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The information given in this document is not to be

communicated, either directly or indirectly, to the

media or any person not authorised to receive it.

AUSTRALIAN ARMY

LAND WARFARE DOCTRINE

LWD 0-2

Leadership

This publication supersedes Australian

Army Handbook on Leadership, 1973 and

Australian Army Leadership Theory and

Practice, 1973.

This publication is a valuable item and has been printed in a limited

production run. Units are responsible for the strict control of issues and

returns. No replacements are available.

AUSTRALIAN ARMY

LAND WARFARE DOCTRINE

LWD 0-2

Leadership

© Commonwealth of Australia (Australian Army) 2002

HeadquartersTraining Command – Army27 September, 2002

Issued by command ofthe Chief of Army

G.J.R. BYLESBrigadierActing CommanderTraining Command – Army

iii

CONDITIONS OF RELEASE

1. This document contains Australian Defence information. AllDefence information, whether classified or not, is protected fromunauthorised disclosure under the Crimes Act 1914 (Commonwealth).Defence information may only be released in accordance with SECMAN4 and/or DI(G) OPS 13-4 as appropriate.

2. When this information is supplied to Commonwealth or foreigngovernments, the recipient is to ensure that it will:

a. be safeguarded under rules designed to give it theequivalent standard of security to that maintained for itby Australia;

b. not be released to a third country without Australianconsent;

c. not be used for other than military purposes;

d. not be divulged to a non-Defence organisation unlessthat organisation is sponsored and cleared by an ac-cepted Defence organisation (‘sponsoring’ means givingan assurance that the organisation has a need to knowfor Defence purposes; ‘clearing’ means guaranteeing forsecurity); and

e. not be downgraded or declassified without AustralianGovernment approval.

Released to: ……………………………………………………………

Released by: ……………………………………………………………(Signature)

……………………………………………………………(Appointment)

Date Released: ……………………………………………………………

© This work is copyright. Apart from any use as permitted under the Copyright Act1968, no part may be reproduced by any process without written permission fromDoctrine Wing, Training and Doctrine Group, Land Warfare Development Centre,Tobruk Barracks, PUCKAPUNYAL VIC 3662.

iv

Australian Army, Land Warfare Doctrine,

LWD 0-2 Leadership, 2002

Doctrine Wing, Training and Doctrine Group, Land WarfareDevelopment Centre is responsible for the management andsponsorship of this publication. The doctrine containedherein was approved on 27 September, 2002.

AMENDMENT CERTIFICATE

1. Proposals for amendments or additions to the text of thispublication should be made through normal channels to the sponsor.To facilitate this, there are amendment proposal forms at the back ofthis publication.

2. It is certified that the amendments promulgated in theundermentioned amendment lists have been made in thispublication.

Amendment List Amended By(Printed Name and

Initials)

Date of Amending

Number Date

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

v

DISTRIBUTION

This publication has been distributed to all Land Command,

Training Command and relevant Australian Defence Force

organisations. Further distribution has included the New

Zealand Defence Force and American, British, Canadian,

Australian armies.

Leadership, 2002

vi LWD 0-2

This publication supersedes Australian Army Handbook on

Leadership, 1973 and Australian Army Leadership Theory and

Practice, 1973.

PREFACE

Preamble

1. The Army is an important element of Australian society.

Almost three million Australian men and women have served

proudly in its ranks, and the Army continues to produce

soldiers and units recognised for their adaptability,

initiative, teamwork and professionalism. Throughout the

Army's history, in war, participation in United Nations

operations, and in local and international disaster relief

efforts, Australian soldiers consistently demonstrate that

they can successfully mix operational effectiveness with

compassion for those in need.

2. Today's Army is a team comprising regular and reserve

soldiers, Defence civilians and contractors. All members

share a responsibility to the Australian people for achieving

the Army's mission, which is to win the land battle.

3. Soldiers, though part of society, are called upon to do what no

other element of society does. Through land operations, they

are required to contribute to the achievement of the nation's

objectives, at great personal danger, by the controlled use of,

or threat of, lethal and non lethal force. This requirement sets

them apart, and of necessity calls for them to develop distinct

characteristics that are vital to the successful performance of

their duties.

4. Those characteristics that the Army seeks to foster through

its ethos, values, traditions and standards of behaviour

require competent and confident leadership. This

publication is addressed to the Army's leaders at every rank

and level by providing an understanding of the Army's

Leadership, 2002

LWD 0-2 vii

approach to leadership, the ethos and values, individual and

team behaviours, and other skills that are foundational for

leadership, and the knowledge to practise effective team

leadership. It also provides guidance for instructional staff

who train and develop the Army's leaders.

Purpose

5. The purpose of this publication is to provide the theory and

body of knowledge necessary for the Army's leaders to apply

the Australian Army's approach to individual and team

leadership in an environment characterised by complexity

and uncertainty.

6. This information does not embrace all that has been written

about leadership and the lessons of war. Rather, aspiring

leaders should seek out additional knowledge to enhance

their understanding and application of the leadership task.

The content of this publication applies to all levels of

leadership, therefore junior and senior leaders and

instructors must ensure that they are familiar with the

concepts expressed in this publication. Importantly, leaders

must link the theory in this publication with workplace

experience and practical experimentation.

Level and Scope

7. For the Army to contribute to the Defence mission of

‘defending Australia and its national interests'1, it is

required to maintain an operationally capable force that has

a high level of fitness, commitment, efficiency and discipline

among its members. The Army's capacity to fight and win

relies on the effective generation of ‘fighting power'2. The

importance of moral character and leadership cannot be

overstated with regard to developing and sustaining fighting

Leadership, 2002

viii LWD 0-2

1. Statement from the Secretary of Defence and the Chief of the Defence Force,Foreword to 2002-03 Defence Plan.

2. Fighting power comprises three interdependent components - intellectual, moraland physical.

power and to providing the knowledge to develop the

attributes of individual character, competence and team

leadership. This is the focus of this publication.

8. Leadership training occurs in two parallel processes: for

soldiers, from recruit to warrant officer and for officers, from

cadet to general. This publication is structured to support

both soldier and officer leadership training and development

as follows:

a. Leadership Foundations. Chapters one to seven outline

the elements that are foundational for leadership. These

include understanding leadership, Army's ethos and

values, individual and team behaviours, discipline and

morale, communication skills and the Army's

Leadership Model.

b. Leadership Theory and Practice. Chapters eight to 15

provide guidance on the knowledge and skills leaders

require in meeting their leadership responsibilities. This

includes detailed understanding of the elements of the

Army’s Leadership Model, problem solving, conflict

resolution and change management. Chapter 16

provides guidance on leading teams and the realities of

leadership, supported by selected accounts from

operational experience.

c. Leadership Training and Development. Chapters 17 and

18 provide guidance for leaders and, more specifically,

instructional staff responsible for leadership training

and development within the Australian Army.

Associated Publications

9. This publication should be read in conjunction with the

following documents:

a. Land Warfare Procedures – General 0-1-4, The Military

Appreciation Process, 2001;

b. Junior Leadership on the Battlefield, edition 2, 1994;

Leadership, 2002

LWD 0-2 ix

c. Army Training Instruction 4-1, Character Training,

1999;

d. Training Information Bulletin Number 83, Risk

Management, 1998; and

e. Defence Instruction (General) PERS 36-3, Inherent

Requirements of Service in the Australian Defence Force,

1998.

On-line Doctrine

10. This and other doctrine publications are available via the

Land Warfare Development Centre Doctrine website located

at:

http://lwdc.sor.defence.gov.au/doctrine

Gender

11. Words importing gender refer to both male and female unless

specifically stated otherwise.

Leadership, 2002

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CONTENTS

Title Page iii

Conditions of Release iv

Amendment Certificate v

Distribution vi

Preface vii

Contents xi

Glossary xxv

Abbreviations xxxi

CHAPTER 1. Understanding Leadership

1-1 Leadership in a Command Environment 1.1

The Nature of Leadership 1.4

Leadership Defined 1.9

The Challenge for Leaders 1.14

Leadership and Management 1.15

1-2 Army Leadership 1.17

Army Leadership – Conceptual Framework 1.17

Levels of Leadership 1.19

Leadership Emphasis 1.30

1-3 Issues in Applying Leadership 1.32

Requirements of Service 1.32

Need for Professionalism 1.34

Cultural Fit 1.35

Leadership Effectiveness 1.37

1-4 Conclusion 1.39

Annexes:

A. Leadership Theory

B. Principles of Leadership Behaviour

Leadership, 2002

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Page

Section Paragraph

CHAPTER 2. Ethos and Values

2-1 Introduction 2.1

2-2 Understanding Ethos and Values 2.5

Ethos 2.6

Values 2.7

2-3 The Army’s Ethos 2.9

2-4 The Army’s Values 2.13

Courage 2.14

Initiative 2.15

Teamwork 2.17

2-5 The Army’s Rules for a Fair Go 2.18

2-6 The Army’s Traditions 2.19

2-7 Conclusion 2.28

CHAPTER 3. Individual Behaviour


Why People Act the Way They Do 3.4

3-2 Capability and Personality 3.5

Capability 3.8

Personality 3.11

3-3 Motivation 3.19

Maslow’s Hierachy of Needs 3.22

Existence, Relatedness and Growth Theory 3.23

Expectancy Theory 3.24

Goal Theory 3.29

3-4 Stress 3.30

Defining Stress 3.30

Dealing with Stress 3.34

3-5 Self-awareness 3.35

Developing and Building Self-awareness 3.36

3-6 Conclusion 3.37

Leadership, 2002

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Section Paragraph

CHAPTER 4. Group Behaviour


4-2 Understanding Groups 4.2

Types of Groups 4.2

Basic Concepts in Group Development 4.5

Functions of Groups in Organisations 4.11

4-3 Group Development 4.13

Stages of Group Development 4.13

Group Formation Stages in Practice 4.21

4-4 Influences on Group Behaviour 4.24

Group Structure 4.25

Team Roles 4.26

When Group Performance Fails to Meet

Expectations 4.28

Competition and Cooperation 4.31

4-5 Conclusion 4.32

CHAPTER 5. Discipline, Morale and Esprit de Corps


5-2 Discipline 5.2

Why Discipline is Necessary 5.4

Types of Discipline 5.6

Guide to Effective Discipline 5.15

The Evidence of Discipline 5.16

5-3 Morale 5.17

Morale Defined 5.18

Influencing Factors 5.19

The Evidence of Morale 5.20

5-4 Esprit de Corps 5.21

5-5 Conclusion 5.23

Leadership, 2002

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Section Paragraph

CHAPTER 6. Communication Skills


6-2 The Communication Process 6.4

Written Communication 6.6

Basic Components of Face-to-face

Communication 6.8

Non-verbal Communication 6.9

Barriers to Effective Communication 6.10

6-3 Listening 6.11

Types of Listeners 6.11

Listening and Hearing 6.13

Poor Listening Habits and their Remedies 6.17

6-4 Speaking 6.18

Vocal Balance 6.20

6-5 Communicating Effectively 6.22

Politically Correct Communication 6.24

Cross-cultural Communication 6.25

6-6 Conclusion 6.27

CHAPTER 7. The Army Leadership Model


Leadership Concepts 7.2

7-2 The Army Leadership Model 7.6

Vision 7.8

Functional Needs 7.10

Leadership Style 7.11

Culture 7.14

Environment 7.16

7-3 Conclusion 7.18

CHAPTER 8. Vision


8-2 Defining Purpose and Direction 8.2

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Section Paragraph

Why a Vision 8.3

Defining Vision 8.5

Qualities of a Vision 8.7

Developing a Vision Statement 8.8

Shared Vision 8.9

Translating the Vision into Action 8.10

8-3 Team Values 8.11

Types of Values 8.12

Developing Values 8.13

Promoting Values 8.14

8-4 Role of the Leader 8.15

8-5 Conclusion 8.16

CHAPTER 9. The Functional Approach to Leadership


9-2 The Theory of Group Needs 9.2

Task Needs 9.4

Team Maintenance Needs 9.6

Individual Needs 9.8

9-3 Addressing Needs 9.12

Analysing the Working Situation 9.15

Leadership Functions 9.20

9-4 Conclusion 9.22

CHAPTER 10. Leadership Style


Assumptions 10.3

10-2 Trust 10.4

Key Dimensions of Trust 10.6

10-3 Leadership Styles 10.8

Leadership Style Defined 10.8

Types of Leadership Styles 10.9

Leadership Style for a Complex, Diverse and

Changing Environment 10.10

Leadership, 2002

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Section Paragraph

10-4 Participative Behaviour 10.16

Directive Behaviour 10.20

Collaborative Behaviour 10.24

10-5 Motivating Behaviour 10.27

Incentive-based Behaviour 10.30

Transforming Behaviour 10.36

10-6 Conclusion 10.42

CHAPTER 11. Culture and Environment


11-2 Defining Culture 11.3

11-3 Elements of Culture 11.6

Symbols 11.7

Expressed Values 11.8

Underlying Assumptions 11.10

11-4 Understanding National Culture 11.11

Australian Culture 11.12

11-5 Culture and Leadership 11.13

11-6 Environment 11.15

Components of Environment 11.16

Environmental Uncertainty 11.18

Internal Environment 11.19

External Environment 11.26


CHAPTER 12. Problem Solving and Decision-making


12-2 Perception 12.3

Factors Influencing Perception 12.5

Perceptual Distortion 12.7

12-3 Problem Solving and Decision-making 12.9

Effective Decision-making 12.10

Ethical Decision-making 12.11

Leadership, 2002

xvi LWD 0-2

Section Paragraph

The Process of Problem Solving and

Decision-making 12.12

Other Decision-making Models 12.21

Individual Influence on Decision-making 12.25

Individual Decision-making and Risk 12.28

Risk Aversion 12.29

Escalation of Commitment 12.30

Simple Techniques for Problem Solving and

Decision-making 12.32

Group Decision-making 12.36

Stimulating Creativity and Innovation 12.42

Some Processes for Creative Problem Solving

and Decision-making 12.44

12-4 Cultural Perspectives to Problem Solving andDecision-making 12.48


Annexes:

A. Ethics

B. Cognitive Styles – Individual Influenceon Decision-making

CHAPTER 13. Resolving Conflict


13-2 Understanding Conflict 13.3

Types of Conflict 13.4

Stages of Conflict 13.7

13-3 Strategies in Conflict Resolution 13.8

Avoiding 13.10

Accommodating 13.12

Forcing 13.13

Compromising 13.14

Collaborating 13.15

13-4 Negotiation 13.17

Conventional Negotiation 13.18

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Section Paragraph

Principled Negotiation 13.19

Applying the Principled (Harvard) Approach 13.21

Guidelines for Negotiation 13.24

Key Points for Negotiation 13.29


Annex:

