Civil Air Patrol Cadet Programs Volume 3 PDF

03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 14:48 Page b VOLUME THREE INDIRECT LEADERSHIP LEARN TO LEAD CIVIL AIR PATROL CADET PROGRAMS...

03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 14:48 Page b VOLUME THREE INDIRECT LEADERSHIP LEARN TO LEAD CIVIL AIR PATROL CADET PROGRAMS CHARACTER AIR FORCE TRADITIONS LEADERSHIP THEORY COMMUNICATIONS CRITICAL THINKING 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page c CIVIL AIR PATROL USAF AUXILIARY “Be the change that you want to see in the world.” GANDHI 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page d VOLUME THREE INDIRECT LEADERSHIP LEARN TO LEAD CIVIL AIR PATROL CADET PROGRAMS 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page e “Only the man who knows how to obey “Few men are willing to brave... the wrath of can understand what it is to command and give orders their society. Moral courage is a rarer commodity when the spears are coming at him and his time than bravery in battle.” to lead has come.” ROBERT F. KENNEDY SOPHOCLES “Only those who will risk going too far can “There are no secrets to success. It is the result of possibly find out how far one can go.” preparation, hard work, and learning from failure.” T. S. ELIOT COLIN POWELL “The medals don’t mean anything and the glory doesn’t last. It’s all about your happiness.” JACKIE JOYNER- KERSEE “Miss Jean Louise, stand up. Your father’s passin’.” HARPER LEE LEARN TO LEAD Published by Civil Air Patrol Maxwell Air Force Base, Ala. CURT LAFOND with Associate Editors NEIL PROBST & BECCI SUNDHAGEN MAJOR S. ROCHELLE “ LEX” KIMBRELL , USAF SOME RIGHTS RESERVED Copyright 2011 by Civil Air Patrol. This work is licensed under the Creative FIRST BLACK FEMALE FIGHTER PILOT & Commons Attribution - Noncommercial - No Derivative Works 3.0 United FORMER CAP CADET States License. For details, see creativecommons.org. 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page f VOLUME THREE INDIRECT LEADERSHIP LEARN TO LEAD CIVIL AIR PATROL CADET PROGRAMS CONTENTS CHAPTER 9 1 The Cadet Officer CHAPTER 10 49 The Staff Officer CHAPTER 11 95 The Leader as Commander INDEX 153 McREL EDUCATIONAL STANDARDS 158 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page 1 9 CHAPTER 9 THE CADET OFFICER LEADERSHIP CAN BE YOUR VOCATION. The most successful and personally satisfied professionals do not think of leadership as a mere occupation. Rather, leadership can be a calling, a vocation, a profession that engages the heart, mind, and soul. What might be the “calling” for cadet officers? Perhaps continuous self-development, or community service, or the mentoring of younger cadets, or all three challenges and more. The first section of this chapter examines the history of the officer corps and the view that leadership can be a vocation. CHAPTER GOALS 1. Appreciate the opportunities and responsibilities of officership. 2. Recognize the officer’s challenge to be a moral leader and teacher. 3. Understand the leader’s role in resolving conflict. 1 03-Chapter 9 Reboot Attempt-pp 0-2_Layout 1 5/4/12 12:27 Page 2 VOLUME THREE INDIRECT LEADERSHIP OFFICERSHIP CHAPTER OUTLINE In this chapter you will learn about: HISTORY OF THE OFFICER CORPS Officership OBJECTIVES: History of the Officer Corps 1. Describe how officers’ professional expectations rose with Indirect Leadership the birth of the modern military. Public Trust 2. Discuss how the concept of a meritocracy guides militaries Respectful Dissent in the selection of officers. Moral Reasoning The Leader as Philosopher Weak Leaders in Command. Today, the U.S. military’s officer Moral Relativism corps is respected tremendously within the armed forces Moral Objectivism and by the public at large. But for centuries, military officers Virtue Ethics were not respected for their special knowledge and skills. In Duty Ethics fact, the concept of an officer – that is a professional, an ex- Utilitarianism pert soldier, a true and learned leader – was not to be found Character Formation in any nation until the early 1800s. Character Ed. Through Behaviorism The Developmental Perspective “Wealth, birth, personal and political influence dictated Conflict Resolution the appointment and advancement of officers. Children Five Types of Conflict and incompetents frequently held high military rank. A Model of Interpersonal Conflict Nobody of professional knowledge existed. Consequently, Cooperative Negotiation no institutions, except for a few technical schools, were Speak Up! Against Everyday Bigotry available to impart military knowledge, and there was no Conclusion system for applying that knowledge in practice. Officers behaved and believed like aristocrats… In brief, the mili- tary profession was simply nonexistent.”1 Career Officers The generals who won WWII were all career officers who possessed formal military training and climbed the ranks via their merit as leaders. Here, seated left to right are Simpson, Patton, Spaatz, Eisenhower, Bradley, Hodges, and Gerow; standing are Stearley, Vanden- berg, Smith, Weyland, and Nugent. 2 04-Chapter 9 Reboot Attempt PP 3-4_Layout 1 5/4/12 12:29 Page 3 Rise of the Meritocracy. Why did nations abandon the idea that who your father was or how much money you had would be the most im- portant considerations in selecting officers? After the American and French revolutions, egalitarian ideals took root. Wealth and ancestry, egalitarian and later race and gender, no longer were viewed as fair or honor- Relating to the principle that all able measures of a leader. Each individual is equal, at least in dignity. people are equal and deserve Egalitarian ideas naturally led to the concept of the meritocracy. In a equal rights and opportunities. meritocracy, merit rules. The smartest, most creative, most expert, most accomplished individuals are able to rise to the top and earn the most prestigious and rewarding positions. Rise of Technology. At the same time that old biases fell to egalitar- ian and meritocratic ideals, warfare become more complicated. The The Service Academies 19th century gave rise to the Industrial Revolution, producing game- The United States maintains service changing new technologies. Military leaders realized that to master academies to train and educate an new technologies like iron-clad ships, rifling, flintlock cannons, me- officer corps. The academies reflect chanically-fused land mines, railroads, battlefield medicine, and the ideals of an officer corps consti- more, officers would have to undergo specialized training. Any ran- tuted upon merit, not birthright. dom rich son of a prominent father wouldn’t necessarily be suited to the demands of the increasingly technical and complex demands of military leadership. Officers were not born; rather, they were edu- cated and trained for the profession of arms. Birth of the Modern Officer Corps. The rise of the meritocracy and the new complexity of warfare gave birth to the concept of the mod- ern officer corps. This Prussian