer has characteristics that are the most managerial of the NCO ranks. Contact with the workforce is less immediate and face-to-face and may be primarily maintained through the other senior NCO ranks. Warrant officers are promoted on the basis of long-term and proven leadership capabilities. Their new role, however, has placed a distance between themselves and their formerly, highly interactive workplace. Learning to adapt to a less direct leadership role is the primary training need of the newly promoted warrant officer. The warrant officer’s training needs are related more closely to self-development than their previous training, and—as their leadership is now perceived from a distanced workplace—to the image that they produce. Consequently, Covey’s ‘7 Habits’ has been selected as the most appropriate tool; with its emphases on many higher level issues of leadership (self-management, interdependence, mentoring, stress and time management).

8. As the continuum of leadership training is continually evolving, one role of the warrant officer course is to gain an overview of their subordinates’ leadership development. An awareness of their subordinates’ levels of training is important for the new warrant officer to make the best and most informed use of their staff. The remaining content of the warrant officer course links easily with their leadership training. The training includes, representing the Defence organisation in the civilian community, and performing the duties of a discipline officer.

9. Officer leadership continuum (cadet to major or equivalent).Much like the NCO leadership training continuums, leadership development for ADF officers is carried out by the individual Services. For instance, year one Navy officers (even those destined for the Australian Defence Force Academy (ADFA)) spend six months undertaking Navy initial training and then a further six months of specialist training that includes up to five months at sea. Initial officer training of about 20 weeks duration is also carried out by Army and Air Force. The large exception to this rule is the joint education and training conducted by the Australian Defence College (ADC). About one third of all ADF officers commence their careers at ADFA, the first and largest of ADC’s three joint components. Over a three year period, ADFA cadets and midshipmen undergo a thorough leadership development program that culminates with a five day practical exercise that requires each graduate to lead a small team in a military environment. Coverage of leadership theory is also very thorough and the three year period of training allows for reflection and opportunities to take up leadership positions within the cadet body. Cadets and midshipmen study self-esteem, morality of conflict and ethics in leadership amongst many other topics. To align and prepare for their

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single-Service programs, cadets and midshipmen cover both Adair’s functional model and Blanchard’s ‘Situational Leadership II’ model of leadership.

10. The junior officer workplace can vary considerably. The general assumption, however, is of a workplace containing diverse groups (of Service personnel, public servants, and civilian employees and contractors). Junior officers generally work under a level of senior officer supervision, as ‘first line’ leaders with high levels of interaction with Service subordinates. As leaders at the tactical level, junior officers need a comprehensive understanding of the level of leadership training of each subordinate rank. Their expectations of subordinate performances can be based on this understanding. While their own training needs are at this tactical, operator level, their level of responsibility—and the possibilities offered by the longer course duration—allow this training to be refined to a greater extent. Within the single-Service environment non-ADFA officers also cover functional and situational leadership as well as some elements of EI, as undertaken by the NCO courses.

11. Training is undertaken to the extent necessary to familiarise the junior officer with subordinate levels of training and to provide a basis that will enable them to extend their own leadership development, using more complex models. A number of Service specific models have been selected to achieve this end. The Royal Australian Air Force (RAAF) uses the Parson’s Model, the Army uses a systems approach as described in the Army Leadership Model and the Navy uses a version of the Defence Leadership Model. All of these models attempt to integrate the most desirable elements of a wide cross-section of theories, to their specific military context. Leadership training is undertaken in a series of escalating increments across the initial officer course. In a series of primarily field exercises and practical work-related applications, junior officers are exposed to scenarios of increasing demand and complexity. To acquaint them intimately with the functions of their subordinates, Navy students undertake a four week initial training cruise while RAAF students undertake a week-long ground defence exercise in which students undertake all of the roles associated with each rank. These activities provide a background of realistic expectation, a basis for empathy, and a foundation for their culminating role as an officer in charge of a small team.