A. Application of Principled Negotiation– The Sinai Case

CHAPTER 14. Understanding and Managing Change


14-2 Understanding Change 14.4

Defining Change 14.4

Forces for Change 14.6

Leadership Role 14.8

Target Areas for Change 14.11

Levels of Change 14.14

14-3 The Process of Change 14.16

Transition and its Effects on the Team 14.18

Resistance to Change 14.26

14-4 Managing Change 14.28

Analysing the Change Process 14.29

Overcoming Resistance in the Team 14.32

Implementing Change within the Team 14.34

Factors in Successful Change 14.35


CHAPTER 15. Leading Teams


15-2 Understanding Teams 15.7

The Formation of Teams 15.7

The Advantages of Teams 15.9

Team Structure 15.11

15-3 Leading the Team 15.13

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Section Paragraph

Forming the Team 15.13

Components of the Leadership Task 15.15

Teams and Teamwork 15.20

Developing Excellence in Teamwork 15.22

A Team of Leaders 15.30

The Systems View to Leading Teams 15.32

15-4 Maintaining the Team 15.35

Tips for Maintaining Teams 15.37

Solving Team Maintenance Problems 15.38

15-5 Preparing to Lead 15.42

Preparing a Personal Leadership Style 15.44


CHAPTER 16. Leadership Realities


16-2 Character and Behaviour 16.3

The Australian Soldier 16.3

16-3 Rank Relationships 16.4

Basic Elements of Rank Relationships 16.5

Guidelines for Effective Rank Relationships 16.16

What Noncommissioned Officers Expect

from Officers 16.17

What Officers Expect from Noncommissioned

Officers 16.18

16-4 Real-life Experiences 16.20

Leadership Aspects from Experience in Battle 16.20

Selected Case Studies 16.28


CHAPTER 17. Leadership Training and Development Theory


17-2 Developing Leaders 17.3

17-3 Distinction Between Training and Development 17.6

17-4 Training Environment 17.9

Leadership, 2002

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Section Paragraph

Culture 17.10

Context 17.11

17-5 Training Process 17.13

Educational Theory 17.14

Learning Theory 17.19

The Application of Learning 17.24

Building Individual Capability 17.30

17-6 Training Content 17.36

Outcomes and Validation 17.36


CHAPTER 18. Leadership Training and Development

Practice


18-2 Training 18.3

Competencies and Syllabi 18.3

Training Methods 18.6

Processing and Assessment 18.10

18-3 Development 18.12

Performance Appraisal 18.13

Conflicts in Performance Appraisal 18.16

Interviews and Counselling 18.20

Interviewing 18.21

Counselling 18.25

Methods of Counselling 18.27

The Results of Counselling 18.32

Training Appointments and Higher Duties 18.33

Coaching 18.34

Succession Planning 18.35

Mentoring 18.36


Annexes:

A. Leadership Training Resources

B. Processing and Assessment Tools

Leadership, 2002

xx LWD 0-2

Section Paragraph

ILLUSTRATIONS

1–1 Components of the Leadership Task 1-5

1–2 Levels of Leadership 1-8

1–3 Individual Leader Development 1-9

1–4 Leadership Tasks in Teams 1-11

1–5 The Managerial Grid 1A-3

1–6 Three Dimensions of Leader Behaviour 1A-4

1–7 Concept of the Hersey-Blanchard SituationalModel 1A-7

1–8 Scope and Complexity of Skills across Ranks 1A-10

2–1 Enduring Symbols of the Army’s Traditions 2-7

2–2 The Australian Army Banner 2-8

3–1 Factors Influencing Individual Behaviour 3-2

3–2 Comparison of Needs Theories 3-11

3–3 Basic Concept of Expectancy Theory 3-12

6–1 Model of the Communication Process 6-2

6–2 The Characteristics of a Balanced Voice 6-11

6–3 Differences in Cultural Context 6-12

7–1 The Army Leadership Model 7-3

7–2 Functional Needs 7-5

7–3 Components of Leadership Style 7-6

7–4 Elements of Culture 7-7

7–5 Components of Environment 7-9

8–1 Translating the Vision into Action 8-4

9–1 Functional Needs 9-2

9–2 Managing the Task 9-3

9–3 Maintaining the Team 9-4

9–4 Supporting the Individual 9-5

10–1 Components of Leadership Style 10-6

10–2 Degree of Participative Leader Behaviour 10-7

11–1 Elements of Culture 11-2

11–2 Components of Environment 11-7

12–1 Differences in Perception 12-2

12–2 Factors that Influence Perception 12-3

12–3 Perceptual Distortion 12-4

Leadership, 2002

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Figure Page

12–4 The Z Problem-solving Model 12-9

12–5 Left Brain – Right Brain 12B-3

13–1 Stages of Conflict 13-3

13–2 Concept of the Thomas-Kilman Model ofConflict Behaviour 13-4

13–3 Conventional Approach to Negotiation 13-7

13–4 Principled Approach to Negotiation 13-8

13–5 Levels of Agreement 13-10

14–1 Forces for Change 14-3

14–2 Target Areas for Change 14-5

14–3 Levels of Change 14-7

14–4 Basic Change Process 14-8

14–5 Emotional Responses to Change 14-9

14–6 Sources of Resistance to Change 14-11

14–7 Representative Force Field Analysis 14-12

14–8 A Change Management Model 14-15

15–1 Leading the Team 15-5

15–2 Characteristics of Excellent Teamwork 15-7

15–3 Teams and Organisational Systems 15-9

17–1 Experiential Learning Process 17-8

17–2 Competency-based Training andCapability-building Education 17-10

18–1 Funnelling Technique 18B-6

TABLES

1–1 Characteristics and Implications of theLeadership Role 1-3

1–2 Distinction between Leadership andManagement 1-6

1–3 Task and Maintenance Functions 1A-4

1–4 The Evolution and Development of Leadershipand Management Theory in the 20th Century 1A1-2

4–1 Team Roles and Characteristics 4-8

6–1 Poor Listening Habits and their Remedies 6-10

12–1 Avoiding Groupthink 12-13

Leadership, 2002

xxii LWD 0-2

Table Page

Figure Page

14–1 Methods to Overcome Resistance to Change 14-14

18–1 Leadership Training Books 18A-1

Leadership, 2002

LWD 0-2 xxiii

Table Page

Leadership, 2002

xxiv LWD 0-2

GLOSSARY

The terms listed below are used in this publication. Definitions

which appear in Australian Defence Force Publication 101 -

Glossary are shown verbatim in normal type. Definitions or portions

of definitions which are not included in Australian Defence Force

Publication 101 are shown in italics.

Adjourning. Adjourning refers to a stage of group development in

which group members prepare to disband.

Bounded Rationality. Bounded rationality is a concept used to

explain real world limitations on decision-making where the ability

to be perfectly rational is bounded by personal and situational

limitations. Decisions are not based on optimisation but on the first

minimally acceptable solution because of factors such as incomplete

information, intellectual capacity, time available, inability to

consider all alternatives, and limited decision criteria.

Brainstorming. Brainstorming is an idea generation process

encouraging group members to think of as many ideas (or

alternatives) on a topic while withholding analysis and criticism.

Change Leader. An individual (or group of people) tasked with

implementing change in an organisation is referred to as a change

leader.

Command. The authority which a commander in the military

Service lawfully exercises over subordinates by virtue of rank or

assignment is termed command. 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.

Leadership, 2002

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Conflict. Conflict is a perceived difference between two or more

parties resulting in mutual opposition.

Culture. Culture refers to a system of shared meaning among

members of a group, an organisation or even a nation. Within an

organisation, it refers to a set of characteristics that are valued.

Encoding. Encoding is a stage of the communication process

referring to the forming of messages to be sent. The knowledge,

beliefs, biases and feelings of the sender influence encoding.

Existence, Relatedness and Growth Theory. Existence,

relatedness and growth theory is an alternative (proposed by

Alderfer) to Maslow's hierarchy of needs, which argues that there are

three levels of individual needs: existence, relatedness and growth.

Escalation of Commitment. Escalation of commitment refers to

continued commitment to a losing cause – reinforcement of defeat.

Esprit de Corps. Esprit de Corps embodies regard for the honour

and interests of the body to which one belongs. It also encompasses

team spirit.

Ethics. Ethics are moral principles or standards of acceptable

behaviour by which any particular person is guided.

Ethnocentrism. Ethnocentrism is a home country orientation that

establishes the values of the home culture as superior.

Ethos. The very identity of an organisation or unit is termed ethos. It

is used loosely to collectively describe characteristics such as inner

spirit, morale, esprit de corps, standards and values, purpose and

mission.

Expectancy Theory. Expectancy theory is a theory suggesting that

motivation depends on an individual's expectations about the future

and the value of future outcomes.

Filtering. Filtering is a barrier to communication that occurs when

a sender intentionally changes a message so that it will be seen more

favourably by the receiver.

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Force Field Analysis. Force field analysis is a method of analysis

that involves examining the driving and restraining forces

influencing any proposed change.

Functional Approach. An approach to leadership that describes

the relationship between individual, group and task needs is referred

to as the functional approach.

Funnelling. Funnelling is a debriefing technique that uses a series

of questions to direct the flow of conversation and to refine the main

points.

Group Cohesion. Those behaviours exhibited by members of a

group that are necessary for holding the group together are known as

group cohesion.

Groupthink. Groupthink is a phenomenon associated with flawed

decision-making that occurs when a tight-knit group seeks

consensus so strongly that it prefers a false impression of agreement

around a majority view. This overrides the group's motivation to

make more realistic appraisals of alternate courses of action.

Hierarchy of Needs. Maslow's motivational theory of the

hierarchy of needs states that there are five sets of needs arranged in

such a way that lower-level, more basic needs must be satisfied before

higher-level needs.

Learning Organisation. An organisation that has developed a

continuous capacity to adapt and change is known as a learning

organisation.

Locus of Control. The degree to which people think they have

control of their fate is known as locus of control.

Mission Command. Mission 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.

(LWP G-0-1-4 The Military Appreciation Process, 2001)

Leadership, 2002

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Morale. Morale is a state of mind, a mental attitude of confidence

and well-being in individuals. While morale can be individual, it can

also be collective, such as when people identify themselves with a

group and accept group goals, norms and values.

Motivation. Motivation involves the willingness to exert high levels

of effort towards goals balanced by the effort's ability to satisfy some

individual need.

Noise. Any factor in the communication process that interferes with

exchanging messages and achieving common meaning is referred to

as noise.

Norms. Norms are rules (usually unwritten) regulating behaviour

in any social system.

Outcome. The end result, impact or consequence of an action is

termed an outcome.

Paralanguage. Paralanguage refers to the characteristics of the

voice, such as rate of speech (speed), diction, tone, rhythm and

volume.

Participative Behaviour. Participative behaviour refers to a

behaviour in which the leader shares authority and responsibility

with subordinates, encouraging their participation in

decision-making.

Power. Power refers to the ability of a person or group to influence

the behaviour of others.

Power Distance. Power distance is an attribute of national culture,

describing the extent to which a society accepts the unequal

distribution of power. High power-distance societies accept wide

differences in organisational power.

Professional Mastery. Professional mastery integrates the

components of fighting power. It is an expression of personal

competence displayed by an individual's ability to combine

character, self-confidence, effective leadership, professional

knowledge, professional military judgement and experience. It is

measured by performance in battle and is a process of continual

learning developed through education, training and experience.

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Rational Model. A model that assumes that decision-making is,

and should be, a rational process consisting of a sequence of steps

that enhances the chance of achieving goals is known as a rational

model.

Refreezing. Refreezing is the third phase of Kurt Lewin's model of

change in which newly created behaviours become part of ongoing

processes.

Risk Aversion. Risk aversion refers to the tendency of individuals

or groups to choose options in decision-making that involve fewer

risks and less uncertainty.

Satisficing. Satisficing is a decision-making process in which the

consideration of alternatives stops when the first minimally

acceptable (satisfactory) solution is found.

Self-monitoring. The ability to pay attention to what is

appropriate in a particular situation and to adjust behaviour

accordingly is known as self-monitoring.

Smoothing. Smoothing refers to dealing with conflict by denying or

avoiding it.

Social Loafing. Social loafing refers to the tendency of individuals

to exert less effort when working in groups than when working alone

and to benefit from the group's work without bearing a proportional

share of the costs involved.1

Synergy. Synergy is the ability of the whole to equal more than the

sum of its parts.

Transformational Leaders. Transformational leaders are those

leaders who motivate subordinates to perform beyond normal

expectations above their own self-interest. Transformational leaders

inspire, motivate, challenge and stimulate their subordinates. They

respect people as individuals and their behaviour causes them to

become role models for followers.

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1. Kathryn Bartol et al, Management: a Pacific Rim Focus, edition 2,McGraw-Hill, Sydney, 1998, p. 879.

Transition. Transition refers to a condition that exists when an

organisation ismoving fromits current state toadesired future state.

Unfreezing. Unfreezing refers to the first phase of Kurt Lewin's

model of change in which people become aware of the need for change

and reduce the reliance on previous or traditional methods.

Values. Values are basic (personal or organisational) convictions

that a specific behaviour or end-state is personally or socially

preferred to some alternate behaviour or end-state.

Vision. A vision refers to a realistic, credible, attractive and ‘future'

oriented statement.

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ABBREVIATIONS

The following abbreviations are used in this publication.

ADFP 103

ADF Australian Defence Force

CO commanding officer

DS directing staff

NCO non-commissioned officer

Common Military Usage

AAR after action review

ACOTC All Corps Officer Training Continuum

ACSTR All Corps Soldier Training Requirement

ALM Army Leadership Model

ANZAC Australian and New Zealand Army Corps

CBE capability-building education

CBT competency-based training

ERG existence, relatedness and growth

NTC National Training Command

RSM Regimental Sergeant Major

SMEAC situation, mission, execution,

administration and logistics,

command and signals

ST sensing/thinking

SF sensing/feeling

WO Warrant Officer

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CHAPTER 1

Understanding Leadership

Section 1-1. Leadership in a CommandEnvironment

1.1 It is vital to understand the link between command andleadership. Command is the authority which a commanderlawfully exercises by virtue of rank or assignment.Command includes the authority and responsibility foreffectively using available resources and for planning theemployment of, organising, directing, coordinating andcontrolling military forces for the accomplishment ofassigned missions. It also includes responsibility for health,welfare, morale and discipline of assigned personnel.Commanders command organisations, but lead people.Leadership is about influence. A commander influences hisofficers and soldiers in order to achieve the mission.Leadership is exercised in support of command authority, inconjunction with command authority, and even in theabsence of command authority. Leadership is not intendedto replace or reduce command authority, but it producesmore effective results because it engages troops at a deeper,more personal level.

1.2 The leadership challenge rests heavily on trust and mutualunderstanding. In effecting leadership in a commandenvironment, the challenge for a commander is similar tothat of a skilled horseman ‘to keep a strong grip and a looserein at the same time'.

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1.3 This chapter outlines the context for and the nature ofleadership, the Army's leadership system, and identifiessome issues in the application of an Australian style ofleadership.

The Nature of Leadership

There is a difference between leadership and

management. 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 routine;

its practice is a science. Managers are

necessary. Leaders are essential.

From ‘The Essentials of Leadership’

speech by Viscount Slim of Burma

1.4 Such a comment on leadership is enduring and capturesseveral of the essential aspects of leadership (andmanagement) that are discussed in this chapter.

1.5 Annex A summarises various approaches to leadership.What is generally agreed is that leadership is not contingentupon a particular position or appointment, nor should it beconfused with status, power or authority. Leadership is aninteraction or dialogue between people. It is the essentialintegrating mechanism that affects all other systems andprocesses. Broadly, the many approaches within leadershiptheory suggest two essential roles for a leader:

a. to build interpersonal relations (or, ‘relationship

behaviour'); and

b. to achieve the task (or ‘task behaviour').

1.6 These two roles have certain characteristics and implicationsfor leaders. These are summarised in Table 1–1.

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Table 1–1: Characteristics and Implications of theLeadership Role

LeadershipRole

Key Characteristics Implication for Leaders

InterpersonalRelations

(RelationshipBehaviour)

Interpersonal processaffected by the situation(or context).

Character and Competence. This includesan ability to adapt behaviour.

Influencing otherstowards achieving aspecified task.

Define Purpose. The leader must defineteam purpose and focus, inspire andmotivate the team.

Followers are an activecomponent of theprocess.

Build the Team. The leader must build aninterdependent team in which membersare able to make decisions. This includesmentoring people and developingrelationships.

Achieve theTask

(TaskBehaviour)

Goal setting beyondshort term concerns.

Planning Direction. This is aboutlong-term planning to fulfil defined goals.

Decision-making andevaluating changes inthe environment.

Diagnosis and Implementing Change. Theleader must diagnose problemsaccurately, adapt plans and implementchange.

Plan and executeassigned tasks.