government decree from 1808 sum- marizes that new view of officership, a view that remains dominant USMA West Point even today: “The only title to an officer’s commission shall be, in time of peace, education and professional knowledge; in time of war, distinguished valor and perception. From the entire nation, therefore, all individuals who possess these qualities are eligible for the highest military posts. All previously existing class preference in the military establishment is abolished, and every man, USNA Annapolis without regard to his origins, has equal duties and equal rights.”2 USCGA New London 3 USAFA Colorado Springs 04-Chapter 9 Reboot Attempt PP 3-4_Layout 1 5/4/12 12:29 Page 4 OATH & COMMISSION OBJECTIVE: 3. Defend the requirement for officers to swear an oath of office. Where do officers come from? Air Force doctrine talks of leaders being made through experience, educa- tion, and training.3 But what mechanism creates an offi- cer? The U.S. Constitution declares, “the President… shall commission all the officers of the United States.”4 Because of this constitutional principle, new officers first make an oath of office and then receive a certificate of commission. The oath of office professes what an officer will do and to whom she will swear her allegiance. Responsibility should always accompany authority, so the oath (a profession of responsibility) comes before the actual commission. In 21st-century America, it’s easy to take the oath’s principles for granted. Thankfully, we’ve never experienced a group of rogue military officers conspiring to overthrow the republic. The oath’s key principle is the officer’s promise to support the Con- stitution against all enemies. Recall that in chapter 1 we discussed how armies of the Old World swore allegiance to their particular lord or general. Although the president is the military’s commander in chief, officers do not pledge to do whatever they want; rather, even the president’s authority is circumscribed by the Constitution. circumscribe To restrict within certain limits. Each officer is commissioned. That is, they receive a legal document designating them as officers and granting them authority to lead. Again, it’s easy to take this concept for granted. “You’re an officer? Who says?” The president delegates authority to the officer through the certificate of commission. This physical document is a visible sign of the president’s trust in the individual officer and the basis for that officer’s authority. Having professed the oath of office and received a commission, the Code of Conduct – the warfighter’s essential duties – now compels the officer “to guard our country and our way of life, and to give [his] life in [its] defense.”5 4 05-Chapter 9 Reboot Attempt PP 5-6_Layout 1 5/4/12 12:30 Page 5 THE PRESIDENT OF THE UNITED STATES OF AMERICA To all who shall see these presents greeting: Know ye, reposing special trust and confidence in the patriotism, valor, fidelity and abilities of (Full Name), I do appoint Him/Her, Second Lieutenant in the U N I T E D S T AT E S A I R F O R C E as such from the (number) day of (month), (year). OATH OF OFFICE This officer will therefore carefully and diligently discharge the duties of I (name), having been appointed the office to which appointed by doing and performing all manner of a (grade), United States Air Force, things thereunto belonging. And I do strictly charge and require those officers and other personnel of lesser rank to render such obedience as is do solemnly swear (or affirm) that due an officer of this grade and position. And this officer is to observe I will support and defend the and follow such orders and directions from time to time, as may be given Constitution of the United States by the President of the United States of America, or other superior against all enemies, foreign and officers acting in accordance with the laws of the United States of America. This commission is to continue in force during the pleasure of the domestic; that I will bear true faith President of the United States of America under the provisions of those and allegiance to the same; that I public laws relating to officers of the Armed Forces of the United States take this obligation freely, without of America and the component thereof in which this appointment is any mental reservation or purpose made. Signed by the Secretary of the Air Force as delegated by the President of the United States of America.6 of evasion; and that I will well and faithfully discharge the duties of the office upon which I am about to enter, (so help me God).7 PATHS TO A COMMISSION This table shows the path that new active duty lieutenants and ensigns followed to obtain a commission in all branches in 2009:8 Service Academy 17% ROTC Scholarship 18% ROTC Non-Scholarship 12% Officer Training School 29% (about 20% of these are prior enlisted) Direct Appointment 17% (lawyers, physicians, chaplains, etc.) Other / Unknown 7% In 2011, the Air Force awarded ROTC scholarships to students pursuing the following majors:9 Scientific or technical field of study 70% Foreign language 20% All other majors 10% Per tradition, newly-minted Profile of the “average” AFROTC scholarship recipient: 10 officers present a silver dollar to the first enlisted Class Rank Top 12% person who salutes them Grade Point Average 3.77 SAT 1260 (out of 1600) ACT 27 5 05-Chapter 9 Reboot Attempt PP 5-6_Layout 1 5/4/12 12:30 Page 6 THE OFFICER CORPS TODAY Officers are professional leaders, entrusted with serious responsibil- ity. Officership has evolved. More than ever, America demands that its officers be highly educated. One Secretary of Defense put it this way: “Once it was enough that the military leader excel in strength and stamina and courage. The range of talents required of [officers today] is infinitely broader…We need military leaders who understand this complex world in which we live… the scientific revolution… the techniques of managing bafflingly complex organizations… combined with qualities of character that inspire others…”11 OFFICERS OF YESTERYEAR The cadet officer’s task then is to try to emulate these hallmarks of officership. Though not legally bound by an oath of office or formally commissioned by the President, cadet officers can still think of themselves as pursuing a vocation of leadership and service. TODAY’S OFFICERS: “INFINITELY BROADER TALENTS” Wealth Birthright INSPIRATIONAL Inexperience LEADERSHIP Unchecked Power a range adaptability for a of talents complex world CHARACTER scientific competency 6 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:32 Page 7 12 PORTRAIT OF AN OFFICER: MASON MATHIAS Lt Robert Mason Mathias was the leader of the When a man in second platoon, E Company, 508th Parachute Infantry the second platoon Regiment, U.S. 82nd Airborne Division. At midnight, June had a problem, 5/6, 1944, he was riding in a C-47 Dakota over the Mathias could sense English Channel, headed toward the Cotentin Peninsula it. He would of Normandy. discreetly