12. Lieutenant commander, major or squadron leader. The mid-ranking officer represents the link between the workplace and senior officer direction; it is the first level of senior officer rank. The major’s role is to act as the intermediary for higher level strategic direction, and to coordinate the functions and outputs of larger work groups, that are generally under the control of junior officers. The major is the senior officer rank with the highest volume of personal and workplace interactions. In a real sense, the major

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occupies a middle ground between staff and command roles. As such, a high proportion of major (equivalents) will undertake the one-year Australian Command and Staff Course. The rank has a need to understand the bigger picture concerns of their superiors, and interpret them for the direction and development of their junior officer subordinates. The ability to function effectively in this dual role is the aim of single-Service Professional Military Education Training at this rank. Training is given in the structure of higher level Service and ADF command and its doctrines and processes. The short duration of single-Service courses determines that the focus is primarily operational. Leadership models are used to initially focus on ‘self’, and then extend their concerns to workplace relationships and subordinate development. Myers-Briggs initiates a process of self-knowledge, which is then extended through EI training in self-awareness, self-regulation and motivation. 360 degree feedback is also encouraged. Relationship with subordinates uses concepts and processes drawn primarily from mission command. A workplace culture is created, in which the subordinates are confident of their empowerment to be self-directive and innovative—when occasion demands—to carry through their commander’s intent.

13. Training for the command roles of major rank and equivalents includes presentations and experientials in Service doctrine, and in strategic level planning and command in the ADF. Presentations include Headquarters Joint Operations Command, and the application of the joint military appreciation process. Training is also delivered in workforce planning, and the appropriation and financial management systems. A course emphasis is placed, throughout, on effective interpersonal and workplace relations, the management of stress and fatigue, and the reinforcement of ADF values and culture.

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GLOSSARYcommand

The authority which a commander in the military Service lawfully exercises over subordinates by virtue of rank or assignment. Command includes the authority and responsibility for effectively using available resources and for planning the employment of, organising, directing, coordinating and controlling military forces for the accomplishment of assigned missions. It also includes responsibility for health, welfare, morale and discipline of assigned personnel. (Australian Defence Force Publication (ADFP) 04.1.1—Glossary/The Defence Language Management System (DLMS))

competencyThe specification of a knowledge and skills standard of performance required in the workplace, as set down by Defence Instruction (General) PERS 05–29—Use of the National Skills Framework in Defence vocational and technical education.

Defence Force Discipline Act 1982 (DFDA)Creates Service offences, sets out the machinery for investigating and trying them, specifies the punishments and orders that must be imposed, and provides a review and appeal process. The DFDA does establish the limits of Service, criminal, and disciplinary jurisdiction for the chain of command.

directive1. A military communication in which policy is established or a specific action is ordered.2. A plan issued with a view to putting it into effect when so directed, or in the event that a stated contingency arises.3. Broadly speaking, any communication which initiates or governs action, conduct or procedure.

disciplineThe activities and actions associated with the disciplinary process for civilian and Service personnel. Includes investigation, charges, formal inquiries, punishment and appeals.

doctrineFundamental principles by which military forces or elements thereof guide their actions in support of national objectives. It is authoritative but requires judgement in application. (ADFP 04.1.1)

ADDP 00.6

educationEducation involves participation in activities which aim at developing the knowledge, skill, moral values and understanding required in all aspects of life, rather than skill and knowledge relating to only a limited field of activity. (ADDP 7.0—Doctrine and Training)

fighting powerFighting power is the result of the integration of three interdependent components:a. the intellectual component provides the knowledge to fight, b. the moral component provides the will to fight, and c. the physical component provides the means to fight.

human capitalOur people. The sum of the individual capability and commitment of the military and civilian personnel employed by Defence. Individual capability consists of the skills and competencies, experience and knowledge, and the behaviours and attitudes of each person. Commitment refers to the individual will of each person to apply this capability in the betterment of Defence outcomes.

leadershipThe process of influencing others in order to gain their willing consent in the ethical pursuit of missions. (Australian Government Department of Defence: The Defence Leadership Framework)

managementIn relation to a person employed under the Public Service Act 1922,the Secretary, a Deputy Secretary, Head of Division, Branch, Directorate, Section or Establishment having authority to give an order to that person.

mission commandMission command is a philosophy of command and a system for conducting operations in which subordinates are given a clear indication by a superior of his intentions. The result required, the task, the resources and any constraints are clearly enunciated, however subordinates are allowed the freedom to decide how to achieve the required result. The term ‘directive control’ is synonymous but is being replaced by mission command. Mission command is the internationally, more widely accepted term.