Communicate. This must be achieved in amanner that is generally understood andaccepted.

1.7 There are two broad factors that influence the nature ofleadership. The first involves the organisational systemsincluding culture, structure, and the policy and practices ofthe organisation (training, recognition, and rewardsystems). The second aspect is the human elementcomprising variables such as personality, values, attitudes,

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perceptions, motivation, and group processes includingcommunication systems and decision-making styles.

1.8 Leadership influence can be associated with either:

a. formal leadership which occurs when the Army appoints

a leader of a team with the authority to guide and direct

others; or

b. informal leadership which occurs when others

unofficially give an individual, or individuals, power to

guide and direct team behaviour. Informal leaders will

emerge within any team over time.

Leadership Defined

1.9 There are many definitions of leadership. For the purposesof Army leadership training, leadership is defined as:

‘the art of influencing and directing people to

achieve willingly the team or organisational

goal.'

1.10 Leadership style is directly linked to the essential rolesidentified in Table 1–1. The effectiveness of any leadershipeffort, however, always depends on the situation.

1.11 Within the definition of leadership, three components in theleadership process are clear:

a. the leader (who influences);

b. the team (because leadership is a process of influence,

followers must be accepted as an integral part of the

process); and

c. the context (achievement of a goal that contributes to a

wider ethical purpose).

1.12 Implied in the definition is the indefinable nature ofleadership that has as much to do with a leader's character(being), as it is action-based (doing). Thus a leader mustalways remain aware of the interplay between the threecomponents involved in the process of leadership: theleader, the team, and the context (Figure 1–1).

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1.13 Context has many aspects. It is influenced by both internaland external variables such as the task, situation, time andurgency, team characteristics and expectations, ethics,culture, organisational structure and available resources.While being able to adapt to any given situation, the leadermust also understand and apply some key principles. Theseprinciples of leadership behaviour are outlined in Annex B.

The Challenge for Leaders

1.14 The complex environment places different and challenging,even contradictory demands on leaders. Therefore, toremain effective, leaders are required to be adaptable andpossess a broad range of skills. Some challenges leaders mayneed to consider include:

a. Finding new and better ways to do things. The

requirement to continually improve involves the ability

and capacity to challenge processes and change the

status quo, to take risks, to innovate, and to experiment;

b. Acceptance of greater levels of responsibility. The

acceptance of greater levels of responsibility applies to

both junior and senior leaders and requires a capacity for

greater strategic understanding, autonomy and

accountability; and

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The Context

The Leader The Team

Figure 1–1: Components of the Leadership Task

c. The implicit need for decision-making. The implicit needfor decision-making involves an emphasis on judgementand management of risk and also the need for freedom ofaction by subordinates. There is a direct parallel with thephilosophy of ‘mission command', where highercommanders only communicate what is to be achieved(intent, concept of operations and tasks) and theresources required to complete the task. The superiordoes not dictate how tasks should be completed.

Leadership and Management

1.15 As indicated earlier, leadership and management aredistinct but interrelated roles. Both leadership andmanagement are important to an organisation. The tworoles are complementary and while any distinction is likelyto draw argument, in general teams they can be set apart asdescribed in Table 1–2.

Table 1–2: Distinction between Leadership andManagement

LEADERSHIP

Engages through:

MANAGEMENT

Brings order and consistency through:

Establishing direction.

Aligning the team with that directionthrough communication.

Developing the potential of each teammember.

Motivating the team to overcomehurdles towards the defined goals.

Planning and budgeting.

Organising and establishing structures.

Controlling and problem solving.

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1.16 The leadership process is about setting direction andeffecting change. This process is dynamic – it can thereforeinvolve some uncertainty – and it involves the use of power1.Management power is a consequence of an individual'sposition within an organisation. Leadership power on theother hand is directly linked to personal qualities. Thesequalities include a leader's specific knowledge or skills, andpersonal attributes that generate respect and admirationfrom subordinates. The use of personal power is the tool ofthe leader. It attracts ‘commitment', and this is preferred tocompliance.

Section 1-2. Army Leadership

Army Leadership – Conceptual Framework

1.17 The Army Leadership Model (ALM) provides a conceptualframework for effective leadership practice and outstandingteamwork. The ALM is based on a systems approach inwhich the components of the system (vision, functionalneeds, leadership style, culture and environment) are partof a complex set of interrelationships.

1.18 Army leadership is based on character and competence withan emphasis on desired leader behaviour. This means thatthe Army requires its leaders to first develop themselvesbefore they lead others. The application of the ALM isfundamental to creating a leadership culture within theArmy. The ALM is described in Chapter 7.

Levels of Leadership

1.19 Within the Army, leadership is practised at three levels.These levels, individual, team and organisational, aredescribed below and illustrated in Figure 1–2.

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1. The sources of power (which is the ability to influence the behaviour of others) aredescribed in Annex A.

1.20 Individual. The individual level of leadership concerns thedevelopment of personal character and competence andinvolves a continual process that includes puttingleadership into action. In simple terms the individual levelof leadership can be expressed in the concept ‘be', ‘know' and‘do' as illustrated in Figure 1–3. Individuals (‘be') developthrough knowledge (‘know') and actions (‘do'). Over time,character is enhanced and competence is increased throughan ongoing process of acquiring additional knowledge andgaining further experience.

1.21 At the core, ‘being' involves the development of characterand values. Implicit in this is the requirement for reflectionto understand oneself better, to live by the Army's valuesboth on and off duty, and to instil the Army's values insubordinates through personal example.

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Organisational

Team

Individual

Figure 1–2: Levels of Leadership

1.22 Character is defined as those inner qualities of a person thatare evident in behaviour that is positive and constructive inthe development of self, relationships and community. Itsroots are in a coherent belief and values system. The morale,stamina and therefore the combat capability of an army, relyas much on the spiritual and moral qualities of its leaders andsoldiers, as they do on physical fitness and skills – perhapsmore so when under stress. There is ample evidence toindicate that operational service and adversity tend to focuspeople on what is important in life and sometimes lead to acomplete re-evaluation of basic beliefs and life values. Thesespiritual and moral qualities are rooted in a person'scharacter.

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BE

KNOW

DO

Character andCompetence

TIME

Figure 1–3: Individual Leader Development

1.23 Character is more than the sum of qualities a person mightexhibit. It encompasses belief systems about individualsthemselves, other people and the world, often rising out of areligious faith, but certainly out of beliefs about the meaningand purpose of life. Such belief systems produce qualities,attitudes and behaviours that are part of a person's identity,as distinct from those behaviours that are acted out in thedevelopment of a personal leadership style.

1.24 Character is particularly pertinent to soldiering in the wayit strengthens a soldier to be committed to the team, to havecourage, to display moral leadership and to endure understress. It helps individuals remain consistent in the face ofcompeting ideologies and propaganda, yet developtolerance of other belief and value systems in fellowsoldiers, the Australian multicultural society, and overseasenvironments.

1.25 ‘Knowing' not only requires technical and interpersonalcompetence but also an appreciation of the strengths andneeds of others. Effective leaders will continually seek outopportunities to enhance their knowledge to master bothcurrent and future assignments. Knowing requiresindividuals, regardless of ability, to develop professionalmastery. This is done by continually seeking knowledge andrefining the interpersonal and conceptual skills required ofthe leadership task and the technical and tactical skillsnecessary to achieve desired outcomes.

1.26 ‘Doing' is about leadership in action and the acquisition ofexperience. It includes influencing others, taking action toachieve tasks and improving the team's ability to undertakefuture missions. It requires the skill of discernment – tocritically assess and respond to situations, to operatecreatively within the environment and be aware of theconsequences of actions.

1.27 Team. The team level of leadership is about the directrelationship between leaders and subordinates. It involvesthe leader, the team and the context, focussed on anenduring need for results. Leadership at the team level isthe least complex. It serves to satisfy both individual andorganisational needs. Effective team leadership requires an

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ability to harness the talents of the team in order to achievecomplex tasks that could not be completed by individualsworking alone.

1.28 Within this process, there is both an emotional andintellectual relationship between a leader and teammembers, the essence of which is leading from the front inan open, adaptive style. Teamwork requires trust andtwo-way loyalty. The key team leadership tasks illustratedin Figure 1–4 are:

a. Setting Direction. Setting direction is achieved through

the establishment ofaclear purpose and a shared vision.

b. Building the Team. Team building is achieved by using

an appropriate balance of power and participation to

encourage commitment.

c. Managing the Team. Team management is necessary to

achieve an ‘integrated' picture of the situation and build

collaborative processes to achieve the mission. This

includes developing and adapting plans as necessary.

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SetDirection

Manage theTeam

Leader

Build theTeam

Figure 1–4: Leadership Tasks in Teams

1.29 Organisational. The organisational level of leadership isabout controlling and influencing the larger team, utilisingstaff and subordinate leaders, through a range of varied andcomplex events. There are two components to organisationalleadership. The first involves the scope and complexity ofthe leadership task which is broader, and the span ofcommand greater, than that experienced at the team level.The leadership impact in this case is less direct than thatachieved through team leadership. Leaders exert theirinfluence more through policy making and establishing theorganisational climate than through direct face-to-facecontact with soldiers. This does not suggest leadership fromafar. Effectiveness at this level requires leaders to makeevery opportunity to meet with junior ranks to learn firsthand about the issues that affect them. Organisationalleaders must craft the desired leadership culture andenvironment and, in developing subordinate leaders, createa system that routinely fosters leadership and results fromthe everyday efforts of ordinary people. Secondly, at thislevel leaders must understand the wider environment andbe able to provide strategic focus and direction. Thestrategic component involves defining organisationaldirection and allocating resources and communicating thestrategic vision. Organisational leaders work in anuncertain environment on highly complex problems thataffect and are affected by events and organisations outsidethe Army. They must be able to build relationships andmanage change. This may involve simple change tostructures and systems that are easily achieved. It may alsoinvolve more radical change, such as cultural change, that isfar harder to achieve.

Leadership Emphasis

1.30 The central characteristics of Army leadership in action are:

a. Far-sighted Vision and Clarity of Goals. All leaders need

to think and plan strategically, that is, with the mission

and task in mind.

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b. Drive and a Passion for Responsibility. While leaders

should exhibit a drive for responsibility, they must also

remainawareof theroleof theteaminthebroadercontext.

c. Effective Team Structure. Team structure provides a

basis for team members to align their efforts in the

pursuit of goals.

1.31 All leaders must seek to focus on outcomes and thelong-term sustainability of the team rather than onleadership style and the detail of how tasks are to becompleted. Tasks or responsibilities should be delegated asnecessary. Such an approach acknowledges that peoplehave competency and provides individuals with theopportunity to use their own initiative.

Section 1-3. Issues in Applying Leadership

Requirements of Service

1.32 The Army has specific requirements of the individual as aleader and a strong ethos and values system that all thosejoining the Army must embrace. These ethos and values,discussed in Chapter 2, are supported by specificrequirements of service. These requirements, described inmore detail in Defence Instruction (General) PERS 36-3Inherent Requirements of Service in the Australian DefenceForce, 1998 are:

a. operational service;

b. a military system of command and discipline;

c. unrestricted service;

d. proficiency in military and trade skills;

e. regular postings within Australia and sometimes

overseas, including deployments at short notice;

f. maintenance of high standards of physical and medical

fitness;

g. regulation of personal lifestyle in certain areas; and

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h. adherence to dress and grooming standards.

1.33 The ultimate requirement is to lead soldiers into battle.Chapter 16 – Leadership Realities illustrates in moregraphic detail the specific circumstances in which an Armyleader may have to perform.

Need for Professionalism

1.34 The Army demands from its people a range of knowledge, alevel of competence, and a degree of accountability for actionsin the performance of duties. This is what is referred to asprofessionalism. The high standards demanded reflect theuncertainties and demands of the operational environment inwhich soldiers are required to serve. Experience frommultinational coalition operations indicates that leaders mustbe more politically and culturally sophisticated and mustmaintain currency in terms of developments within the Armyand in the wider environment.

Cultural Fit

1.35 Australia's national culture and that of the Army requireunique leadership practices. Likewise, cultural preferencesinfluence leadership style. Reasonably, leadership shouldrespect and embrace hard-won traditional qualities such asimpartiality, fairness, initiative and compassion. Otherinfluential features are discussed in Chapter 11 – Cultureand Environment. This is not however, a justification for thereinforcement of any emotional attachment to the past.There is a need to balance military heritage with therequirement to challenge less useful practices and embraceinnovation and new ideas.

1.36 One example of Australia's military heritage that continues toserve its purpose well is the Army's command practice ofincluding a senior soldier as an adviser to the officer in chargein all headquarters from platoon level upwards. Thisrelationship, based heavily on mutual trust, existsthroughout the Army's command structure. At the Army'shighest level this relationship exists between the Chief ofArmy and the Regimental Sergeant Major (RSM) of the Army.

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Leadership Effectiveness

1.37 It would not be realistic to list a single complete guideline foreffective leadership. As stated previously, leadership is acomplex process that involves the leader, the team membersand the overall context. A simple measure of effectiveness isthe degree of success with which a team performs theprimary assigned tasks. Yet any measure must alsoconsider the longer-term impact of any effort by the team aswell as the ethics of the method adopted.

1.38 Effective leadership requires four basic conditions to besatisfied. It requires the team:

a. to understand what it is being asked to do,

b. to have the resources to do what is being asked,

c. to believe that the actions required are consistent with

personal values and interests, and

d. to believe that these actions are consistent with the

purpose and values of the team and wider organisation.

Section 1-4. Conclusion

1.39 Leadership, although a complex subject, is also a commonand naturally occurring phenomenon. Regardless of role orcontext, every officer and soldier must be able to lead. Themore leadership is supported and encouraged, the more itwill flourish. Within a complex environment the importanceof having a clear purpose and direction, strong values, andorganisational belief, increases. These attributes enhanceteam flexibility and responsiveness and are the foundationsfor long-term success. The capacity to lead must also becoupled with the practical skills to manage day-to-daysituations ranging from administration to working withpeople to resolve issues that require an immediate response.

1.40 Each leader must seek to develop a personal leadershipstyle. While individuals may have a certain preferred style(be it learned or natural) there is no single best style.

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Moreover, there is value in diversity of personality type andstyle. What must be common for all leaders, however, is apassion for responsibility, a capacity to learn and adapttheir style to the situation, and an ability to communicateeffectively.

1.41 At its core, Army leadership requires both character andcompetence. The character of the individual best defines theArmy's leaders. It creates the foundation for thedevelopment of a level of trust between the leader and teammembers. Leaders must set high ethical standards inpersonal behaviour. As interpersonal skills are essential toleading teams, leaders must understand individual andgroup behaviour.

1.42 Finally, despite the advance of technology, there is anenduring role for team-based leadership in the Army. Theteam leader fulfils two essential roles: concern forinterpersonal relations and the achievement of the task.While different aspects of leadership may be emphasisedover the years, what remains constant is that leadership is aprocess involving the leader, the team and context. Theenduring need is for the achievement of goals and ensuringthe long-term sustainability of the team.

Annexes: A. Leadership Theory

B. Principles of Leadership Behaviour

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ANNEX A

CHAPTER 1

Leadership Theory

Section 1. Introduction

1. The historical development of leadership studies hasprogressed from an approach based on individual traitsthrough behavioural studies to situational considerationsand that of transformational leadership (see Appendix 1 toAnnex A). For potential leaders, an understanding of thevarious approaches helps focus on the key factors thatdefine successful leadership.

Section 2. Theoretical Approaches in LeadershipStudies

2. Most research falls into one of four approaches: personalitytraits, behavioural style, power and influence, andsituational or contingency theory. These are discussed in thefollowing paragraphs. Other more current leadershiptheories such as participative leadership, transformationalleadership and Senge's Learning Organisation are alsoconsidered.