offer his counsel, but he never intruded. Lt Mathias discreetly offered his counsel, One of his but never intruded. He made allowances, privates recalled, “He made but never compromised his standards. allowances, but never compromised his standards. He seemed The Germans below were firing furiously at the air deeply hurt on the few occasions we failed to meet his armada of 822 C-47s carrying the 82nd and 101st Airborne expectations, but he never lost his temper.” divisions into battle... As the C-47 lurched this way and He had prepared himself in every way possible for the that, a consequence of the pilot’s futile attempts to escape upcoming struggle. He was a student of military history. the flak, the men behind Mathias were calling out, “Let’s He had mastered every weapon and skill necessary to a go,” or “Jump, damn it, jump.” rifle company. He had studied German weapons, organi- Mathias had his hands on the outside of the doorway, zation, and tactics. He had learned the German language ready to propel himself into the night the instant the well enough to speak it fluently, green light went on. A shell burst just beside him. Red- and French well enough to ask “Follow me!” hot flak ripped through his reserve chute into his chest, directions. He had taught his men knocking him off his feet. With a mighty effort, he began German commands and French to pull himself back up. The green light went on. phrases. “Valuable lessons,” Cavanaugh remarked. It was the kind of action his men had learned to When Lieutenant Mathias was wounded from the expect from Bob Mathias. He was immensely popular shell burst and the green light went on, he had enough strength to push himself out of the way, so that the men behind him could jump. Had he done so, Bob Mathias was absolutely fair, totally dedicated. the crew of the C-47 could have applied first aid and —perhaps — gotten him back to On a 25-mile march, one of his men gave out. England in time for a life-saving operation. Mathias picked him up and carried him home. Later, every man in his stick was certain that Mathias must have had that thought. Instead, Mathias raised his right arm, called out with his platoon and fellow officers. For two years he “Follow me!” and leaped into the night. Whether the had been preparing himself and his platoon for this shock from the opening parachute, or the shock of moment. He was known to be absolutely fair, totally hitting the ground, or excessive bleeding from his multi- dedicated. He was the best boxer in the regiment, and ple wounds was the cause, no one knows, but when he the best marcher. On one twenty-five-mile march, an was located a half hour or so later, he was still in his intraplatoon competitive hike, when everyone was push- chute, dead. He was the first ing the limit, one of his men gave out. Mathias picked American officer killed by him up and carried him the last three-quarters of a mile German fire on D-Day. home. Mathias was a devout Catholic. He went to Mass as Excerpted from Stephen E. Ambrose, often as possible and did all he could to make church D-Day, June 6, 1944: The Climactic Battle of World War II, (New York: attendance convenient for his men. He never swore. His Touchstone, 1995), 22-24. company commander said of him, “He can hold more ISBN: 0-671-67334-3 than his own with the toughest man alive; yet you won’t Reprinted with permission. ever hear him use hell or damn.” 7 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:32 Page 8 INDIRECT LEADERSHIP OBJECTIVE: 4. Compare and contrast direct leadership with indirect leadership. When you became an NCO, you transitioned from “one who is cared for to one who cares for others.”13 Now as a cadet officer, you must transition from See chapter 4 for a review of the tactical to operational arena, from one who leads directly to one who the leadership arenas: strategic, leads in concert with and through other leaders. Being a mid- to high-level operational, and tactical. leader in an organization requires skill in indirect leadership. As a new cadet officer, does your changing leadership role mean less fun and This section discusses the excitement? No, it’s just the opposite. You’ll enjoy increased authority, concept of indirect leadership. The closely related issue of how tougher challenges, and an opportunity to make a bigger impact on the team. to delegate authority will be All told, your leadership experiences will really make you stand out in life discussed in chapter 11. when compared with your non-cadet peers. It’s only now as a cadet officer that you’ll truly begin to mature as a leader. FORMS OF INDIRECT LEADERSHIP OBJECTIVES: 5. Describe the four forms of indirect leadership. 6. Explain what the term “link” means in the context of indirect leadership. 7. Defend the principle that upward influence can be a positive form of indirect leadership. Indirect leadership is visible in at least four forms: leadership from a dis- tance, leadership through a link, leadership through creations, and upward influence. Leadership from a Distance. Leaders who are concerned with the develop- ment and performance of individuals who do not directly report to them are said to be indirect leaders who lead from a distance.14 Take a cadet representative to the wing Cadet Advisory Council, for instance. CAC representatives hope to influence the wing’s cadet corps. They have no command authority over those cadets. If the wing is large, it’s unlikely that the representatives will even meet every single cadet whom they hope to affect. Still, by speak- ing out on cadet issues and advising the wing commander on how to make the Cadet Program better, the representatives are leaders: indirect leaders working from a distance. An illustration of leadership through a link. Here, the blue leader represents the link Leadership through a Link. Leaders who work through subordinate through which the top red leaders are indirect leaders. The military-style chain of command familiar to leader exerts influence. cadets is a great example. Squadron commanders lead through flight com- manders and element leaders in an effort to influence the in-ranks cadets. In this example, the flight commanders and element leaders are the “links” who relay messages to lower levels. 