Leadership and Command

1. 24 Nov 2005 Leadership and Command BGen (ret�d) Joe Sharpe CPO 1 (ret�d) George Dowler

2. Art or Science? Many think of leadership as an art � you are born with the natural talent, and can only learn so much Others see it as a science � learn the rules and the proper sequencing, and it all falls into place Elements of both are correct � leadership is an art, but it also has a strong scientific component To lead effectively, you must develop the talent AND learn some rules

3. SCHEDULE 10:00 � 12:00 12:00 � 1:30 1:30 � 2:30 2:30 � 3:30 3:30 � 4:30 4:30 � 5:00 Presentation Lunch Intro for individual preparation and analysis Syndicate discussion Plenary Discussion of examples Wrap - up

4. Outline Introduction What is leadership and what is command and why should you care anyway � you just work here? Competency, authority and responsibility Why this model? Leadership principles, command and management Your part of the workshop

6. Introduction � some terms What is the difference between the terms leadership and command (and where does management fit)? Command is the ability to direct and control actions � any individual can command, but not all chose to Leadership is the human dimension of command � only humans can command, but not all humans do command

7. Introduction � some terms Command, to be effective, needs more than leadership � a leader without tools (skills) and a means to use them (authority) cannot achieve the mission You cannot have effective command without competent leadership, but good leadership without an ability to exercise command is useless When things go wrong, it is too easy to blame poor leadership when the command environment is flawed

8. What is a Model? �Model n. A representation that mirrors, duplicates, imitates or in some ways illustrates a pattern of relationships observed in data or in nature �When used in this sense a model becomes a kind of mini-theory, a characterization of a process and, as such, it value and usefulness derive from the predictions one can make from it�� Arthur S. Reber. The Penguin Dictionary of Psychology

9. Command Model Why use a model to discuss leadership? If you don�t have something repeatable, its all just opinion If everyone doesn�t use the same context, then it�s just your opinion Major problems with personality based approach to leadership � we can�t all be Churchill Need a framework to compare experiences and within which to draw lessons to be used to improve the situation � otherwise, you WILL screw up again This model works, and it causes less agony than experimenting with real life

10. CAR Model for �Command� Competency � physical, intellectual, interpersonal and emotional Authority � legal and personal Responsibility � extrinsic and intrinsic Effective command demands a balance amongst competency, authority and responsibility Physical competency is perhaps the most obvious of the four and clearly mandatory for any operational task, from conducting a ground reconnaissance, to loading a weapon, to flying an aircraft. Physical competency is not limited to physical strength, however; it also involves sophisticated sensory motor skills, good health, agility, and endurance. Intellectual competency, is critical for planning missions, monitoring the situation, for reasoning, making inferences, visualizing the problem space, assessing risks and making judgments. Above all, since no two missions will ever be the same, intellectual competency must include creativity, flexibility and a willingness to learn. Emotional competency, a competency strongly associated with resilience, hardiness and the ability to cope under stress. Command demands a degree of emotional maturity to accept the potentially dire consequences of operational decisions. The ability to keep an overall emotional balance and perspective on the situation is critical, as is the ability to maintain a sense of humour. � Interpersonal competency is essential in a military organization for interacting effectively with one�s subordinates, peers, superiors, the media and other government organisations. Rarely are directives or orders sufficient to rally human will and spirit. The development of trust, respect and effective teamwork requires articulateness, empathy, perceptiveness and social understanding on the part of the individual in command. Legal authority is the power to act as assigned by a formal agency outside the military, typically a government. Legal authority, as expressed explicitly in law, assigns commanders resources and personnel for accomplishing the mission. Personal authority is that authority given informally to an individual by peers and subordinates. Unlike legal authority which is made explicit through legal documentation, personal authority is held tacitly. It is earned over time through reputation, experience, strength of character and personal example. Responsibility also has two components: the first, called extrinsic responsibility, involves the obligation for public accountability. Intrinsic responsibility, the second component of responsibility, is the degree of self-generated obligation that one feels towards the military mission. Physical competency is perhaps the most obvious of the four and clearly mandatory for any operational task, from conducting a ground reconnaissance, to loading a weapon, to flying an aircraft. Physical competency is not limited to physical strength, however; it also involves sophisticated sensory motor skills, good health, agility, and endurance. Intellectual competency, is critical for planning missions, monitoring the situation, for reasoning, making inferences, visualizing the problem space, assessing risks and making judgments. Above all, since no two missions will ever be the same, intellectual competency must include creativity, flexibility and a willingness to learn. Emotional competency, a competency strongly associated with resilience, hardiness and the ability to cope under stress. Command demands a degree of emotional maturity to accept the potentially dire consequences of operational decisions. The ability to keep an overall emotional balance and perspective on the situation is critical, as is the ability to maintain a sense of humour. � Interpersonal competency is essential in a military organization for interacting effectively with one�s subordinates, peers, superiors, the media and other government organisations. Rarely are directives or orders sufficient to rally human will and spirit. The development of trust, respect and effective teamwork requires articulateness, empathy, perceptiveness and social understanding on the part of the individual in command. Legal authority is the power to act as assigned by a formal agency outside the military, typically a government. Legal authority, as expressed explicitly in law, assigns commanders resources and personnel for accomplishing the mission. Personal authority is that authority given informally to an individual by peers and subordinates. Unlike legal authority which is made explicit through legal documentation, personal authority is held tacitly. It is earned over time through reputation, experience, strength of character and personal example. Responsibility also has two components: the first, called extrinsic responsibility, involves the obligation for public accountability. Intrinsic responsibility, the second component of responsibility, is the degree of self-generated obligation that one feels towards the military mission.