Personality Traits

3. One of the earliest approaches concerned the personalattributes of a leader. This approach, also referred to as the‘great man theory', suggests that leaders are born withcertain qualities or traits. While over 70 years of researchhas failed to find ‘traits' that would guarantee leadershipsuccess, there are some consistent traits that separateleaders from non-leaders. These are:

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a. intelligence;

b. honesty and integrity;

c. self-confidence;

d. ambition and high energy;

e. task-relevant knowledge;

f. the desire to lead;

g. high self-monitoring (that is individuals who are highly

flexible in adapting their behaviour to different

situations); and

h. emotional intelligence (an awareness and responsive-

ness to the feelings of oneself and others).

4. There are also traits associated with the ‘transformational'and ‘charismatic' leadership approaches. Charismaticleaders are, for example, said to possess an indefinablequality. Research has identified strong personalcharacteristics such as high self-confidence, vision and theability to articulate this vision, extraordinary behaviour,and environmental sensitivity.

5. Overall, the relationship of traits to effective leadership iswell defined. The prime reason traits fail to guaranteeleadership success is that factors that influence groupperformance, such as the situation and culture are largelyignored. To understand leadership there is also a need tolook at behavioural style.

Behavioural Style

6. Unlike traits that represent personal i ty-basedcharacteristics, behavioural style refers to consistentbehaviours or actions that are seen by others asrepresenting a leader's style. These styles are concernedwith what a leader does in a particular situation.

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7. Early work by theorists such as Kurt Lewin suggested thatleaders were either autocratic or democratic. Major studiesby the Ohio State University and Michigan Universitydefined common behavioural styles. Blake and Mouton fromthe University of Texas represented these approaches in a‘managerial grid' along two dimensions – concern for ‘people'and concern for ‘production' (task). The managerial gridillustrated in Figure 1–5 provides a useful explanation offive different leadership styles.

8. Later studies in Scandinavia identified a third factor thatcaptured more of the essence of leadership behaviour. Thefactor, termed development-oriented behaviour, valuesexperimentation, seeks ideas and generates andimplements change. The three dimensions of behaviourdiscussed above are illustrated in Figure 1–6.

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1,1 Impoverished ManagementMinimum effort to achieve outcomesand sustain the organisation

5,5 Middle of the Road ManagementBalancing work with maintaining morale

9,9 Team ManagementRelationship based on trust andrespect. Work outcomesachieved by committed team

9,1 Authority-Compliance ManagementEmphasis on operational efficiency

1 2 3 4 5 6 7 8 9

12

34

56

78

9

Co

ncern

fo

r P

eo

ple

Concern for Production

1,9 Country-Club ManagementConcern for people. Comfortableorganisational atmosphere

9,9 Team ManagementRelationship based on trust andrespect. Work outcomesachieved by committed team

5,5 Middle of the Road ManagementBalancing work with maintaining morale

1,1 Impoverished ManagementMinimum effort to achieve outcomesand sustain the organisation

9,1 Authority-Compliance ManagementEmphasis on operational efficiency

Hig

hL

ow

HighLow

Figure 1–5: The Managerial Grid

9. Task versus Maintenance Functions. Another way ofexpressing the scope of behaviour is in terms of task ormaintenance functions. For any group to work effectively as ateam, both functions must be performed. These functions canbe performed in an ad hoc fashion by the group as a whole, orcoordinated by a single person, the leader. The leader's stylewill dictate whether this is done personally or whether it isshared among other individuals. The functions are groupedunder the two broad headings as listed in Table 1–3.

Table 1–3: Task and Maintenance Functions

Task (directive) Maintenance (supportive)

Initiating Encouraging

Information-seeking Compromising

Diagnosing Peacekeeping

Opinion-seeking Clarifying, summarising

Evaluating Standard-setting

Decision-making

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Development-oriented

Leadership

People-oriented

Leadership

Task-orientedLeadership

Figure 1–6: Three Dimensions of Leader Behaviour

Power and Influence

10. To understand leadership, the influence process betweenleaders and followers needs to be examined. To be able toinfluence and direct others, an individual must exercisesome form of power over them. Power, in this instance,should not be given authoritative connotations but shouldbe seen as the relationship that exists between peoplewithin groups. There are many sources of power andinfluence including:

a. Position or Legitimate Power. Position or legitimate

power is power that is delegated to an appointed

commander. It will include certain legal obligations and

responsibilities. Influence is gained through the

establishment of set rules and procedures.

b. Physical or Coercive Power. Physical or coercive power is

g e n e r a l l y c o n c e r n e d w i t h p u n i s h m e n t f o r

non-compliance. Influence is gained through force. The

threat of punishment can be a strong motivator to

comply. It can be properly sanctioned, such as through

the Defence Force Discipline Act, or not sanctioned such

as through abuse of authority.

c. Expert Power. Expert power is related to knowledge and

skills. Individuals with expert power are able to

influence others because of their competency in a

particular field or area. In highly technical or specialist

areas subordinates may possess more expert power than

their superiors. Again, influence is gained through rules

and procedures.

d. Personal or Referent Power. Certain people have a

quality about them that others like or are attracted by.

This is often referred to as charisma. Influence is gained

through persuasion and the individual's desire to

identify with the qualities displayed by the individual

with referent power.

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e. Resources and Reward Power. Influence and control are

exercised through the allocation of resources or rewards,

generally for compliance or as an exchange. This type of

power is only effective if individuals value the rewards

being offered.

f. Informational Power. People may be able to influence

others because they possess some information that is

needed to achieve a certain outcome. Often it may be

used together with expert power but the specific

information may not be the result of expertise. For

example, a sapper may be able to influence decisions

about breaching an obstacle because of experience in

another team where a particular approach was found to

be effective.

11. Each leader will use some (one or more) forms of power andmethods of influence. The most effective leaders use acombination of sanctioned power sources and influencemechanisms simultaneously.

Situational (Contingency) Approach

12. The behavioural approach to leadership proved popularuntil theorists realised that it did not provide a completepicture of leadership. Contingency approaches emphasisethe importance of the context in which leadership occurs.The context can be related to the nature of work, theenvironment and the characteristics of followers (such asskills and level of experience or maturity).

13. Fred Fiedler's contingency theory combined behaviouralstyle (relationship and task orientation) and organisationalsituation (quality of relationships, task structure and powerposition) to try to explain leadership. One of the basicconclusions from Fielder's model is that a leader who iseffective in one situation may be ineffective in another.Leaders therefore need to recognise this and understand theimpact that different situations may have on theireffectiveness.

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14. The Hershey and Blanchard situational leadership modelfocuses on follower maturity. In this approach thecharacteristics of the team determine the appropriate leaderstyle, which could be one of ‘delegating', ‘facilitating',‘coaching', or ‘directive'. The central idea of this model isthat, as follower maturity increases, a leader should relymore on relationship behaviour (providing support) and lesson task-oriented behaviour (providing guidance). Beyond acertain level of maturity, however, a leader should rely lesson both task-oriented and relationship-oriented behaviours.This pattern, showing the changing leadership behaviour asa result of follower maturity, is illustrated in Figure 1–7.

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FACILITATING(Participating)

High RelationshipLow Task

COACHING(Selling)

High RelationshipHigh Task

DELEGATING

Low RelationshipLow Task

DIRECTIVE(Telling)

Low RelationshipHigh Task

HighLow

Lo

wH

igh

High Low

Rela

tio

nsh

ipB

eh

avio

ur

Task Behaviour

Follower Maturity

Figure 1–7: Concept of the Hersey-Blanchard Situational Model2

2. Adapted from Hersey, P. and Blanchard, K, Management of OrganisationalBehaviour: Utilising Human Resources, edition 4, Englewood Cliffs, NJ, PrenticeHall, 1982, cited in Vecchio et al, Organisational Behaviour edition 2, HarcourtBrace, 1996, p. 490.

2. Adapted from Hersey, P. and Blanchard, K, Management of OrganisationalBehaviour: Utilising Human Resources, edition 4, Englewood Cliffs, NJ, PrenticeHall, 1982, cited in Vecchio et al, Organisational Behaviour edition 2, HarcourtBrace, 1996, p. 490.

15. Another situational approach model is that of path-goaltheory. This theory is concerned with the leader 'sresponsibility for goal achievement and providing thenecessary direction for the team. It defines four behavioursa leader may be required to adopt in achieving set goals:‘supportive', ‘directive', ‘achievement-oriented' and‘participative'. This theory integrates leader behaviour andideas contained in expectancy theory where effort is relatedto the expected reward. Clarifying the path and increasingrewards have been shown to be effective in achievinggreater follower motivation and effort that, in turn, resultsin more successful outcomes.

Section 3. Contemporary Leadership Theories

16. What is evident is that leadership theory is a complex field.Participative leadership, for example, integrates powersharing and empowerment of followers (from behaviouralstyles) and transformational leadership integratesattributed traits and leader behaviour, as well as power andinfluence.

Transformational Leadership

17. Transformational leadership suggests charismatic leadersact as inspiring role models for their followers. Theseleaders are more successful than transactional leaders whooperate solely on a performance-reward system. All leadersusually display both transformational and transactionalleadership styles, but theorists argue that successfulleaders are those who make the most of transformationalbehaviour and reduce their transactional behaviour. Suchleaders provide the team or organisation with vision andstrategy and inspire their followers to achieve improvementthrough quantum changes. Those who subscribe to thistheory claim that it is suitable for both the industrial andmilitary environments.

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The Learning Organisation

18. A learning organisation is one in which all members of theorganisation are engaged in identifying and solvingproblems as they arise. This approach enables theorganisation to continuously experiment, change andimprove, thus increasing its capacity to grow, learn andachieve its purpose. In order to build a learningorganisation, Senge suggests leaders need to develop fivedisciplines:

a. systems thinking (a conceptual framework to make the

interrelationships clearer and also facilitate effective

change);

b. building shared vision (translating personal visions into

shared ones);

c. mental models (being deeply ingrained assumptions-

adaptation and growth depend on the ability to adapt

and change mental models);

d. team learning (the capacity to think together and

overcome defensiveness); and

e. personal mastery (this involves a level of proficiency in

personal vision, focus of energy, patience and ability to

see reality objectively).

19. A discipline should not be regarded as a simple field of studybut rather the lifelong development of a way of thinking.Unlike the importance of the charismatic leader intransformational leadership, within the learningorganisation, the leader is one who acts more as a teamcoach and fac i l i ta tes cont inuous , incrementa lorganisational learning.

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Section 4. Defining Leadership Capability

20. Personal qualities (character), specific knowledge and skills(competence), and actions determine leadership capability.To be effective, leadership capability requires competence infour categories:

a. Conceptual. Skills that reflect the ability to think in the

abstract are termed conceptual skills.

b. Diagnostic. Skills that reflect the ability to analyse,

understand cause and effect relationships, develop

alternatives and find optimal solutions are referred to as

diagnostic skills.

c. Technical. Skills that are concerned with the ability to

perform a specialised task involving a certain method or

process are technical skills.

d. Interpersonal. Skills that enable individuals to

communicate with, understand and motivate other

individuals and teams are interpersonal skills.

21. As Figure 1–8 illustrates, the mix of skills and knowledgewill vary at different rank levels in terms of emphasis inscope and complexity. At the junior level, greater emphasisis placed on technical and interpersonal skills. At moresenior ranks, effective leadership depends more onconceptual, diagnostic and interpersonal skills. These willfar outweigh the need for technical skills.

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Senior Rank

Junior Rank

Conceptual

Dignostic

Interpersonal

Technical

Figure 1–8: Scope and Complexity of Skills across Ranks

Appendix: 1. Evolution and Development of Leadership

and Management Theory

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APPENDIX 1

ANNEX A

CHAPTER 1

Evolution and Development of Leadershipand Management Theory

1. Table 1–4 summarises the 20th century evolution of leader-ship theory together with the development of managementtheory.

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DateLeadership Theory Management Theory

Theory Concept Theory Concept

1900s Great man Leadership definitions emphasised control andcentralisation of power. It was seen as the abilityto impress the will of the leader on those ledand induce obedience, respect, loyalty andcooperation.

ScientificManagement

The division of labour. Each job is broken downinto a set of the smallest possible elements andstandardised to achieve the highest possibleefficiency.

1920s ScientificManagement andHuman RelationsApproach

Scientific management did not take into accountthe needs of people or the idiosyncrasies ofindividuals. The human relations movementshowed the need to take into account thepsychological, emotional and sociologicalaspects of work in job design. It emphasisedsatisfaction of workers’ basic needs as the key toincreased worker productivity.

1930s Trait and Group Movement away from an emphasis on controland authority and towards group influence - theinteraction between specific traits of one personand other traits of a group.

Human RelationsApproach

Table 1–4: The Evolution and Development of Leadership andManagement Theory in the 20th Century

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1940s Group Leadership was said to be the behaviour of anindividual while directing the behaviour of groupactivities. It included the functional approach.

Human RelationsApproach andContingencyApproach

The contingency view was an extension of thehuman relations approach in which the solving oforganisational problems was thought to dependon the manager’s identification of importantvariables in the situation at hand.

1950s Group andBehaviourist

Leadership was seen as a non-coerciverelationship between a leader and the groupwhen directing it towards shared goals.

ContingencyApproach

1960s Behaviourist andContingency /Situational

Leadership was learnt through experience,based on the view that each situation wasbelieved to be unique. There were no universalprinciples.

1970s OrganisationalManagement andSocial Exchange

Leadership was a reciprocal, process ofinfluence, where the leader’s influence dependsmore on persuasion than coercion.

Globalisation caused change in management’sapproach. It emphasised the need to empowerand involve employees, to focus on thecustomer, benchmark and seek continousimprovement. The contingency approach gaveway to Total Quality Management.

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1980s Group ExcellenceandTransformationalLeadership

This decade saw leadership recast as greatmen and women with certain preferred traitsinfluencing followers to do what the leaderswished to achieve. Group/organisational goalsthat reflect excellence were defined as somekind of higher level effectiveness.

ContingencyApproach andCulture-qualityMovement

Continuous improvement was no longer enough.Post-modern organisations needed to achievecontinuous learning to gain competitiveadvantage. These learning organisations areguided by a shared vision and systems thinking,with a team learning approach based onpersonal mastery and a strong adaptive culture.

1990s TransformationalLeadership and theLearningOrganisation

The demands of continuous change are toogreat for individuals and small executive teams.The requirement to take ‘systems’ view tosolving problems requires leadership to create alearning capability throughout the organisation.The leader creates a shared vision and shapesthe culture through values-based leadership.Empowered workers are guided by the visionand culture rather than directly influenced by theleader.

Culture-qualityMovement andPost-modernOrganisation

ANNEX B

CHAPTER 1

Principles of Leadership Behaviour

Section 1. Introduction

1. Influence begins with the leader and ripples outwards, fromthe individual to the team, to the unit and to the Army itself.The principles of leadership behaviour in the AustralianArmy have withstood the test of time and are useful forself-assessment and in developing a personal leadershipstyle. These principles are:

a. be proficient;

b. know yourself and seek self-improvement;

c. seek and accept responsibility;

d. lead by example;

e. provide direction;

f. know and care for your subordinates;

g. develop the potential of your subordinates;

h. make sound and timely decisions;

i. build the team and challenge its abilities; and

j. keep your team informed.

Section 2. Principles

Principle 1 – Be Proficient

2. Soldiers trust leaders who are confident in their ownabilities. Confidence comes with tactical and technicalproficiency. Proficiency can be attained through acombination of formal training, on-the-job experience andself-improvement.

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3. Successful leaders recognise that developing proficiency is alifelong pursuit. It is the capacity to develop and improveskills that distinguishes good leaders from others. Theyhave the self-discipline to develop themselves. Somesuggestions for expanding individual proficiency include:

a. studying the techniques of successful leaders and

adopting the approaches that suit;

b. seeking balance in all that is done;

c. maintaining confidence – all leaders at some time in

their lives have doubted their ability. To develop

creativity, each individual should constantly seek

improvement and innovation; and

d. maintaining personal motivation to take positive,

goal-oriented action.