8 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:32 Page 9 Indirect leadership then requires less task-related competence and Leadership By Example more conceptual skills (the leadership matrix presented in chapter 4 When leaders simply model illustrates this point).15 Researchers found that leading through a the right behavior, they’re link means you can’t be there to personally direct every subordinate leading indirectly. There’s no all the time, so your personnel selections are important. “We try to direct instruction at work, but followers naturally watch how direct through picking the right people,” observed one military the leader behaves and take officer.16 Another added, “I’m not so spontaneous and direct as I was their cues accordingly. before.”17 Indirect leaders have to be more thoughtful and self- controlling than direct leaders. Therefore, it’s no surprise that in decision-making, indirect leaders who work through a link are more cautious and deliberative. One officer explains, “It may be the case that I need to know more before I [make decisions and] confirm that it’s OK to go ahead.”18 Leadership through Creations. Artists, philosophers, inventors, poets, and the like lead indirectly. Mark Zuckerberg’s Facebook revolutionized how people stay in touch, and yet apart from Facebook’s employees, he’s not the boss of anybody. Leaders of this stripe make their influence felt indirectly, through the symbolic products they create.19 No surprise that one expert believes indirect leadership requires comfort with chaos. Chaos signifies “freedom and productivity, while direct leadership is terrified by disorder.”20 Even formal leaders like corporate executives can lead indirectly through creations. After all, the indirect leaders who sit atop big organiza- tions use slogans, logos, and mission state- ments to steer culture, just like musicians and writers do in their own way as indirect leaders. Leadership through Creations “Through the use of organizational stories, rites and rituals, Mark Zuckerberg transformed symbols, slogans, logos and other cultural elements, the leader social life, and his creation - provides…a picture of the organization. As the definers and Facebook - helped people givers of culture, leaders set the tone, atmosphere, and organize the “Arab Spring” philosophy for the organizations…Leaders are the source of revolutions. Pictured above, cues about reality, expectations, and information for others at protestors in Cairo’s Tahrir levels removed from him or her.”21 Square demand President Hosni Mubarak’s resignation Upward Influence. The best leaders are so expert they are able to in- in 2011. fluence even their boss. Think of upward influence simply as direct leadership in reverse – the subordinate leads the superior, instead of vice versa. Thus, leadership can be “top-down and direct, and bot- tom-up and indirect.”22 And why shouldn’t a leader be receptive to in- fluence from a follower? Maybe that follower has the right idea. Upward influence will be seen only in organizations where bosses truly show they are willing to listen to subordinates, and when those subordinates are truly made to feel that their input is valued.23 9 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:32 Page 10 One comic example of upward influence is found in the old sitcom Hogan’s Heroes, set in a German prisoner of ! war camp during WWII. The Allies, led by Colonel o w n othing I kn ng! Hogan, are guarded by a bumbling incompetent, Nothi Sergeant Schultz. Through misdirection, the power of suggestion, reverse psychology, and other tricks, Col Hogan makes Sgt Schultz inadvertently reveal secret information or carry out some innocuous task that makes it easy for our heroes to sneak in and out of camp and sabotage the Nazi war effort. In truth, Col. Hogan’s antics are examples of manipulations, not pure leadership, but the basic point remains. The POWs exerted an upward influence upon their captors / superiors. 24 CHARACTERISTICS of INDIRECT LEADERSHIP The AIR FORCE SYMBOL Two-way communication is more difficult for indirect leaders as a LEADERSHIP TOOL The colonel is physically separated from the airman; captains and “Once a Marine, sergeants are intervening links between the colonel and the airman always a Marine.” “The few, the proud, The indirect leader and follower are less likely to know one another the Marines.” personally Those slogans have With one hundred or more cadets at a summer encampment, the cadet instant recognition, commander might meet every single cadet, but won’t really know each and moreover, a sense cadet individually of unity. Ask the infantryman what he is and he’ll answer: a Marine. The F/A-18 pilot: a The number of followers per leader increase Marine. The supply sergeant: a Marine. The The colonel is an indirect leader of several hundred airmen, but a direct finance officer: a Marine. leader to a handful of majors Air Force Chief of Staff Gen Michael Ryan Fewer short-term issues are to be resolved by indirect leaders looked with admiration upon how a single culture permeates the Marine Corps. But he Direct leaders handle short-term, on-the-spot, routine issues believed the Air Force lacked that instant Spontaneous action and reaction are impossible for indirect leaders brand recognition. The CAP National Commander wants everyone to tune in to a special Moreover, Gen. Ryan worried that because report on tonight’s news, but getting that message out to 60,000 the Air Force never formally adopted an members takes a lot of time official symbol, logos like the Strategic Air Command’s gauntlet and lightning bolts or The indirect leader is faced with problems beyond his or her control the Tactical Air Command’s winged sword The colonel can’t be on scene to ensure every airman is properly trained; he had more influence on the troops than the or she has to trust the direct leaders and the system to work as designed master brand.25 Who cares? What’s it matter which logos are seen most often? Gen Ryan found that the lack of an official Air Force symbol resulted in people identifying themselves as, “I’m fighter mafia,” or “I’m a missileer,” never the more unifying label, “I’m an Airman.” Therefore, Gen Ryan ordered the creation of the Air Force Symbol. As an indirect leader, he used that creation, that cultural element, to unify the “total force.” A single, ubiquitous Air Force Symbol set a new tone for the organization. 10 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:34 Page 11 IMPLICATIONS FOR CADET OFFICERS What do the principles of indirect leadership mean to you as a cadet officer? Your leadership role is changing. You’ll need to learn how to VAN HALEN & lead others from a distance, to lead through a staff of NCOs, to lead The Case of the through creations and innovations, and to employ an upward influence BROWN M&Ms on your boss. In short, an entirely new set of leadership skills are needed as you transition from straightforward direct leadership to the more complex, challenging, and rewarding form of indirect leadership. PUBLIC TRUST OBJECTIVE: 8. Explain why organizations and leaders are expected to honor a One challenge public trust. indirect leaders face, especially when leading through a link, is “…That to secure these rights, Governments are instituted among Men, ensuring their intended message deriving their just powers from the consent of the governed…” reaches the rank-and-file. How THE DECLARATION OF INDEPENDENCE does a colonel know, for example, that the captains and sergeants “If men were angels, no government would be necessary.” are relaying the right message to MADISON, FEDERALIST 51 the airmen? The classic rock band Van Halen Power requires consent. The entire American civilization, not only believed