11. Command-Capability Space

12. Three Dimensions of Command 1. Competency Competencies are the skills and abilities needed to accomplish the job assigned They break down into four general categories Physical Intellectual Emotional Interpersonal

13. Three Dimensions of Command 1. Competency - physical Physical strength, sufficient to the task Sensory motor skills Good health Agility Endurance

14. Three Dimensions of Command 1. Competency - intellectual Planning ability Monitoring the situation Reasoning Making inferences Visualising the problems Assessing risks Making judgements Creativity Flexibility Willingness to learn

15. Three Dimensions of Command 1. Competency - emotional Resilience Hardiness Ability to cope under stress Toughness (ability to accept consequences of decisions) Ability to maintain emotional balance and perspective Sense of humour

16. Three Dimensions of Command 1. Competency - interpersonal Social skills Trust, respect, perceptiveness, and empathy (to promote effective team work) Ability to articulate thoughts, ideas and vision, verbally and in writing

17. Three Dimensions of Command 1. Competency - summary Competency develops over time � continuous learning, both personally and for subordinates, is a leadership responsibility One competency should not be confused with another � just because someone has great physical skill, it does not mean they are intellectually competent Developing competencies may be different for different people � not everyone needs the same developmental program

18. Three Dimensions of Command 2. Authority Authority defines the �commander�s� domain of influence, the degree to which he/she is empowered to act, the scope of the power and the resources available to enact his or her will Authority is assigned from external sources OR that which a person earns by personal credibility Can be considered as legal authority and personal authority

19. Three Dimensions of Command 2. Authority - legal Legal authority is the power to act as assigned by an outside agency Expressed explicitly in laws and regulations, it assigns resources and personnel for accomplishing the task Militaries have a special degree of legal authority, to enforce obedience, and to knowingly place members in harm�s way (if necessary)

20. Three Dimensions of Command 2. Authority - personal Personal authority is given informally by peers and subordinates � it cannot be demanded and it cannot be directed Personal authority is earned over time, based on reputation, experience and character � most often through personal example Achieved by professional knowledge and ability, BUT ethics, values, courage (physical and moral) and integrity are the lasting source for personal authority

21. Relationship between legal and personal authority

22. Three Dimensions of Command 3. Responsibility Responsibility is the degree to which an individual accepts the LEGAL and MORAL liability matching the authority Responsibility is externally generated (extrinsic) and internally generated (intrinsic) Externally imposed responsibility must be accepted � i.e., the individual must be willing to held accountable � before it is effective Intrinsic or internal responsibility is the degree of self-generated obligation towards the task and the people associated with it

23. Three Dimensions of Command 3. Responsibility - Extrinsic Extrinsic responsibility is associated with personal authority � authority which brings expectations Personal authority implies accountability down to those who are the source of empowerment Extrinsic responsibility is the degree to which an individual feels accountable up to superiors and down to subordinates � it is a commitment to dispense power responsibly If not in place, the potential for abuse of power is great

24. Three Dimensions of Command 3. Responsibility - Intrinsic Intrinsic responsibility is associated with the concepts of honour, loyalty and duty This is the most fundamental component in the dimension of command, without which little would ever get accomplished Intrinsic responsibility is greatly affected by whether or not the leader is in the position voluntarily, or feels conscripted to do the task, and whether the position (organisation) is generally respected by the public