Principle 2 – Know Yourself and SeekSelf-improvement

4. Gaining insight into one's strengths and weaknessesrequires time for reflection on personal performance.Knowing oneself and making a conscious effort to improvelays the foundation for knowing others. If leadersunderstand this, then they will find it easier to improvetheir own strengths and weaknesses. The more leaders areaware of their own values, needs and biases, the less likelythey will be to impose these values and biases on others.Leaders will also be able to consistently act in a manner thatreflects their values, gaining them credibility with themembers of their team.

Principle 3 – Seek and Accept Responsibility

5. Being a leader will always involve responsibility. Leadersmust be prepared to accept those responsibilities passedfrom superiors and those demands placed on them bysubordinates. Beyond stated responsibilities, superiorsexpect subordinate leaders to take the initiative inaccordance with the commander's intent and to train and

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encourage their subordinates to seek responsibility. Theexample set by leaders in assuming responsibility helps toshape the team.

Principle 4 – Lead by Example

6. Soldiers expect their leader to be a role model. No aspect ofleadership is more powerful. If the leader expects courage,competence, candour, commitment and integrity fromfollowers, then the leader must personally demonstratethose qualities. High, but attainable standards should beset, and the leader should be willing to do what is required ofthe rest of the team, and to share dangers and hardshipswith team members.

7. The leader's personal example will affect followers morethan any amount of instruction or form of discipline. Theleader must become a model for others to trust and choose tofollow. Good leaders know when to listen, when to act andwhen to refocus their energies.

Principle 5 – Provide Direction

8. The team must understand its purpose. Its members need toknow the nature of the task to be completed, the standard tobe achieved, and the time-frames within which it is to beachieved. Being able to analyse the superior commander'sintent and operate within the environment of missioncommand is essential for success. In the absence of orders,the leader and the team should have the skills, knowledgeand initiative to act in accordance with the commander'svision.

9. The following considerations should be adopted in applyingthis principle:

a. it is essential to use the established chain of command;

b. clarity of communication is vital;

c. the team must be encouraged to seek clarification where

necessary;

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d. it is important to confirm the team's understanding of

orders, the context of the situation and the superior

commander's intent; and

e. while supervision is necessary to ensure the intent is

being achieved, initiative should not be stifled.

Principle 6 – Know and Care for Your Subordinates

10. Leaders must commit time and effort to listen to and learnabout their soldiers. They must strive to understand whatdrives their soldiers and what is important to them.

11. Leaders who show genuine concern for their team will findthat the team will in turn trust and respect them. Failure tocare for them during training will send the message thatlittle value is placed on their lives in battle. Accordingly,leaders should actively demonstrate concern for theirsoldiers through:

a. observing and being seen;

b. being fair and approachable;

c. gaining as much knowledge as possible from personal

records and contact with the team;

d. be ing concerned for subordinates ' domest ic

circumstances, living conditions and work environment;

e. being fair and firm in the administration of reward or

discipline;

f. providing opportunities to assist subordinates' personal

development; and

g. supporting the team with loyalty and respect.

Principle 7 – Develop the Potential of YourSubordinates

12. Delegating authority will enable subordinates to developtheir potential as leaders. When a leader is willing todelegate authority, it indicates trust in the team and will

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foster an environment in which team members seek moreresponsibility. It is the leader's responsibility to createconditions in which subordinates' potential may flourish.Leaders should:

a. provide opportunities for team members to take on

additional responsibilities;

b. be quick to recognise the accomplishments of

subordinates, be open with praise and correct any errors

constructively; and

c. back their subordinates – have faith in their ability and

performance until convinced otherwise.

Principle 8 – Make Sound and Timely Decisions

13. Leaders must be able to rapidly assess a situation and makesound decisions. Delaying or avoiding making a decision willlead to loss of confidence and confusion. Good decisionsmade at the right time are better than the best decisionsmade too late. Successful leaders do not have all the answersall the time. They do however, have to be prepared toendorse a decision to act when necessary. In order to developthe ability to make sound and timely decisions, leadersshould:

a. clarify the issue and gather the facts without relying on

assumptions. Decisions should be based on all available

facts while balanced with the need to be ‘timely';

b. plan ahead, anticipate problems and include a risk

scenario where appropriate;

c. listen to soldiers and value their knowledge. Seek the

opinion of subordinates and use their thoughts to assist

in the decision-making process;

d. consider theshort and long-term effects ofdecisions; and

e. keep team members informed of policies and plans so

that they can also plan ahead.

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Principle 9 – Build the Team and Challenge itsAbilities

14. Soldiering is a team activity. The leader must develop acamaraderie among subordinates that motivates them towillingly and confidently meet all challenges. Subordinatesneed confidence in the leader's ability to lead them, and intheir own ability to perform as members of the team.Individuals will perform better when they share the goalsand achievements of the group. Subordinates will gainsatisfaction from performing tasks that are reasonable andchallenging but will be frustrated if tasks are too easy,unrealistic, or unattainable. Leaders should:

a. ensure the group is keeping pace with the current

training program,

b. utilise the best training facilities and resources available

and make training innovative and demanding,

c. educate subordinates in the duties of other team

members and in the duties of flanking groups,

d. reinforce for each individual the importance of his role in

the team, and

e. use the full capabilities of the group before requesting

assistance.

Principle 10 – Keep Your Team Informed

15. Success depends upon team support. Individual soldiershave changed the outcome of battle using initiative in theabsence of orders. Keeping subordinates informed:

a. helps them to make decisions and execute plans within

the commander's intent;

b. encourages initiative; and

c. improves teamwork.

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16. Soldiers who are well informed are less likely to beinfluenced by false rumour and their morale and confidencewill be higher. Soldiers will look for logic in orders and in ahigh trust environment should question where this logic isabsent. They expect the leader to keep them informed and,when possible, explain reasons for instructions. Leaders willneed to work hard at building these relationships, based onmutual respect and open communication.

Section 3. Conclusion

17. The principles of leadership behaviour and theirrelationship to various components of the ALM can be usedas a tool to assess the current leadership situation in a teamor organisation, and can also be used as an action plan forindividual improvement.

18. While there are times when it may be necessary tointervene, the wise leader does not interfere unnecessarily,helping others to find their own success. Sharing success isvery beneficial and the most successful leaders know thatthe reward and satisfaction from doing a job well arisesnaturally from the task itself.

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CHAPTER 2

Ethos and Values

Section 2-1. Introduction

2.1 The Army, as part of the Australian Defence Force (ADF),must be prepared to fight and win whenever the nation'sleaders require it to defend Australia and its nationalinterests.

2.2 Soldiers must put the national interest before self as theymay be required to kill and inflict injury, and stand graverisk of death or injury to themselves. The demandultimately made of soldiers is personal involvement in closequarter battle or in resolving peace enforcement orpeacekeeping incidents.

2.3 Whatever the task, across the continuum of conflict,operations are a group endeavour; whether the scenarioinvolves peacekeeping, peace enforcement or conventionalwar. Essential to this endeavour is the creation of bondsbased on competency, trust and respect between members ofthe team, and between the team and its leaders. Thesequalities enable Army units to withstand the enormouspressure imposed by conflict.

2.4 The will to fight, sustained by the Army's morale (discussedin Chapter 5), is founded upon the Army's ethos and values.These have been forged from the customs and traditions ofthe Army and the ethical and moral values of Australiansociety. Understanding the belief and value of theAustralian soldier is fundamental to effective leadership.

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Section 2-2. Understanding Ethos and Values

2.5 On joining the Army, soldiers are instilled with the need toadopt certain norms of acceptable behaviour. These culturalrules are undocumented, yet powerful. As a result, beforeconsidering the many issues related to the study ofleadership, the practitioner must first acknowledge andunderstand the role and influence of ethos and values.

Ethos

2.6 Ethos refers to the very identity of an organisation or unit. Itis used loosely to collectively describe characteristics such asinner spirit, morale, esprit de corps, standards and values,purpose and mission, all of which contribute to buildingethos. Ethos is not ‘given' but develops as a product of anorganisation's or unit's history. It is created from humaninteraction, past and present and, in this sense, is similar toculture.

Values

2.7 Values are those powerful determinants of individualattitudes and behaviours that form the building blocks forleadership and influence. The Australian Army promotestraditional values that have evolved from its history andbeen proven in combat. These values are linked to attitudesthat guide individuals to assess the difference between rightand wrong. Consequently they are a strong force to shapebehaviour and are even more potent when team membershave the freedom to act on individual initiative. Values formthe heart of team cohesiveness and identity.

2.8 As values are derived from self-learning and discovery theycan be complex and difficult to change. Yet it is theresponsibility of every leader to cultivate desired values.

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Section 2-3. The Army's Ethos

2.9 The Australian Army has an ethos based on service – to thenation, the Army, the unit and to mates, and the maintenanceof high ethical and professional standards. This emphasis onservice before self requires the Army's soldiers to have a rangeof personal qualities, including discipline, respect andprofessionalism. The Army's service ethos is characterised bythe willingness of the Australian soldier to achieve thenation's military objectives by the controlled use of, or thethreat of lethal and non lethal force. The Australian and NewZealand Army Corps (ANZAC) tradition is built on thesacrifice of those who put service to their country before theirown personal safety and the love of their family. It is atradition forged in battle and sustained in the Army'sapproach to soldiering. It is a tradition of courage underextreme hardship and danger, a fierce spirit of independence,and the willing sharing of difficulties and opportunity amongmates. Mateship embraces loyalty to leaders, subordinatesand comrades and is the foundation that bonds successfulteams. It is the Army's ethos of service that shapes the beliefs,ideals and standards that characterise and motivateAustralian soldiers.

2.10 Friend and foe have always respected Australian soldiersfor their fighting ability, resourcefulness, initiative, andcompassion. The Army continues to value and foster thesequalities along with the physical and mental toughnessrequired to achieve its mission.

2.11 The Army also strives to provide the best possible support forits soldiers, the Army team, and the Army family. Thisincludes moral and spiritual support, free from prejudice andderision, which serves to reinforce the Army's ethos at everylevel.

2.12 The Australian community expects the members of itsarmed forces to be of the highest calibre, both physically andethically. Therefore, the ADF has in place a number ofregulations, which impact on the lifestyle of militarypersonnel. The Army recognises that the upholding of andadherence to standards are vital to ensure the community'scontinued trust, confidence and support.

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Section 2-4. The Army's Values

2.13 Army derives its core values of ‘courage', ‘initiative' and‘teamwork' from its ethos. They are implicit in the Defencesenior leadership values of ‘professionalism', ‘loyalty',‘innovation', ‘courage', ‘integrity' and ‘teamwork.'

Courage

2.14 Courage is the strength to do what is right, whatever thephysical or moral challenges. Courage is more than puttinglife and limb on the line for country, mission, and mates. It isalso about making hard decisions with honesty andintegrity. It is acting in the best interests of the nation andthe Army, in the achievement of the assigned mission,whatever the personal consequences. It is having the moralstrength to balance the will to win with compassion, andduty with mateship.

Initiative

2.15 The Australian soldiers' independence of thought and actionhas been an enduring characteristic throughout the Army'shistory. Initiative is about taking action when required evenwithout specific orders, or when issued orders to thecontrary due to a lack of knowledge of currentcircumstances. It means showing resourcefulness inachieving the mission, innovation in solving problems, andovercoming material deficiencies through improvisation.

2.16 The small size of the Army and the high value placed onsoldiers' lives have taught the Army to emphasisemanoeuvre, to seize opportunities when they presentthemselves, and to give subordinates the freedom of actionto exploit opportunities to the full. The Army has never beenblessed with an overabundance of resources and finds a wayto win through the use of initiative. Through effectivecommand and leadership, the Army fosters initiative at alllevels, with subordinates encouraged to utilise freedom ofaction to exploit fleeting opportunities in battle.

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Teamwork

2.17 Teamwork is based on an individual and collectivecommitment to a common purpose. Teamwork requiressound leadership at all levels, individual competence, andmutual trust forged in realistic and rigorous collectivetraining. Loyalty to one's leaders, subordinates, and peers isthe basis of trust and the Army ethos of mateship.Competition between groups within the Army is encouragedto develop spirit, but rivalry must never cause distortion ofthe Army's mission. Teamwork also extends beyond theArmy to include activities as part of the ADF and combinedactivities with allies and regional security partners to meetcommon objectives.

Section 2-5. The Army's Rules for a Fair Go

2.18 Army's ethos and values dictate that certain standards ofbehaviour are expected of Army's members. It requires allsoldiers at every rank level to apply certain standards ofbehaviour, which are embodied in the Army's Rules for aFair Go. Importantly for leaders, they must not only applythese rules but also live by them. These simple rulesexpressed in plain language, are:

a. bring honour to your country, the Army, your mates and

yourself. Respect and use the Army values of courage,

initiative and teamwork;

b. earn the trust and loyalty of your team. Don't let your

mates down;

c. be accountable for your actions and decisions. Encourage

your mates to do the same;

d. treat others as you want them to treat you;

e. lead byexample. Look after all your people, all the time;

f. have the courage to stand up for what is right and stop

unacceptable behaviour;

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g. be honest, always;

h. respect the differences in others (such as gender,

personality, race or religious beliefs);

i. make our chain of command work; and

j. use the military justice system; it's there to give you a fair

go.

Section 2-6. The Army's Traditions

2.19 Since its formation on 1 March 1901, the Australian Armyand its reputation have grown. The fighting spirit of theAustralian ‘digger', enshrined in the ANZAC traditionestablished at Gallipoli, and reinforced by subsequentgenerations of servicemen and women, continues.

2.20 The Army is proud of its history, and maintains a number oftraditions that reinforce its ethos and values. Observingtraditions not only serves to remind successive generationsof Australians of their nation's past, it also allows servingmembers to benefit from the lessons learned and examplesset by their predecessors.

2.21 Australia's Army has always been relatively small, but ithas been successful because of its ability. The Army selectsits leaders on overall merit in the profession of arms, andcontinues to foster the ability to plan, conduct and supportoperations through education and realistic training. This isits primary focus.

2.22 The role of the Army as the Services' custodian of thenational flag is important to the Army's ethos of service tothe nation. The Army has no ensign of its own, but proudlycarries the Australian National Flag.

2.23 The slouch hat and rising sun badge depicted in Figure 2–1are significant elements of the Army's traditions. Thesesymbols are recognised worldwide and stand for thosecherished qualities of the digger. Today's soldiers wear themwith pride as constant reminders of the sacrifice andfighting qualities of their forebears.

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2.24 Since earliest times, warriors in their groups have carriedstandards or banners as distinguishing marks and to serveas rallying points during battle. The Australian Armycontinues this tradition, and its regiments and battalionsvalue highly their standards, guidons, colours and banners.They are guarded carefully and treated with respect as ameans of building unit esprit de corps and as a reminder ofthe Army ethos of service before self.

2.25 The Australian Army Banner (Figure 2–2), a gift from thenation to commemorate 100 years of Army service, is anenduring symbol that connects the Army's spirit, its values,its heritage and its symbolism.

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Figure 2–1: Enduring Symbols of the Army's Traditions

2.26 Civic and military parades are an important embodiment ofa number of the Army's traditions, incorporating ceremonialdrill and uniforms, colours and banners, and usuallyincluding the official Army March, a medley of ‘WaltzingMatilda' and ‘Brown Slouch Hat'. While parades are notfrequent, they reinforce discipline and teamwork.