they faced such a situa- American government, is built upon the belief that just powers (that tion. So much goes into a rock is, all powers that are morally right and fair) come from the consent of concert: lighting, sound systems, the governed. The public rules. security, ticketing, and maybe even dangerous pyrotechnics. Taken more broadly, leaders who find themselves in powerful posi- Therefore, Van Halen buried a tions have an obligation to the public at large. Even private companies special requirement in the fine are subject to scrutiny. Because men are not angels (to borrow from print of its contract. The concert Madison), the public, the news media, watchdog groups, and the promoter had to provide the courts take an interest in the actions of organizations and the leaders band with M&Ms to snack on, who head them. (See Deepwater Hori- but “absolutely no brown M&Ms” zon spill, BP. See $182 billion bailout, could be included.26 In other words, a low-level backstage AIG. See crash, ValueJet flight 592, etc.) staffer would have to buy America expects its organizations and a bag of M&Ms, then manually find all the brown ones and toss leaders to honor the public trust. them out (or eat them himself)! Why? Van Halen reasoned that by checking their M&M supply, they could quickly see if the Deepwater Horizon concert promoters were paying The actions of a private company, BP, lead to a close attention to the band’s major disaster called “Deepwater Horizon.” An instructions. A bowl full of non- offshore oil rig exploded. For three months, oil brown M&Ms meant the promoters flowed unabated, affecting the US Gulf Coast were prepared and region. As a result of the massive disaster, BP Van Halen could lost the trust of an outraged public. perform a great show. 11 06-Chapter 9 Reboot Attempt PP 7-12_Layout 1 5/4/12 12:34 Page 12 CORPORATE SOCIAL RESPONSIBILITY OBJECTIVE: 9. Describe sample issues relating to corporate social responsibility. Corporate social responsibility (CSR) is a term describing this inter- CSR Matters section between corporations and the public trust. Some organizations According to Forbes, the business prefer the term “corporate citizenship.” CSR is “how companies magazine, the top three most manage the business processes to produce an overall positive impact generous companies in 2011 were on society.”27 CSR principles state that corporate executives have a Kroger, Macy’s, and Safeway.32 The fact that Forbes tracks corpo- duty to run their business “in a manner that meets or exceeds the rate generosity illustrates the ethical, legal, commercial, and public expectations that society has of growing importance of CSR. business.”28 It’s worth noting that CSR principles are self-imposed, not generally mandated by law. What are some CSR issues? #1 Corruption. Corruption is the abuse of entrusted power for private gain.29 It’s the antithesis of “Service Before Self.” Perhaps the most familiar form of corruption is bribery, but it’s also seen when a leader pockets the group’s money, and in conflicts of interest when a leader allows his or her personal interests to interfere with what’s best for the organization. #2 Stewardship. All members of an organization, especially its officers or leaders, are expected to be good stewards of the organization’s re- sources. Stewardship involves the careful management of what is not yours. When a CAP pilot treats a $550,000 rescue-equipped Sky- lane as if it were her own, she is practicing good stewardship. A for- profit example would be an executive taking care to manage the company so that it will continue to succeed for years to come, even if that means sacrificing short-term gains for long-term stability. #3 Philanthropy. Today, corporations go to great lengths to share their profits with worthy charities. Forbes magazine, famous for compil- ing an annual list of the 400 richest individuals on earth, is also com- piling an annual ranking of the most generous corporations. Whether companies give because they truly want to or because it makes them look good, the result is the same: good causes win. Sustainability. Sustainability or green business is a key issue in CSR. Sustainability means the organization acknowledges the limits of nature and tries to take a long-term systems view as to how it impacts the environment.30 Hikers have long been familiar with the sustainability concept through their “leave no trace” mantra. In the for-profit world, Subaru won enormous praise for committing one of its facto- ries to a zero-landfill policy: any waste left over after making cars is either recycled, reused, or converted to energy.31 12 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 13 Human Rights. If you sell a product, are you responsible for how that product was made? Ask talk show host Kathie Lee Gifford. Her clothing line was revealed to be manufactured using child laborers under deplorable conditions in Honduras. The public outcry was huge, especially because Mrs. Gifford had been admired as a sunny, wholesome TV personality. She ordered her manufacturers to change their ways. Claiming a human rights victory, one activist said, “The whole Kathie Lee [scandal] literally changed the way people do business.”33 Transparency. “Sunlight is said to be the best of disinfectants,” wrote one Supreme Kathie Lee Gifford Court justice; “electric light the most The upbeat TV personality efficient policeman.”34 Transparency is did not know her line of the principle that those affected by a clothing was being made in business or organization should be sweatshop conditions. allowed to know about its operations and practices.35 Because of the principle of transparency, organizations have their funds audited so stockholders or taxpay- ers or donors can see how their money was spent. Political contributions are a matter of public record in the U.S., because of a belief that trans- parency in campaigns leads to good government. CAP routinely streams its board meetings live over the web, in respect for the principle of transparency. CSR CASE STUDY: THE TYLENOL MURDERS It’s 1982 and you’re Tylenol’s chief executive. You’re told that seven people have died after having taken your popular medicine. Why? A madman has laced the pills with deadly cyanide. The FBI learns that the poisoning had taken place after the Tylenol reached the shelves of Chicago-area supermarkets. Surely your com- pany can’t be blamed for what happens to Tylenol after it leaves your factory. And how many other bottles of Tylenol in Chicago, in Illinois, in the United States have been poisoned? No one knows. What do you do? Johnson & Johnson, the makers of Tylenol, made their decision. They volun- tarily recalled all 31 million bottles of the medicine from every shelf in every store across America. The recall cost them over $100 million.36 Why? It was the right thing to do. Before shipping Tylenol products back to stores, the bottles were redesigned with three layers of protective packaging. Johnson & Johnson exceeded the public’s ethical and legal expectations for a drug company, and in so doing, set a new standard for corporate social responsibility. 