25. Responsibility � real world � I cannot take comfort in saying I did the best I could. As a Commander you either accomplish your mission or you don�t. I failed in mine.� Romeo Dallaire My point here is not to blame bureaucrats, or lawyers or doctors for all the command problems we have encountered � just the opposite. In many cases their input has been critical in establishing the right command environment. The point is that the organisation must recognize the consequences of shifting increasing levels of authority to the centre. NDHQ, by the very nature of the beast, is a risk adverse organisation. In the end, putting together command and control scenarios without considering the balance will push the organisation closer to ineffectual command situations at best, and dangerous ones at worst. Some of the specific incidents I will touch on illustrate that quite well. My point here is not to blame bureaucrats, or lawyers or doctors for all the command problems we have encountered � just the opposite. In many cases their input has been critical in establishing the right command environment. The point is that the organisation must recognize the consequences of shifting increasing levels of authority to the centre. NDHQ, by the very nature of the beast, is a risk adverse organisation. In the end, putting together command and control scenarios without considering the balance will push the organisation closer to ineffectual command situations at best, and dangerous ones at worst. Some of the specific incidents I will touch on illustrate that quite well.

26. Relationship between authority and responsibility

27. If there is acceptance of high levels of responsibility without high levels of authority being given, the result is ineffectual command. Ineffectual command undermines the very purpose of an organisation The mission does not get accomplished and the leader (who is powerless to act) feels responsible for not having done so Relationship between authority and responsibility

28. Relationship between authority and responsibility

29. Fourth quadrant represents great potential for abuse of command High level of authority has been assigned or earned, but the individual does not accept responsibility for the use of the power Also represents the situation where automatic systems make the decisions Relationship between authority and responsibility

30. Command-Capability Space

31. Balanced Command Envelope

32. Evolution of a Mature Leader

33. So, how about leadership? Understanding the environment in which leadership takes place is important, but � Knowing and applying fundamental leadership skills is equally important Real leadership requires more than academic knowledge In the real world, people and organisations are hurt when leaders cannot or do not lead

34. Leadership, Command, Management Leadership may be exercised by anyone, regardless of organisational position, and may be directed up, across, down and even outside of the organisation Command is bounded by the lawful authority delegated to an individual and is exercised down the chain Management is bounded by the resource authority delegated to a manager and exercised down the managerial chain

35. Leadership Defined � 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 Generic and value neutral Inclusive of all forms of leadership Could be good, bad or indifferent Could be effective or ineffectiveGeneric and value neutral Inclusive of all forms of leadership Could be good, bad or indifferent Could be effective or ineffective

36. Effective Leadership �� 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

37. Leadership in the Canadian Forces �Effective CF leaders get the job done, look after their people, think and act in terms of the larger team, anticipate and adapt to change, and exemplify the military ethos in all they do.� General Rick Hillier Chief of the Defence Staff

38. Leadership � another description �Influence is the essence of leadership. Much of the activity of formal leaders involves attempts to influence the attitudes and behaviour of people, including subordinates, peers, superiors, and outsiders.� Gary Yukl, Leadership in Organisations, 5th Edition.

39. Management as a Component of Command �Every successful senior military commander in history has demonstrated, if not mastery of, at least competence in managing resources �the skilled application and employment of resources has always been an enduring characteristic of good generalship.� -Vice-Admiral (retired) Gary Garnett

40. Command The essence of command is the expression of the human will In military terms this is known as the commander�s intent Everything a commander does is driven by his/her vision, goal or mission, and the will to realise it Thus, command is the purposeful exercise of authority, over structures, resources, people and activities Military command is unique because it embodies the authority to resort to large scale lethal force, to compel subordinates to go into harm�s way, and to dispense military justice Military command is unique because it embodies the authority to resort to large scale lethal force, to compel subordinates to go into harm�s way, and to dispense military justice

41. Command is � �� the creative expression of human will necessary to accomplish the mission.� Only humans command (but not all of them do) Commanding is not the same as ordering � commanding implies the interpretation of an order and altering it to suit the specifics of a situation Thus a person working alone can command, even though there is no one to order

42. Commanding needs � More than wanting an outcome. Wishing something to happen is insufficient to achieve it The creative expression of human will also requires the means and the opportunity. Thus, to command one needs the resources (and power) and freedom to act � AUTHORITY Commanders must be held accountable fro their creative actions - RESPONSIBILITY

43. Leader Characteristics Knowledge and Skills Cognitive ability (ability to handle abstract concepts and ideas, moral reasoning, professional judgement) Social capacities Personality traits (integrity, adaptability, self-assurance) Professional motivation and values

44. Principles of Leadership Achieve professional competence and pursue self-improvement � look for ways to develop your competency Clarify objectives and intent � know what is expected of you Solve problems, do not avoid them; make timely decisions Direct, motivate by example � share risks and hardship

45. Principles of Leadership Build teamwork, avoid things that corrode team cohesion and find ways to build harmony Train individuals and teams, share your knowledge Keep subordinates informed, explain events and decisions, communicate Mentor, educate and develop subordinates