2.27 Such occasions also represent the part that soldiers andother Defence Force personnel play in the formality ofAustralian public life. The opening of Parliament, visits bydignitaries, and other ceremonial occasions, are augmentedby remembrance celebrations such as ANZAC Day. These

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Figure 2–2: The Australian Army Banner

have proven appropriate occasions on which to recogniseand honour those whose lives were given in service forAustralia, and to reinforce in the minds of serving soldierswhat may be required of them.


2.28 The Army's mission to win the land battle demands that itssoldiers are different from the rest of the community. TheArmy reflects the community it serves, but its ethos andvalues, while based on those of the Australian people,remain necessarily different. This is because they providethe foundation for success on any operation to which theGovernment may commit the Army.

2.29 The Army's ethos and values, together with its traditionsand simple rules for a fair go, embody what is the essence ofthe Australian Army and its soldiers. Understanding thisessence and demonstrating it through personal example isfundamental to effective leadership.

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CHAPTER 3

Individual Behaviour


3.1 Success on the battlefield involves understanding people asa whole, not just the enemy. Understanding individualbehaviour is a vital element in learning to lead. Individualdifferences are the essence of the leadership challenge. Witha clear knowledge of individual strengths and weaknesses,and an understanding of how individual differences affectteam behaviour, the leader is more likely to worksuccessfully with others and build a cohesive team.

3.2 While it may appear that some people have a ‘sixth sense' fordealing with others, they are actually following some basicrules about human behaviour that can be learned. With theright set of guidelines, leaders can be equipped tounderstand and anticipate individual behaviour, as well aslearn from their many interactions with people. By knowingtheir soldiers leaders will understand when to driveforward, when to ease off and when to take time out to listen.

3.3 This chapter explains why people act the way they dothrough examining individual capability and personality.Some motivational theories are discussed as are otherissues leaders must be aware of including dealing withstress and developing self-awareness.

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Why People Act the Way They Do

3.4 No two individuals are the same. Behaviour is shaped byindividual personality, the learning experiences (both badand good) encountered through life, and the immediatesituation. These broad influences and some factors thatdetermine behaviour are illustrated in Figure 3–1.

Section 3-2. Capability and Personality

3.5 The two most interesting individual differences arecapability and personality. Leaders who can trulyappreciate the differences between people and make themost of their strengths achieve more. Well-led people thengain a strong sense of belonging and usefulness as teammembers.

3.6 When there are strong differences in the values that peoplehold, it is difficult to develop the common goals that enable ateam to work well. However, the differences in thecapabilities and personality styles of team members, ratherthan hindering good teamwork, provide richness, depth andflexibility. What one member cannot do, another maycomplete with ease. The dry sense of humour of one person isbalanced by the quiet but useful observations of another.

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INDIVIDUALBEHAVIOUR

The Situation

Organisation

Work Group

Job Characteristics

Personal Life

Personality

Skills & Attributes

Acknowledgement

Attitude & Values

Ethics

The Person The Environment

Figure 3–1: Factors Influencing Individual Behaviour

3.7 Capability encompasses the skills and abilities that enablepeople to achieve the desired results. Personality is the wayin which people typically go about living – the introvertversus the extrovert, the carefree and happy-go-luckyversus the serious and worried person. These two attributesare discussed below.

Capability

3.8 Leadership is about using and coordinating individualcapabilities to achieve the best effect. There are manydifferent capabilities found in people that can be helpful to ateam at different times. Some of these are described below:

a. Physical. Physical capabilities encompass the strength,

endurance and flexibility that are necessary for manual

work and operations in the field.

b. Kinesthetic (coordination of physical and mental

abilities). Kinesthetic capability refers to the ability to

skilfully coordinate actions. For example, people who are

good at sport, are effective battle shots, can dance or have

dramatic ability.

c. Mental or Intellectual. Mental or intellectual capability

is the ability to think accurately and to analyse and solve

problems. Some people are better with words or

language while others are better with numbers.

d. Spatial. Spatial ability is the ability to judge distances

and to estimate how much space will be needed for a

quantity of objects. It is vital in many planning activities

and in logistics.

e. Interpersonal. Interpersonal ability is the ability to

understand and work effectively with other people. It is

an essential skill in leaders.

f. Intrapersonal. Intrapersonal ability is the ability to have

a clear and honest understanding of oneself so that

personal skills and attributes can be applied to best

advantage.

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3.9 All people have some degree of capability in all of the aboveareas. Some people have strength in several of them, somemay be average in all, and others could be strong in only oneor two. It is important to recognise that the usefulness ofindividual capabilities depends very much on the situation.

3.10 Leaders must know the skills or capabilities of teammembers and must not assume a person who is weak in onearea will be weak in all others. This may lead to the team'smissing out on many talents. The leader who finds thestrong capabilities in each member will reap benefits for theteam overall. The team will have people with more skillsand commitment to every task or challenge they face.

Personality

3.11 ‘Personality' should not to be confused with ‘popularity'. Incommon language the expression that someone ‘haspersonality' is often applied to people who are more outgoingand popular. The fact is that everyone has personality. It is areflection of all the personal characteristics that makepeople unique. This includes: the way people talk, theexpressions used, typical responses to ‘orders from above',the way friends are treated, one's sense of humour, the wayindividuals react to problems, or the way people relate tostrangers. All of these and many other factors make peopleindividuals.

3.12 Personality is what gives consistency to a person'sbehaviour. It refers to the relatively stable pattern ofcharacteristics that describe an individual's behaviour.Personality is the result of heredity and the environment,and it is influenced by the situation. There is, for example,evidence that supports the genetic influence on traits suchas extroversion and flexibility. There are also studies thatshow strong external pressure and the degree ofself-awareness will influence how a person's behaviour canchange according to circumstance.

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3.13 Situation. Personality characteristics aside, it is importantto remember that the situation (see Figure 3–1) influencesbehaviour to varying degrees. Certain situations canoverride differences in behaviour and either the individualswill agree, or the environment will provide clear indicatorson the appropriate behaviour. An operational contact for aninfantry section is an example of a ‘strong' situation. It willprovoke a common response within the section, in the formof a contact drill. A performance interview or counsellingsession will similarly prompt a soldier to listen and respondonly when asked.

3.14 A ‘weak' situation such as an informal meeting or a teambarbecue provides few cues and no obvious reason for anyparticular behaviour over another. In this situation,typically, stronger personalities will have a greaterinfluence over group behaviour.

3.15 Personality Type. In labelling individual behaviour, onestudy identified more than 17 000 individual traits. Such alarge number of traits is of no help in trying to predictbehaviour, so instead of looking at specific characteristics, itis possible to group qualities together. A frameworkdeveloped by the behavioural scientist Carl Jung groupedtraits into four dominant personality types. The fourdimensions describe how an individual:

a. relates to the world through interest flowing mainly from

the outer world of action, objects and people

(extroversion), or from an inner world of concepts and

ideas (introversion);

b. takes in information and ideas through immediate real,

solid facts of experience (sensing), or through the

possibilities, meanings and relationships of experience

(intuition);

c. makes judgements or decisions by objectively and

impersonally analysing facts (thinking) or by

subjectively and personally weighing values for the

importance of choices (feelings); and

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d. controls and organises people or activities by planning

and living in an orderly way in order to regulate and

control events (judgement) or in a flexible, spontaneous

way aiming to understand and adapt to events

(perception).

3.16 Annex B to Chapter 12 looks at personality types and howthey can influence decision-making.

3.17 The four dimensions described above combine into 16overall possible personality types. The best knownapplication of this theory is the Myers-Briggs Type Indicatorwhich has been used successfully in team building,determining learning styles, decision-making and to guideinterpersonal relations. While the method is said to begenerally reliable and valid, it should not be used forselecting people for a job, or for evaluating performance. Insimple terms, it is best used to improve self-awareness andto help understand how others might see individuals.

3.18 Specific Personality Attributes. Personality has anumber of attributes that are important in predictingindividual behaviour. Leaders who understand theseattributes will develop a better awareness of the likelyreactions of their soldiers and how to make best use of theindividual differences in the team. These attributes are1:

a. Locus of Control. Locus of control is a term given to the

perceived site of the controlling influence in a person's

life and environment. If individuals believe they control

what happens to them, they have an internal locus of

control (based on self). If they believe that circumstance

or other people control what happens to them, they are

described as having an external locus of control (based on

the situation of others). In general, internal types like to

assume responsibility. They display higher motivation

and believe that their effort will lead to improved

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1. D. Nelson and J. Quick, Organisational Behaviour, South-Western ThompsonLearning, Stamford, 2000.

performance. They will also control their work

environment and do not react well to close supervision

thus creating a challenge for leadership. External types

generally prefer structured work settings and may not

want to participate in decision-making.

b. Self-esteem. Self-worth or strength of feelings is a

reflection of self-esteem. Self-esteem can be strongly

affected by a given situation in that success tends to raise

self-esteem where failure tends to lower it. A work team

of individuals with high self-esteem is likely to

out-perform a team with a lower average self-esteem.

The implications for leadership involve the necessity to

build team and individual self-esteem by providing

suitable challenges and opportunities for success.

c. Self-monitoring. The extent to which an individual pays

attention to what is appropriate in a particular situation

indicates the capacity to self-monitor: that is, to take

behaviour from people and situations. ‘Low monitors'

cannot disguise their behaviour and show their true

mood and attitude in every circumstance. People who

can adapt well to situations are ‘high monitors'. Their

behaviour varies with, and conforms to, the demands of

the situation. This flexibility is valuable, particularly for

sensitive tasks or where they are required to play

multiple, even contradictory roles. However there may

beoccasions where this attribute may be adisadvantage.

d. Positive and Negative Affect. Positive and negative affect

is concerned with the consistent way (mood or attitude)

in which a person responds to situations. People with a

persistent focus on the positive aspects of themselves,

other people and the world are said to have positive

affect. Those who emphasise the negative are said to

possess negative affect. People with positive attitudes

are an asset in work and team settings; while negative

individuals can produce a negative effect in the group,

leading to less cooperative behaviour.

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e. Self-efficacy. Self-efficacy refers to a belief in one's own

ability to perform a given task. This develops when

positive feedback is received as a result of performing

various tasks, or through the observation of others

completing tasks successfully. Training, properly

delivered feedback (rather than inconsiderate, general

or threatening criticism), coaching, and rewards for

gradual improvement are all important mechanisms for

improving self-efficacy.

f. Emotional Intelligence. Emotional intelligence involves

the ability to be aware of emotions and to manage and

use them appropriately in dealing with others and in

challenging situations. A leader who operates from a

position of low self-awareness is limited in his ability to

respond to people and situations. Emotional intelligence

may be a useful predictor of success in leadership as well

as overall success in life. Importantly it can be learned

and increased through being aware of one's individual

feelings, intentions, actions, and methods of appraisal.

Emotional intelligence consists of five abilities:2

(1) knowing one's emotions: sel f -awareness,recognising a feeling as it happens;

(2) managing emotions: handling feelings so that theyare appropriate;

(3) motivating oneself: marshalling emotions towardsthe goal;

(4) recognising emotions in others: having empathyand understanding for others; and

(5) handling relationships: being able to interrelate,communicate and work with others.

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2. See Daniel Goleman, Emotional Intelligence, Bloomsbury, London, 1996.

Section 3-3. Motivation

3.19 It is obvious that some people apply more effort in achievinggoals than others. People with very high intelligence andability who are not interested in their work will contributefar below their potential. The effort people apply to tasks is areflection of their respective level of motivation.

3.20 Motivation is a willingness to exert effort towards achievinga team or organisational goal, in order to satisfy someindividual need. The effort expended in achieving a goal isconditional on satisfying an individual need. Thusmotivation is a needs-satisfying process. Inherent in thisdefinition is the requirement that an individual's need iscompatible and consistent with the organisational goal.Should this not be the case it results in individual effort thatruns counter to the organisational interest.

3.21 There are a number of motivational theories that have beendeveloped over time. These include:

a. Maslow's Hierarchy of Needs;

b. Alderfer's Existence, Relatedness and Growth (ERG)

Theory;

c. Vroom's Expectancy Theory; and

d. Locke's Goal Theory.

Maslow's Hierarchy of Needs

3.22 Maslow's Hierarchy of Needs is one of the earliest and bestknown theories of motivation. Maslow's theory advancedsome propositions about human behaviour, namely:

a. man is a wanting being – he always wants, and he wants

more. In accordance with this theory, as soon as one need

is satisfied another appears in its place;

b. a satisfied need is not a motivator of behaviour. Only

unsatisfied needs motivate behaviour. An individual

who has plenty of food is not motivated by more food.

Only when hunger returns will food motivate behaviour.

Thus only unsatisfied needs exert force on what a person

does; and

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c. man's needs are arranged in a series of levels – a

hierarchy of importance. As lower-order needs are

largely met, higher-level needs emerge and require

satisfaction. This hierarchy consists of two main groups:

(1) Lower-order needs. Lower-order needs comprise

physiological (food, water and shelter); safety

(security and protection from physical and emotional

harm); and social (affection; belonging, and

friendship) needs.

(2) Higher-order needs. Higher-order needs comprise

esteem (internal factors such as self-respect,

autonomy and achievement, and external factors

s u c h a s s t a t u s a n d r e c o g n i t i o n ) , a n d

self-actualisation (the drive for growth and

self-fulfilment).

Existence, Relatedness and Growth Theory

3.23 ERG theory reworked Maslow's Hierarchy of Needs to reflectresearch evidence more accurately. Basically, Alderfer arguesthat there are three groups of core needs: existence,relatedness and growth. These needs can all operate asmotivators at the same time. Frustration in satisfying ahigher need can result in regression to a lower-level need.Existence provides the basic physiological and safety needs.Relatedness is concerned with maintaining importantinterpersonal relationships and matches Maslow's social andexternal esteem components. Growth is identified as aninnate desire for personal development. This need embracesMaslow's internal esteem component and self-actualisationneed. Figure 3–2 compares the two theories.

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Expectancy Theory

3.24 A number of theories on expectancy have emerged over time.They argue that people's motivation can be explained interms of anticipated or expected rewards and assume thatpeople are rational in their decision-making. These theoriestry to bring together both personal and situational influences.

3.25 Victor Vroom's expectancy theory argues that the willingnessto apply effort depends on expectations about the future andthe value placed on achieving specific outcomes. Twoexpectations are important in Vroom's model, the expectationthat effort leads to performance and the expectation thatperformance leads to desired outcomes and rewards. Theattractiveness that a person attaches to achieving an outcomeis an individual one that cannot be accurately predicted. Thisoccurs through individual questioning of the likelihood thateffort will lead to desired outcomes in the following manner:

a. Effort-performance Relationship. Individuals willquestion whether the effort required will lead to anacceptable level of performance.

b. Performance-outcome Relationship. Individuals will alsoquestion whether successful performance will lead to thedesired outcomes and result in reward. An individual maythen take into account the impact ofanegative outcome.

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Physiological Needs

Safety Needs

Social Needs

Esteem Needs

Self-ActualisationNeeds Growth

Relatedness

Existence

Maslow'sHierarchy of Needs

Alderfer'sERG Theory

Figure 3–2: Comparison of Needs Theories

c. Valence. Whether the work outcome is valued will also bean important consideration. The theory suggests thatavailable rewards will motivate only when they arehighly valued. Rewards can be extrinsic (for example,promotion, commendation, awards) or intrinsic(personal feelings of satisfaction with achievement,challenge and growth).

3.26 By questioning the above linkages people determine thelevel of effort they will apply to a given task. This isillustrated in Figure 3–3. This theory successfully explainswhy some people are not motivated by their work and simplydo the minimum required.

3.27 Expectancy theory contains clear implications forleadership. A leader should establish conditions that induceeffort to produce the desired level of performance, and createand maintain reward systems. Importantly the rewardsmust be of value and aligned to the values of the soldier.Praise is a simple and effective reward, but if trivialised oroverdone will cease being valued and could result in theleader being seen as insincere.