13 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 14 PROFESSIONAL RESPONSIBILITY OBJECTIVES: 10. Describe why professionals often join professional associations. 11. Explain why most professional associations adopt a code of ethics. Professionalism, if you recall from chapter 4, is not the job you do but how you do it. In their efforts to honor the public trust, profes- Not illegal, but still wrong: sionals join professional associations. A professional association is PROFESSIONAL a group that seeks to further a certain career field, help members MISCONDUCT succeed in that profession, and uphold the public trust. Airmen Not all misdeeds are crimes. might join the Air Force Association, businesspeople might join the Presented below are four notable American Management Association, and engineers could join the tales of highly successful profes- American Institute of Aeronautics and Astronautics. sionals whose colleagues rebuked them for professional misconduct. One way professional associations advance their field and earn the Journalist Jayson Blair public’s trust is by adopting a professional code of ethics. Sometimes of the New York Times aspirational, sometimes prescriptive, codes of ethics identify moral was discovered to have made-up several standards that all members of the profession are expected to honor.37 of his news stories. While CAP and the Air Force have Core Values, professional codes of Times editors were so embarassed ethics tend to be less general and more particular about the ethical by the scandal they published a issues one can expect to encounter in a particular profession. For 7,000-word apology and correction of his reporting. The Times demanded example, a code for psychiatrists will certainly address patient confi- his and his boss’s resignation.40 dentiality. A code for zoologists will undoubtedly address how animals are to be treated when conducting scientific research. Historian Doris Kearns Goodwin failed to properly credit her Leaders who think of themselves as professionals will naturally see sources when writing merit in their profession adopting a code of ethics. But self-interest a book about the plays a part, too. Groups that do not adopt codes of ethics or police Kennedy family. Although an unin- themselves are more likely to become vulnerable to external regula- tentional error, the incident brought discredit to the Pullitzer Prize- tion. The movie rating system is a good example. Ratings are not winning author.41 matters of law, but ethical practices that the studios and theaters pledge to uphold. If Hollywood had not created a movie rating system, Marion Jones won it’s likely that many local governments would have created a patch- five Olympic medals in track and field, but work of regulations, with each town censoring films in its own way.38 upon her testing posi- tive for performance- But if membership in a professional association is voluntary, how do enhancing drugs, she was called a codes of ethics really work? Some professionals, such as attorneys, “cheat” and made to forfeit her three Gold and two Bronze medals.42 are required to belong to an association and to follow that group’s code in order to maintain their license to practice law. Deviate from The US Congress the bar association’s code of ethics and your livelihood is in jeopardy. voted to reprimand In other professions, leaders who fall short of the code’s require- Rep. Joe Wilson for shouting “You lie!” ments might be censured or reprimanded, assigned remedial courses during President in ethics, or be expelled from the group.39 Social stigma can be a Obama’s speech to a Joint Session powerful motivator. of Congress. The House said his outburst “degraded its proceedings.”43 14 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 15 CODES OF ETHICS Shown below are sample codes of ethics, taken verbatim from major professional associations. Airline Pilot44 An airline pilot will keep uppermost in his mind that the safety, comfort, and well-being of the passengers who entrust their lives to him are his first and greatest responsibility. He will never permit external pressures or personal desires to influence his judgment, nor will he knowingly do anything that could jeopardize flight safety. He will remember that an act of omission can be as hazardous as a deliberate act of commis- sion, and he will not neglect any detail that contributes to the safety of his flight, or perform any operation in a negligent or careless manner. Consistent with flight safety, he will at all times operate his aircraft in a manner that will con- tribute to the comfort, peace of mind, and well-being of his passengers, instilling in them trust in him and the airline he represents. Once he has discharged his primary responsibility for the safety and comfort of his passengers, he will remember that they depend upon him to do all possible to deliver them to their destina- tion at the scheduled time. If disaster should strike, he will take whatever action he deems necessary to protect the lives of his passengers and crew. Engineer45 Engineers, in the fulfillment of their professional duties, shall: 1. Hold paramount the safety, health, and welfare of the public. 2. Perform services only in areas of their competence. 3. Issue public statements only in an objective and truthful manner. 4. Act for each employer or client as faithful agents or trustees. 5. Avoid deceptive acts. 6. Conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession. Aviation Maintenance Technician46 “As a certified technician, my performance is a public service and, as such, I have a responsibility to the United States Government and its citizens. I must ensure that all citizens have confidence in my integrity and that I will perform my work according to the highest principles of ethical conduct. Therefore, I swear that I shall hold in sacred trust the rights and privileges conferred upon me as a certified technician. The safety and lives of others are dependent upon my skill and judgment, therefore I shall never knowingly subject others to risks which I would not be willing to assume for myself, or for those who are dear to me.” 15 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 16 “WE’RE GONNA BE IN THE HUDSON.” USAirways flight 1549, an Airbus A320 mid-size airliner, lost power moments after take-off from New York’s LaGuardia Airport in January 2009.47 Perhaps due to a birdstrike, both engines failed as the jet was over Manhattan with just 10,000 feet of altitude. Listen to the audio of Captain Sully’s communications with air traffic control and you won’t hear any panic in his voice. As the controller quickly but confidently suggested runway options for an emergency landing, Captain Sully brushed We’ll be okay... those ideas aside with a matter of fact reply, “We’re gonna be in the Hudson.” I’m a professiona l Somewhat