46. Principles of Leadership Learn from experience, welcome advice from those who have experience, but recognise advice is not direction Exemplify and reinforce organisational culture; maintain discipline; uphold professional norms Treat subordinates fairly, respond to their concerns, represent their interests Maintain situational awareness; seek information; keep current

47. Personal Observations When things go wrong, it must be called a failure, but it is not always a failure of the leader Responsibility and authority are often mismatched � people are assigned responsibility more easily than authority People seek authority more often than responsibility Unintended consequences are pervasive in many organisations � many decisions are made with no idea of eventual consequences, even within the same section To summarize, I repeat my opening observations. The organisation must be conscious of the effect that the command model being used has on the ultimate leader and must allow him the ability to exercise his leadership properly. Accountability and authority must be matched. The organisation must be sensitive to unintended consequences.To summarize, I repeat my opening observations. The organisation must be conscious of the effect that the command model being used has on the ultimate leader and must allow him the ability to exercise his leadership properly. Accountability and authority must be matched. The organisation must be sensitive to unintended consequences.

48. How Do You Meet the Challenge When assigned a leadership task, understand the relationship amongst competency, authority and responsibility that exists � seek a balance Remember and exercise leadership principles Discriminate between advice and direction Your primary responsibility, after the task is completed, is to take care of your subordinates In very simplistic terms, there are three things to help meet the challenge. The first is understanding the need for balance amongst the three components. The second is the willingness to discriminate between advice and direction. And the last has to be the need for the organisation to get back to the fundamental responsibility of taking care of people.In very simplistic terms, there are three things to help meet the challenge. The first is understanding the need for balance amongst the three components. The second is the willingness to discriminate between advice and direction. And the last has to be the need for the organisation to get back to the fundamental responsibility of taking care of people.

49. DND�s ETHICAL HIERARCHY Respect the dignity of all persons Serve Canada before self Obey and support lawful authority

51. 24 Nov 2005 Checklist CWN Workshop

52. First Question Is this a �command� situation, i.e., is there a human in the loop that desires an outcome? Is there a �mission�, a leader, and are there subordinates? Yes � identify who is the �commander�, what outcome is desired and what is the mission or task. No � time to go to the bar

53. Second Question Is this a �balanced� command situation, i.e., are the three components � competency, authority and responsibility � in balance? If yes, can you identify which competencies are key to achieving the balance? If no, can you identify which aspect or aspects are not in balance using the steps that follow?

54. Third Question Is competency a factor in this situation? Physical competency? Physical strength Sensory motor skills Good health Agility Endurance Yes: ______ No: ______ Yes: ______ No: ______ Yes: ______ No: ______ Yes: ______ No: ______ Yes: ______ No: ______ Yes: ______ No: ______ Yes: ______ No: ______

55. SUMMARY

56. Command-Capability Space

57. Leadership Dilemma(through C.A.R.) A good leadership situation implies balance amongst competency authority responsibility

58. Leadership Dilemma A bad leadership situation can develop when competency is low. Attempts to compensate with increased use of authority. Usually responsibility is avoided.

59. Leadership Dilemma A frustrated leadership situation can develop when competency is high, but authority and responsibility have not kept up. The organisation may well lose a competent leader.

60. Leadership Dilemma(through C.A.R.) A good leadership situation will deteriorate when balance disappears � if a leader�s responsibility increases (intrinsic or extrinsic), without an increase in competency and authority, the leader will be ineffectual (but feel bad) and will be blamed for the failure.

61. Contact info BGEN G.E. (Joe) Sharpe 1863 des �pinette ave Orleans, Ontario K1C 6N5 Tel. 613-355-9545

66. Leadership �The day soldiers stop bringing you their problems is the day you have stopped leading them. They have either lost confidence that you can help them or concluded that you do not care Either case is a failure of leadership� Gen. Colin Powell General Powell said it best. Regardless of whether an individual has failed, or the organisation has failed to allow the individual leader to succeed, from the soldiers perspective a failure of leadership has occurred. An organisation must recognise that it destroys the ability of a leader to gain and keep the confidence of his or her troops when it denies them the ability to influence the things that are important in the lives of the members. I believe that in order to understand those organisational issues that impact the success or failure of command, a consistent, repeatable model is essential.General Powell said it best. Regardless of whether an individual has failed, or the organisation has failed to allow the individual leader to succeed, from the soldiers perspective a failure of leadership has occurred. An organisation must recognise that it destroys the ability of a leader to gain and keep the confidence of his or her troops when it denies them the ability to influence the things that are important in the lives of the members. I believe that in order to understand those organisational issues that impact the success or failure of command, a consistent, repeatable model is essential.