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Network Centric Warfare (NCW)The style of operations that can be undertaken by a networked force where the automatic and rapid transfer of information enables the most effective use of combat power and takes place when the force can operate as a single virtual network.

operationsAny activity needed to gain the objectives of any battle or campaign, any United Nations peacekeeping activity, Defence Force Aid to the Civil Power (DFACP) or an emergency declared by the Chief of the Defence Force. It does not include Defence Assistance to the Civil Community (DACC) or any training, including training for warlike operations.

organisational capitalOur organisation. The strategies, systems, methodologies, and operational processes within Defence that allows it to utilise its human, knowledge and relationship capital. Organisational capital is founded on Defence’s culture and values (professionalism, loyalty, integrity, courage, innovation and teamwork). It is owned by Defence as its intellectual property and proprietary systems.

personnel managementThe process of planning, organising, directing and controlling the recruitment and career development of personnel; the manning of organisations and service conditions including pay and allowances, honours and awards; and the administration of discipline.

preparednessPreparedness is a measurement of how ready (readiness) and how sustainable (sustainability) the whole or part of the Australian Defence Force is to undertake military operations. The readiness of forces to be committed to operations within a specified time is dependent on the availability and proficiency of personnel, equipment, facilities and consumables. Sustainability is measured in terms of the ability to provide personnel, equipment, facilities and consumables to enable a force to complete its period of operations.

propagandaAny information, ideas, doctrines or special appeals disseminated to influence the opinion, emotions, attitudes, or behaviour of any specified group in order to benefit the sponsor either directly or indirectly. Black propaganda is that which purports to emanate from a source other than the true one. Grey propaganda is that which does not specifically identify any source. White propaganda is disseminated and acknowledged by the sponsor or by an accredited agency thereof.

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strategic managementThe function of applying broad systematic management planning for the Defence organisation as a whole. Includes the activities involved with the development, monitoring, and reviewing of business plans, strategic plans, work plans, and corporate plans. It includes the development of the corporate mission, objectives, continuous improvement processes, quality assurance and certification, and the formulation and amendment of legislation which provides the legislative basis for the organisation and includes the function of advising the Minister.

trainingA planned process to inculcate and modify attitude, knowledge or skill behaviour through a learning experience to achieve effective performance in an activity or range of activities against a predetermined standard. (ADDP 7.0)

transactional leadershipA general pattern of influence based on the provision of various rewards or benefits in exchange for extra effort or improved performance; sometimes discussed with reference to principles of economic exchange. (Canadian Forces: Leadership Doctrine)

transformational leadershipA general pattern of influence based on shared core values and mutual commitment and trust between the leader and led, and intended to effect significant or radical improvement in individual, group, or system capabilities and performance; sometimes discussed in the context of social-exchange theory. (Canadian Forces: Leadership Doctrine)

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ACRONYMS AND ABBREVIATIONSADC Australian Defence CollegeADDP Australian Defence Doctrine PublicationADF Australian Defence ForceADFA Australian Defence Force AcademyADFP Australian Defence Force PublicationADFWC Australian Defence Force Warfare CentreAPS Australian Public Service

CDF Chief of the Defence ForceCLM Command, Leadership and Management

DFDA Defence Force Discipline Act 1982DLF Defence Leadership FrameworkDRN Defence Restricted Network

EI emotional intelligence

FIC fundamental inputs to capability

HMAS Her Majesty’s Australian ShipHMS Her Majesty’s Ship

JDDE Joint Doctrine Development EnvironmentJMAP joint military appreciation process

LMPD Leadership, Management and Personal Development

LWD Land Warfare Doctrine

NASPO Navy Aviation Systems Program OfficeNATO North Atlantic Treaty OrganisationNCO non-commissioned officer

PLICIT professionalism, loyalty, integrity, courage, innovation and teamwork

PME professional military educationPMET Professional Military Education and Training

RAAF Royal Australian Air ForceRAN Royal Australian Navy

SES Senior Executive Service

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