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High

E PExpectancy

P OExpectancy Valence

Low Low Low

Less Effort

What is thechance I canperform at therequired level?

What is the chancethat my performance

will lead to thedesired outcomes?

What value do Iplace on the potential

outcomes?

High High

Greater Effort

Figure 3–3: Basic Concept of Expectancy Theory

3.28 Conflicting expectancies and rewards must also beeliminated. Effective solutions include rewarding teameffort rather than individual effort (unless an individual'scontribution is significantly worthy of note) and clarity ofcommand and task relationships.

Goal Theory

3.29 Edwin Locke's Goal Theory proposes that setting specificand challenging goals has a motivating influence and leadsto higher performance in that:

a. specific goals increase performance, and difficult goals,when accepted by the team, result in higherperformance;

b. feedback leads to higher performance more so than theabsence of feedback. Self-generated feedback (byself-monitoring) is a more powerful motivator thanexternally generated feedback; and

c. participation in goal setting is valuable because peopleare more committed to choices inwhich they have a part.

Section 3-4. Stress

Defining Stress

3.30 Stress is a normal human reaction. It is the reaction to asituation that is ‘important' to an individual and for whichthe result or outcome is ‘uncertain'. Both the conditions ofimportance and uncertainty are necessary to react with astress response. If an event is not going to have any personalimpact, an individual is unlikely to experience any stressregardless of how uncertain the outcome is.

3.31 Stress can be positive or negative. Stress can act to focusattention more precisely on a particular situation. Positivestress in some individuals induces them to work moreeffectively in highly stressful situations. Negative stress canbe harmful. Individuals who are normally high achieversmay be so incapacitated by stress they may be unable toperform to previous high levels.

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3.32 A certain level of stress is necessary to focus the efforts ofindividuals on tasks and goals. The total absence of stressmay in fact lead to the non-achievement of those tasks andgoals.

3.33 Reaction to stress is an individual matter. It is the leader'sresponsibility to develop an awareness of those factors thatare likely to cause positive or negative stress in teammembers.

Dealing with Stress

3.34 A leader's ability to help people deal with highly stressfulsituations develops with experience. Initial establishment ofthe source of the stress is vital to its management. This canbe achieved through:

a. Reducing Importance. Reducing the importance that anindividual places on an outcome will reduce theassociated stress.

b. Reducing Uncertainty. Reducing the uncertaintyassociated with an outcome will also reduce the level ofstress. In conflict this may be achieved through effectivetraining, practice, preparation and having all teammembers working in mutual support.

Section 3-5. Self-awareness

3.35 Developing self-awareness is an important element inunderstanding the individual. Self-awareness involvesunderstanding personal strengths and weaknesses, whereto stretch and develop, where to take advice and applyconstructive discipline. The person who has a realistic butpositive appreciation of self has a competitive edge.Self-awareness determines how a person's behaviour canadapt according to circumstance. It is fundamental tosuccess as a leader.

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Developing and Building Self-awareness

3.36 There are four steps that may be applied to achieve a clearand realistic view of oneself:

a. Reflect. Reflecting involves making time to consider and

record meaningful events. This may lead the individual

to discover a pattern in the way abilities, style and values

emerge over time.

b. Seek Feedback. Seeking feedback is a useful exercise in

that others may provide valuable insights into an

individual's performance.

c. Read. The life stories of successful people contain useful

insights and wisdom, which may assist individuals to

understand their own personal strengths and

weaknesses.

d. Try Something Different. Different responses to similar

situations may be useful in understanding the range of

potential achievements possible for an individual and in

avoiding the repetition of previous failures.


3.37 Understanding and appreciating the differences found inindividuals is an essential step to becoming an effectiveleader. This includes the achievement of improvedself-awareness. Understanding the individuals within theteam enables the leader to motivate the team towardsachieving goals while developing all members to their fullpotential. Stress can also have a positive or negative effecton team members. An effective leader uses stress to focusteam members to achieve team goals.

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CHAPTER 4

Group Behaviour


4.1 Teamwork is fundamental to the core business of theAustralian Army. The Army is based on a philosophyfounded on teamwork and this is reflected by the fact thatteamwork is one of the Army's core values. The Army'sstructural organisation is based on the team, from thesection through to the highest headquarters.

Section 4-2. Understanding Groups

Types of Groups

4.2 A group can be described according to the nature of itsstructure. Groups can be either formal or informal.

4.3 Formal Groups. Formal groups are created by anorganisation for a specific purpose. Grouping involves ameans of organising work to enable the organisation toachieve its overall goals.

4.4 Informal Groups. Informal groups result from areas ofshared interest among individuals such as sports andhobbies. Informal groups may form a ‘shadow' organisationthat can exert a powerful force, both good and bad, on theformal organisation.

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Basic Concepts in Group Development

4.5 There are several basic concepts that explain the dynamicsof groups in organisations.

4.6 Group Cohesion. A group is cohesive when members of thegroup are attracted to the group's task, to its prestige, and toother members of the group. Importantly, highly cohesivegroups perform better than non-cohesive groups especially ifthese groups are small.

4.7 Group Norms. Group norms are unwritten establishedrules of acceptable behaviour that apply to all teammembers. Norms may include levels of performance that arevalued by the group, teamwork desired within the group,relationships with senior leadership and other aspects to dowith the wider unit or organisation. The way new memberslearn about these norms is through ‘socialisation'. Groups,especially those that are strongly cohesive, will pressurenew members to conform to their norms.

4.8 Conformity to norms can occur either through compliance orby personal acceptance. Personal acceptance is morepowerful in terms of conformity. This implies that theindividual has accepted the norms, believes in them and willdefend them to outsiders.

4.9 Social Loafing. Social loafing occurs when one or moregroup members rely on the efforts of others and fail tocontribute their own time, effort, thoughts or otherresources to the group. This can be detrimental to theoverall efforts of the group.

4.10 Loss of Individuality. Loss of individuality has a fargreater potential to damage group behaviour than socialloafing. In this social (de-individualisation) process,individual members may lose self-awareness and itsaccompanying sense of personal accountability, inhibition,and responsibility for individual behaviour. When thisoccurs, there is a risk of excessive and violent behaviourbeing exhibited by members of a group as a whole.Individual objections to such behaviour may be submerged

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by the group mentality. Loss of individuality, however, isnot always negative in that overcoming inhibitions may alsolead to heroic acts in dangerous situations.

Functions of Groups in Organisations

4.11 Groups have several functions in an organisation. Thedevelopment of group norms serves as an importantsocialisation function and can also be a source of friendshipand support for individuals that provides a sense ofbelonging and purpose.

4.12 Groups are especially important when undertakingdangerous tasks where the cooperation of all members isnecessary to achieve the task safely. Where tasks areinterdependent, the collaborative actions of cohesive groupswill help achieve these tasks. Because cohesive groups areself-policing, they also control member behaviour. This is avaluable mechanism that is more immediate than thecontrol exerted by a senior person or by the leader.

Section 4-3. Group Development

Stages of Group Development

4.13 Groups can develop in a series of stages. Each stage hasdifferent implications for individual behaviour and forgroup performance. The stages are not discrete but ratherappear as levels in the group evolution from formation toclose. The stages are known commonly as ‘forming',‘storming', ‘norming', ‘performing' and ‘adjourning'.

4.14 Forming. During the group formation stage (forming),members first meet and learn about the task or tasks to becompleted. The group establishes its boundaries sociallyand professionally and begins to understand the nature ofits members and the interests, abilities and values thatthese individuals bring to the group.

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4.15 Storming. The second stage is known as the intra-groupconflict (storming) stage. Once people in the new group havelearned a little about one another, a hierarchy of membersbegins to emerge. Informal leaders begin to appear, powerstruggles may erupt and conflict may arise about how thetask should be accomplished. New members joining acohesive group will experience the force of the socialisationprocess of the group at this stage.

4.16 Some group members do not enter directly into the‘storming' process. They may have preferences andallegiances and may be drawn into a sub-group in support ofone of the emergent leaders should any conflict not beresolved. Others may remain non-aligned until theemergence of an effective overall leader. This type of conflictcan cause the loss of considerable time and energy ifunresolved. Morale will deteriorate rapidly if internal powerstruggles are allowed to continue.

4.17 Norming. Norming refers to the stage in which the teambecomes more cohesive. Close bonds and relationships areformed between members of the group. By this stage thegroup will have defined its roles and the variousrelationships among roles. Appropriate behaviour will alsohave been established and an identifiable group culture willhave started to emerge. The group will also have agreed onhow its members will work together and what standardsand values they will uphold. Within the Army many of thesematters are decided at higher levels of authority. Howevergroups such as sections and platoons will still establish theirown standards and unwritten rules and procedures.

4.18 At this stage of development, the leader may choose toreinforce the processes and standards that were announcedduring the team's formation. Other successful groups in theorganisation may be presented to the new group as effectiverole models. The leader may also encourage the team todevelop some of its own rules, procedures, processes andstandards as its individual mark or identity.

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4.19 Performing. The performing stage is achieved when theteam is working well. When the members of the group arecomfortable with one another and have accepted the normsthey move into the task orientation ‘performing' stage. Bythis stage it is reasonable to expect that they will worksmoothly and productively together. The leader's role is tomaintain the group needs.

4.20 Adjourning. The adjourning or closing stage occurs whenthe groups have completed their task. The leader's taskincludes recognising the contributions made by individualsand helping them make a successful transition to newteams.

Group Formation Stages in Practice

4.21 Failing to achieve goals is the most common cause of groupdisintegration. In this situation strong leadership isessential as the group may begin to doubt its capability,values, or even the quality of its leadership.

4.22 The group may also revert to one or more of the first fourstages for other reasons aside from failing to achieve thetask. Existing members may feel the need to resist theinfluence of any incoming new members especially if theycome together from another established group.

4.23 Since many of the Army's teams behave in a strongorganisational context with high levels of individualtraining and the camaraderie of Service life, the five-stagedevelopment model may have limited use in understandinghow groups actually work. Within the Army teamframework there is a clear set of rules, task definition,information and high standards of individual training.Where there is less structure, fewer rules and the task isless defined, an understanding of the concept of groupformation may prove useful.

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Section 4-4. Influences on Group Behaviour

4.24 Further insight into group behaviour can be gained from anunderstanding of the external conditions imposed on thegroup. Key external factors that influence group behaviourinclude:

a. Organisational Strategy. Organisational strategy

influences resource allocation and the ability of work

groups to effect outcomes. Strategy, for example, may

determine the priority allocated to teams based on the

nature of their respective tasks. This may result in stress

and frustration for lower priority areas where the same

level of support is expected.

b. Organisational Culture. Every group has a culture that

influences and shapes how people interact. This aspect is

discussed in more detail in Chapter 11 – Culture and

Environment.

c. Organisational Resources. Group success is often

contingent on the time and resources available.

d. Technology. Access to technology will influence group

behaviour and effectiveness. Access to night vision

equipment, for example, enables units to operate on a

24-hour basis. This may increase effectiveness, however

it also places greater demands on leadership to manage

competing group needs.

e. Authority Structures. A hierarchy will define the

reporting and decision-making structures. This

influences individual and group behaviour and freedom

for action or initiative.

f. Regulations. The behaviour of groups within

organisations that impose formal regulations and

procedures will be more consistent and predictable.

g. Selection Processes. The make-up of a group will be

determined by the applicable selection criteria.

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h. Performance Appraisal and Reward Systems. Group

behaviour will be influenced by the manner in which the

organisat ion rewards indiv idual and group

achievements.

i. Physical Work Setting. In an office environment the size

and layout, lighting and noise level will have an impact

on behaviour. This is readily evident in a comparison

between open plan offices and individual office layouts.

In the field, the terrain and weather will influence the

way in which a team operates.

Group Structure

4.25 The internal structure of a group will also shape itsbehaviour. These factors include:

a. Formal Leadership. The leader has a significantinfluence on the performance and success of the group.

b. Roles. The set of responsibilities and tasks allocated toeach person within a group is referred to as a role. Aperson can perform one or more roles and differentgroups may impose different role requirements.

c. Norms. Norms or established acceptable standards ofbehaviour define how members behave in a givensituation. Norms act as a means of influencing behaviourwith a minimum of external control.

d. Status. Position or rank within a group is a strongmotivator of follower behaviour. Status, whether formalor informal, also influences human behaviour.

e. Composition. A team that comprises a diverse group ofpeople with a variety of skills and knowledge will be moreeffective than a team with common skill sets.

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Team Roles

4.26 For a team to be successful there are a number of roles thatmust be fulfilled. While a leader may undertake some of theroles, it is more common for these to be shared amongstteam members. Team roles are based on task definition aswell as means of accomplishment.

4.27 The Team Roles Model defined by Meredith Belbin1 is usefulin describing the common roles within group operations.The various roles and their characteristics are listed inTable 4–1. It is useful for leaders to understand the roles inwhich each team member serves best.

Table 4–1: Team Roles and Characteristics

Team Role Characteristic Weaknesses

Coordinator Mature, confident, a goodchairperson, the person whounderstands the overall aim,promotes decision-making anddelegates well. This role may beplayed by the official leader.

Can be seen as manipulative.Delegates personal work.

Plant The person with the freshapproach, the bright ideas.Solves difficult problems.

Ignores details. Too preoccupiedto communicate effectively.

Shaper Challenging, dynamic, thrives onpressure and has the drive andcourage to overcome obstacles.This person is strongly taskoriented. Usually associated withthe official leader, but there canbe other ‘drivers’ in the team.

Can provoke others. Hurtspeople’s feelings.

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1. Belbin, R.M., Team Roles at Work, Butterworth-Heinemann, Oxford, 1993, pp80-81.

Team Role Characteristic Weaknesses

ResourceInvestigator

Extrovert, communicative,develops contacts. The personwho can obtain what the groupneeds. Australian soldiers havea strong tradition of beingresourceful.

Over-optimistic. Loses interestonce initial enthusiasm haspassed.

MonitorEvaluator

Sober, strategic and discerning.Sees all options and is anaccurate judge.

Lacks drive and ability to inspireothers. Over critical.

Implementer Disciplined, reliable,conservative and efficient. Turnsideas into practical options.

Somewhat inflexible. Slow torespond to new possibilities.

Completer Conscientious. The person whochecks for quality, accuracy andcompleteness. They deliver ontime to a pre-determinedstandard.

Inclined to worry. Reluctant todelegate. Can be pedantic.

Teamworker Cooperative, perceptive anddiplomatic. Listens, builds,averts friction, calms the waters.

Indecisive in crunch situations.Can be easily influenced.

Specialist Single-minded, self-starting, anddedicated. Provides knowledgeand skills in rare supply.

Contributes on a narrow front.Overlooks the big picture andfocuses on the technicalities.

When Group Performance Fails to MeetExpectations

4.28 There is no guarantee of team success. Groups may fail toachieve their mission despite adequate training, adequateresourcing, progression through the four stages of groupdevelopment and with all team roles filled effectively.

4.29 The pursuit of conflicting goals is one reason for groupfailure. Conflict in the values by which the group operatesmay also frustrate the group in achieving its objectives. Theleader must maintain a sharp focus on the essential goalsand the values of the group.

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4.30 Another obstacle to effective group performance involvescommunication. A breakdown in communication is often theresult of a combination of ineffective expression of intentand a failure to listen. Communication is covered in moredetail in Chapter 6 – Communication Skills.

Competition and Cooperation

4.31 Competition is vital to building a successful team and is alsoessential to performance improvement. Constructivecompetition produces the best in both teams. Competitionbecomes destructive when one group is rendered ineffectiveby the success of the other.


4.32 Given that groups or teams comprise individuals, (seeChapter 3) a close understanding of groups and theirdynamics is essential for leaders. The achievement oforganisational outcomes is contingent on the success of thegroup. Chapter 15 – Leading Teams – provides guidance onteam leadership.