puzzled by that declaration, the controller asks for clarification. But Captain Sully doesn’t offer any. Why? He was too busy trying to prepare a fully-loaded jet for an emergency water landing. Captain Sully’s training taught him the proper ordering of priorities: (1) aviate, (2) navigate, (3) communicate. Captain Sully’s quick thinking, calm under pressure, and consummate professionalism resulted in a smooth landing on the Hudson River. His professionalism saved 155 souls on board. RESPECTFUL DISSENT OBJECTIVE: 12. Define the term “dissent.” Throughout this chapter we’ve emphasized that an officer owes allegiance to more than her direct supervisor. There’s allegiance to the mission, allegiance to the larger organization, allegiance to the law or Constitution, allegiance to a personal code of honor, and other high callings. What happens when an officer’s principles conflict with the supervisor’s directions? Dissent is the expression of opinions contrary to the official view, and a means for a leader to call attention to obligations that are higher than the duty to follow orders. Even in a military organiza- tion with a strict chain of command and concept of direct orders, dissent is a necessary feature of leadership. After all, organizations need to learn quickly, and leaders who welcome dissenting views allow useful, if unpopular, ideas to be heard.48 16 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 17 DISSENT & TEAM DYNAMICS OBJECTIVE: 13. Explain why dissent is important for the team’s success. Thinking back to the “Abilene paradox,” or the paradox of the false Empires Crumble consensus (see chapter 4), it’s clear that teams sometimes pretend to (a) The British used to say the sun be cohesive when in reality team members harbor alternative views. never set on their empire. But by People who have serious concerns about a plan of action avoid the end of WWII, the UK no longer ruled over so many lands. stating those dissenting views, preferring to go along with watered- down compromises.49 (b) Rome ruled nearly the entire known world. Legend has it that their Emperor Nero fiddled as the And who can blame them? It’s not easy being the dissenting voice. “eternal city” burned. Many individuals who go against the “official” view are punished or (c) Financial giant Bear Stearns marginalized.50 And in a rank-conscious environment like the mili- traded at $68 per share one day, a tary, it’s natural for potential dissenters to simply keep silent. week later $2, and then: oblivion. (d) The Soviets built the Berlin Businesses & Government Organizations. Historians of failed busi- Wall, but eventually Berliners nesses and crumbled civilizations have often found that knowledge- shouted the wall down, and with it able insiders – potential dissenters – knew of the organization’s fell the “evil empire.” weaknesses or impending doom: Might these organizations have held on to their success by heed- Powerful empires collapse, often in remarkably short periods of ing the advice of dissenters who time. Like failing organizations, most of those inside the empire forsaw the coming collapses? sense that all is not quite right, but their instincts are to more strongly defend their traditional ways of doing things rather than to question them – let alone develop the capacity to change those ways.51 Is it surprising that the Soviet Union appeared to be the number one or two superpower in the 1980s, and yet was nonexistent after 1991? Or that the stock of Wall Street giant Bear Stearns traded at $68 per share one day, but exactly one week later the firm was sold for just $2 per share? In hindsight, these collapses make perfect sense. But a partly because of a culture that discourages dissent, organizations cannot easily see impending threats, nor encourage mid- or low- level leaders to express their unconventional viewpoints.52 b d c 17 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 18 DISSENT IN THE MILITARY OBJECTIVE: 14. Defend the claim that dissent should be valued within the military. Nuremberg But isn’t the military special? We can’t have troops questioning orders or Nazi officers defended refusing to obey them. That undermines the chain of command, right? themselves by crying, “But I was just following The Nuremberg Defense. After World War II, captured Nazi officers claimed orders...” Unmoved, the they were innocent of war crimes because their superiors had ordered them world found them guilty. to commit atrocities during the war. The Allies utterly rejected this so-called “Nuremburg defense” (so named because the Nazis were tried in Nuremberg, Germany). Leaders cannot escape moral respon- sibility for their actions simply because they were “following orders.” Still, disgraced leaders attempt to save themselves with the Nurem- berg defense, only to lose every time. Lieutenant William Calley, an Army infantry officer, was convicted of the premeditated murder of 22 residents of My Lai, a village in Vietnam, in 1968. Historians say the number of victims is actually over 500.53 During his trial, Calley claimed his superior ordered him to shoot the civilians. The court rejected Calley’s Guilty Nuremberg defense. During the Vietnam War, Lt William Calley The Admiral Burke Award. If Calley and murdered civilians. His rd awa captured Nazis were blind to the need “Nuremberg defense” ly g nowin For k eying for dissent in the military, Admiral failed. disob er d an or g Arleigh Burke was not. He made a oin but d thing t plaque and promised to award it to the first person who r ig h the eds “knowingly disobeyed an order but did the right thing.”54 Burke ica ne rleigh Adm A Amer pendent de an in RCE! O A F IR The great strategist Napoleon understood that due to the “fog of war,” lower ranking officers often have a better vantage point than the generals. Napoleon told his lieutenants that they were required to challenge the instructions of higher authority if they became aware of information that made the orders senseless.55 Although the military relies upon its chain of command and the duty to follow orders, the Air Force was itself born through the dissent of a single officer, Billy Mitchell. Wondering where our “Mitchells of today” can be found, one military commentator advised, “In the US, the worry may not be of losing controls to military mavericks (by allowing too much dissent), Dissenting Father 56 but rather a shortage of risk-taking dissent.” Largely because of Billy Mitchell’s persistent challenges to the military thinking of his day, the United States eventually created an independent air force. The Air Force was born from dissent. 18 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 19 PRINCIPLES FOR RESPECTFUL DISSENT OBJECTIVES: 15. Identify principles for dissenting with respect. 16. Identify principles for encouraging and receiving dissenting views from subordinates. How to Respectfully Dissent. If dissent is so vital to a team, how do , ’am , ma you dissent respectfully? Leaders offer a variety of practical t e n g is se l thin Plea e some say! advice. Use the chain of command. Stay professional v to I ha rtant and in control of your emotions. Recommend p o solutions; don’t just complain about problems. im Pick your battles, recognizing the difference between matters of style and matters of principle. And do not claim the right to criticize an idea unless you can summarize that idea in such a way “If you can’t stand dissent, that someone espousing the opposing view would go rule in a desert!” admit your summary is fair. - sophocles, Antigone 58 How to Encourage Dissent. As an officer, you’re apt to be on the receiving end of dissent, too. How do open-minded leaders handle dissent? First, be mindful that if you outrank someone, that person could be reluctant to dissent in the first place. One expert observes, “How easy it is for a boss to send a signal that a worker should keep quiet.”57 Therefore, the leader’s role is to create an environment that welcomes dissent. And, how you handle dissent today will affect whether others dare to dissent tomorrow. Practical advice includes being mindful of your stress reactions and defensive behaviors. Don’t take it personally if someone challenges your views. Assume good faith. Grant that the dissenter is trying to The Open Door Policy help the team, not make trouble. Thank people for being brave Many leaders maintain an “open enough to speak up. Better still, if you do change your view, give door policy,” allowing everyone credit to the person access to the boss. This is supposed who helped you see to encourage the free flow of ideas, including dissents. But despite the the issue in a new promise of an “open door,” people light. If you rarely may hesitate to speak their mind. hear dissenting They still wonder, “Will I get into views from your trouble for dissenting?” subordinates, ask This painting by Edward Hopper yourself if you’ve suggests an oceanfront “room been unconsciously by the sea,” but if you step out that shooting them down. open door, will you fall into shark- infested waters? 19 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:39 Page 20 MISTER ROGERS GOES TO CONGRESS MARINE’S DISOBEDIENCE GARNERS HIM THE cartoons. And he pauses to ac- knowledge that he knows Senator MEDAL OF HONOR 60 Pastore shares his concerns about And soon, the patrol was pinned down, what programs kids watch on TV. taking ferocious fire from three sides. Men Shares his concerns? Based on Sen- were being wounded and killed. Americans ator Pastore’s demeanor, one would were surrounded. Four times, Dakota Meyer imagine the man eats boiled puppies asked permission to go in; four times he was for dinner. But Mr. Rogers sees denied. It was, he was told, too dangerous. something that we do not. But one of the teachers in his high school “I’m trying to understand the inner once said, “When you tell Dakota he can’t needs of children,” Mr. Rogers con- do something, he’s going to do it.” And as “All right, Rogers, you’ve got the tinues. “We don’t have to bop Dakota said of his trapped teammates, floor.” With that brusque introduc- someone over the head to make “Those were my brothers, and I couldn’t tion, Senator John Pastore opens a drama…We deal with such things just sit back and watch.” committee hearing on Capitol Hill.59 as getting a haircut, or the feelings The story of what Dakota did next will be It is 1969, and Fred Rogers is not yet about brothers and sisters and the told for generations. He told his friend Juan the beloved, 5-time Emmy-winning kind of anger that arises in simple that they were going in. Juan jumped into a star of children’s educational pro- family situations. And we speak to Humvee and took the wheel; Dakota gramming. He is on Capitol Hill to it constructively.” climbed into the turret and manned the gun. ask that the PBS television network’s Just 2 minutes into the hearing, As President Obama explained, “They were funding be restored – $20 million for Senator Pastore quietly asks, “How defying orders, but they were doing what PBS overall, including a mere few long a program is it?” You see that they thought was right.” thousand dollars for his own program, Mister Rogers’ Neighborhood. his posture is relaxed and open. The Defying orders. Doing what was right. senator’s entire persona is visibly The kind man who would become a softened. Fred Rogers has dissipated Again, the President: “You did your duty, hero to millions of kids begins his John Pastore’s fierce cynicism. [Sgt Dakota Meyer USMC], above and testimony with disarming calmness. beyond, and you kept the faith with the If a different leader were on the After a few more minutes’ testimony, highest traditions of the Marine Corps that receiving end of Senator Pastore’s Mr. Rogers concludes. you love.” abrasiveness, perhaps they would “I think it’s wonderful,” remarks Dakota Meyer’s disobedience to orders become combative, but not Mr. Rogers. Senator Pastore. “I think it’s won- was followed by a heroic act that saved In the interest of time, Mr. Rogers derful! Looks like you just earned thirty-six people. volunteers to keep his remarks brief. your 20 million dollars.” “You’ve promised to read this state- With that, the audience laughs ment later,” Mr. Rogers gently reminds because they have seen an uncom- the senator, “and I trust what you monly calm, unassuming educator have said, that you will read it.” of small children defeat all that When gentle Mr. Rogers speaks of hostility. No, not defeat, win over trust, grumpy Senator Pastore’s through that same kindness he heart remains hardened. “Would it showed kids throughout his career. make you happy if you read it?” asks If you loved Mr. Rogers as a child, the senator. You can hear the patron- now as a young adult and aspiring izing swagger in his voice. leader you ought to reconsider the Mr. Rogers explains that for only man’s visionary leadership and deft $6,000, he can produce an episode skill at handling conflict. of Mister Rogers’ Neighborhood – less DAKOTA MEYER than the cost of 2 minutes of violent 20 07-Chapter 9 Reboot Attempt pp 13-end_Layout 1 5/4/12 12:40 Page 21 MORAL REASONING “There is always a philosophy for lack of courage.” ALBERT CAMUS61 “Cowards can never be moral.” GHANDI62 OBJECTIVE: 17. Defend the claim that leaders must be skilled in moral reasoning. THE LEADER AS PHILOSOPHER “Valour and Cowardice” Alfred Stevens Are answers to ethical questions unchanging? Or are they deter- mined by the circumstances? This is the age-old question of objectivism* versus relativism, just one of the difficulties you *Note: Some authors use the confront as a leader attempting to “be the change that you want to term “moral absolutism” where we prefer the term see in the world.” “moral objectivism.” Because officers play a special role in resolving problems that have ethical dimensions, they need to develop their capabilities in moral reasoning. This includes the need for each officer to study and wres- tle with competing frameworks for determining right and wrong.