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CHAPTER 5

Discipline, Morale and Esprit de Corps


5.1 In generating the fighting power to win the land battle, theArmy draws on its intellectual, physical and moral capacity.Discipline, instilled through training, is fundamental toapplying the physical means to fight whereas moralesustains the will to fight – the moral component of fightingpower. Together discipline and morale are the foundationsthat build esprit de corps.

Section 5-2. Discipline

5.2 Discipline is a state of mind that produces a readiness forwilling and intelligent obedience and appropriate conduct.Within the military context it is based on good training,self-discipline, high morale, and fair and just treatment.

5.3 It is essential to distinguish between punishment anddiscipline. The aim of punishment is to correct and preventthe recurrence of faults and inappropriate behaviour. Theresort to punishment in order to achieve results is anegative approach, however, when punishment isappropriate the leader must not hesitate.

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Why Discipline is Necessary

5.4 The efficient operation of a military unit can only beachieved through a high degree of discipline, which ensuresstability and builds confidence and trust. In peacetime,discipline is necessary to ensure the orderly conduct of aunit. Within a disciplined unit, regular, predictable patternsare followed. All members work together towards a commongoal.

5.5 In peacetime, the penalty for lack of discipline will bedisorganisation and low morale. In war, the penalty will bethe lives of soldiers. Operations are a team endeavour thatdemand discipline for the controlled application of force, forinstant reaction to danger, and for the mutual protection ofindividuals.

Types of Discipline

5.6 There are three forms of military discipline:

a. imposed discipline;

b. self-discipline; and

c. collective discipline.

5.7 Imposed Discipline. Imposed discipline is instilled duringinitial or recruit training in which soldiers learn thediscipline of obedience and the basic standards of behaviourthat form part of Army life.

5.8 During initial training a directive or authoritative style ofleadership is employed. The recruit is taught how to dressuniformly and smartly. Mental alertness and an instinctiveobedience to the spoken word of command are learned.Throughout training, recruits are subjected to both physicaland mental challenges. In mastering these they gainsatisfaction and a sense of achievement and learn topersevere in adversity. As higher order needs begin to besatisfied, individuals will complete tasks because of aninternal desire. This is the assertion of self-discipline.

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5.9 Self-discipline. The essence of self-discipline is mentalcontrol and restraint. All individuals have innate standardsand values governing their behaviour. Most people learn toaccept authority in its various forms from their earliestyears. As they develop they learn to discipline themselves,rather than be disciplined.

5.10 The pattern of military training is very similar. As trainingprogresses, and the soldier moves from the artificialatmosphere of the recruit training establishment to a unit,there will be a shift in emphasis from imposed discipline toself-discipline. This provides the real test of the soundnessof basic training and the leader's capacity to maintain andextend the principles taught. The ability of the soldier toaccept the standards that have been set and apply thempersonally is a measure of self-discipline.

5.11 Unlike the other Services, soldiers operate in small,semi-independent teams. Leaders down to very junior levelsare expected to operate on their own initiative within broaddirectives. While the Army imposes discipline at every ranklevel, it requires self-discipline to meet demands peculiar tooperational situations.

5.12 When a soldier displays resistance to self-discipline throughrepeated offences, the leader must explore the possiblecauses of this behaviour and endeavour to remove them. Theleader should also concentrate on preventative, rather thanremedial, measures. If resistance continues, the impositionof more enforced methods of control should be considered.

5.13 Collective Discipline. The purpose of training is toprepare soldiers to operate as members of a team. Collectivediscipline within a unit or team ensures stability understress and consistency in performance at the unit level. Suchdiscipline is the result of positive leadership.

5.14 Collective discipline is a natural progression that beginswith the imposition of discipline, the development ofself-discipline, and finally, the voluntary acceptance byindividuals of team objectives. Collective discipline requiressoldiers to be prepared to sacrifice their self-interests infavour of the team interests and provides the mutual trustand confidence essential on the battlefield.

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Guide to Effective Discipline

5.15 The following factors provide guidance on the maintenanceof discipline:

a. Understanding. Leaders must understand their

disciplinary responsibilities. The respect of subordinates

is earned largely through the leader's judgement,

fairness and example.

b. Standards. A leader must always insist on high

standards of performance. Soldiers who do not perform

effectively have little incentive to improve. In fact, their

performance is likely to deteriorate over time.

c. Maintenance of Communication. Leaders must

communicate effectively with the members of their team.

Performance expectations must be clearly enunciated.

Soldiers must be encouraged to suggest improvements

not only to their own performance, but also to the

efficient operation of their team and their unit.

d. Enforcement. Discipline must be enforced fairly. Leaders

cannot afford to close their eyes to any lack of discipline,

and orders must apply equally to all. When a disciplinary

offence occurs, the leader must quickly establish the

facts before making a decision.

e. Personal Example. Discipline begins with the leader.

When leaders are placed in a position of responsibility,

they become role models. The standards set by personal

leadership example will be the standards that

subordinates will seek to emulate.

The Evidence of Discipline

5.16 The obvious indicators of discipline include:

a. dress and bearing,

b. alert response,

c. standard of saluting,

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d. cleanliness, and

e. conduct on and off duty.

Section 5-3. Morale

5.17 An army's will to fight, the human dimension of fightingpower, is reflected in the willingness to endure hardship,danger and mortal peril. This moral component of fightingpower is, in no small measure, sustained by morale.

Morale Defined

5.18 Morale is a state of mind, a mental attitude of confidenceand well-being in individuals. While morale can beindividual, it can also be collective, such as when peopleidentify themselves with a group and accept group goals,norms and values.

Influencing Factors

5.19 The quality of morale has often been the deciding factor inbattle. Morale is influenced by external factors that aresituation-dependent and largely relate to individual andgroup needs. Understanding these factors enables thebuilding of individual and team morale. The most importantof these are:

a. Leadership. It is essential that soldiers have confidence

in leadership. Leadership is the single most important

factor in the attainment and maintenance of high

morale.

b. Unity of Purpose. Individuals must feel that they are

members of a team working towards team goals. Leaders

at all levels must instil this unity of purpose in their

subordinates.

c. Discipline. Good discipline, high morale, and esprit de

corps are inseparable.

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d. Self-respect. Individual self-respect is necessary before

high morale can be generated. Leaders can encourage

individual self-respect by ensuring that members have a

sense of belonging to the team and that tasks assigned to

them are commensurate with their training and ability.

e. Mateship. Mateship involves a sense of belonging and

sharing which is largely intangible but historically well

documented. Effective leadership, loyalty and good

humour all contribute to the building of mateship.

f. Mutual Confidence. Mutual confidence is crucial to any

team. Within the Army, where the actions of comrades

can mean life or death, mutual confidence is vital. It must

exist at all levels and between all ranks.

g. Dependants' Well-being. Personal and domestic issues,

particularly when soldiers are separated from family for

long periods, can have a disproportionate effect on

morale. The effective leader must identify issues early,

know what support is available, and act promptly and

with sincerity.

h. Spiritual Beliefs. Leaders have an obligation to ensure

that their subordinates' spiritual needs are met. They

must ensure that individuals can practise their

particular beliefs without prejudice or derision.

i. Comfort and Welfare. Soldiers will work long hours in

bad conditions without their morale being adversely

affected, provided they know why the hardship is

necessary and they are confident that their leaders have

a sincere interest in their personal welfare.

The Evidence of Morale

5.20 Morale is essentially an abstract quality. It is peculiar inthat the lack of morale is often more evident than itspresence. Morale can and must be deliberately cultivatedand fostered. The state of morale at any time depends upon,and is measured by soldiers' attitudes to:

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a. the Army,

b. themselves,

c. their comrades, and

d. their leaders.

Section 5-4. Esprit de Corps

5.21 Esprit de corps is best described as a sense of pride inbelonging to a unit. It is built on the foundations of moraleand discipline, and can quite often prove to be a decidingfactor in battle. The siege of Tobruk is an excellent exampleof how esprit de corps assisted in holding the ‘Rats of Tobruk'together in the face of seemingly overwhelming odds. TheAustralian 9th Division was completely surrounded andoutnumbered by Rommel's force, yet it was successful inpreventing the Axis advance on Alexandria. Esprit de corpsplayed a vital role in this success.

5.22 Esprit de corps is created within a unit through therecognition of individual and group accomplishment.Leaders can cultivate the feeling of accomplishment andidentity in a number of ways:

a. by ensuring that unit integrity is maintained wherever

possible through soldiers' receiving orders and carrying

out tasks within the unit;

b. by having clearly understood goals and reinforcing each

individual's contribution to mission achievement;

c. by encouraging individuals to identify with the unit

through symbols such asunit insignia and mottoes; and

d. by fostering unit traditions, recounting unique

experiences common to the group, and through

competition.

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5.23 The responsibilities of bearing arms and using deadly force,as well as the dangers of the battlefield, demand respect forauthority and the highest standards of discipline. The Armydemands self-discipline, developed through competence,self-confidence, mutual trust and respect. It expects thatauthority will be executed through leadership, that is, acombination of example, integrity, ability and moralcourage. In the final analysis, a lack of discipline can resultin confusion, chaos and possible loss of life on the battlefield.

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CHAPTER 6

Communication Skills


6.1 Communication is essential in influencing behaviour. In itsbroadest sense, communication includes the written andspoken word, and any other activity, intentional orunintentional that is used to affect the behaviour of others.Communication serves four major functions within a teamor organisation. It informs, motivates, controls andexpresses emotion.

6.2 Studies indicate that leaders spend more time incommunicating than in performing any other activity.Successful leadership therefore, requires an ability tocommunicate information, intention and emotion in a waythat can be easily understood and accepted by others.Communication typically functions on two levels,comprising content (what is said) and relationship (how it issaid).

6.3 This chapter outlines the communication process andprovides some guidance on developing effective listeningand speaking skills. The impact of gender, politics andculture is also briefly discussed.

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Section 6-2. The Communication Process

6.4 Communication is a process that includes a sender (orsource) and a receiver. The Shannon-Weaver modeldeveloped in 1947 as a model in electronic communicationhas been adapted very successfully by behaviouralscientists to also explain inter-personal communication1.Shannon and Weaver describe five components incommunication: a source, a transmitter, a signal, a receiverand a destination. The adapted model in Figure 6–1illustrates the communication process as a cycle derivedfrom Shannon and Weaver's concept.

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NOISE

FeedbackSender(source)

Encoding

ChannelReceiver

Decoding

Figure 6–1: Model of the Communication Process

1. Claude Shannon and Warren Weaver, The Mathematical Theory ofCommunication, University of Illinois Press, Urbana, 1949, p.5.

6.5 The model is made up of the following seven parts:

a. Sender. The sending process commences in the mind ofthe sender who forms a thought, selects the means ofcommunication and transmits the message. The mind isthe store of the sender's knowledge, attitudes, pastexperiences and social cultural system. Thus even informulation, an idea is influenced and can be inaccurate.

b. Encoding. The encoding process refers to the forming ofmessages to be sent and is influenced by the knowledge,beliefs, biases and feelings of the sender. In formulatinga message, whenever possible, the receiver's backgroundand experience should be taken into account.

c. Channel. The channel is the medium for the message;this may include the written word, speaking face-to-face,television, radio, telephone, facsimile or some othermeans.

d. Receiver. The receiver, to whom the message is directed,will detect the message mainly through the senses ofhearing and vision.

e. Decoding. On receipt, the receiver decodes the messagethrough assimilation and interpretation. During thisprocess, the receiver's knowledge, beliefs, biases andfeelings affect how well the message is understood andaccepted. As communication is a two-way process, thereceiver must also work to ensure the accuracy of themessage received.

f. Feedback. The final link in the process is feedback,whereby the originator receives an indication of theeffect of the message on the recipient. Feedback loopsdetermine whether the message sent was accuratelyreceived and interpreted. The most effective feedback isobtained from face-to-face contact where participantscan observe facial gestures and expressions.

g. Noise. Noise is any interference with the intendedmessage. Noise can occur where the source and receiverdo not share a common frame of reference and barriersand filters distort the content and/or meaning of themessage.

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Written Communication

6.6 The purpose of writing is to convey to another person what isin the writer's mind. Effective writing avoids confusion,mistakes and misunderstanding. In addition, well-crafteddocuments provide a credible impression of the individualand organisation. Good writing is based on a number ofprinciples of which accuracy, brevity and clarity arefundamental.

6.7 To write well is to write responsibly. This is an importantaspect of an individual's duty towards colleagues and theorganisation as a whole. The written word, whether hardcopy or electronic, creates a record that is generally morepermanent and easily transmitted in its original form thanis the spoken word.

Basic Components of Face-to-face Communication

6.8 There are a number of components of face-to-facecommunication:

a. Verbal Communication. In this sense, verbal

communication refers to the words and phrases selected

to express thoughts to be spoken. To be truly effective,

verbal communication must be clear, concise and

sincere.

b. P a r a l a n g u a g e . P a r a l a n g u a g e r e f e r s t o t h e

characteristics of the voice, such as rate of speech

(speed), diction, tone, rhythm and volume.

c. N o n - v e r b a l C o m m u n i c a t i o n . N o n - v e r b a l

communication is anything that can be ‘seen' by the

receiver, such as gestures, facial expression, eye contact,

touch, body language and positioning, time, space and

image. How the message is supported through gestures

and expression and other non-verbal behaviour will

affect people's reactions. Research suggests that

between 55 and 90 per cent of the meaning of

communication is gained from non-verbal cues.

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d. Listening. Communication is a two-way process, half of

which involves listening. Because the brain can listen

(400 to 600 words per minute) faster than people can

speak (on average 125 words per minute), this ‘listening

gap' may allow the mind to wander, influencing the

ability of the receiver to accurately hear the message

being sent.

Non-verbal Communication

6.9 Non-verbal communication is a silent language that can beseen in various ways. It includes visual, tactile (touch), anduse of time, space and image as described below:

a. Visual. Visual communication includes facial

expression, eye movement, posture and gestures. The

face is the primary source for interpreting body language

as people usually ‘read' others' faces to assist in

interpreting what is being said. Cues can also be easily

misinterpreted, particularly when dealing with people

from different cultures. Nodding the head up and down

indicates the Australian gesture of agreement, but in

other countries agreement is a side-to-side head

movement.

b. Tactile. Tactile communication involves the use of touch

to impart meaning as in a handshake, a pat on the back,

an arm around the shoulder, a kiss or a hug.

As a general rule, Australians, North Americans and Britonstypify the non-contact group with small amounts of touching andrelatively large spaces between them during communication. Onthe other hand, people from Arab, Latin and Asian cultures tendto stand closer together and reinforce and support their verbalcommunication through physical contact.

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c. Use of Time, Space and Image. Time, space and image

can also beused asa formofnon-verbal communication:

(1) Time. Use of time can communicate the way status

and power is viewed in relation to others. Consider

how a subordinate and superior might view arriving

late for an agreed meeting.

(2) Space. Personal space is an individual attribute

that varies between national cultures. Close

proximity can lead to feelings of discomfort in many

Western cultures.

(3) Image. Physical appearance can also communicate

an image of oneself that the individual may wish to

project in a particular situation. The choice of

clothing often expresses an individual's values and

expectations.

Barriers to Effective Communication

6.10 The major barriers to effective communication include:

a. Filtering. A sender may either intentionally or

unintentionally manipulate information by withholding

or screening. This is referred to as filtering.

Unintentional filtering may occur through a desire to

convey only the key facts. Intentional filtering typically

occurs when an individual seeks to enhance personal

power by withholding information, applying the adage

‘knowledge is power'. A major determinant of filtering is

the number of levels in an organisation's structure. The

more vertical levels in the organisation, the more

opportunities for filtering.

b. Selective Perception. Selective perception concerns those

receivers who might selectively ‘see and hear' based on

their needs, motivation, experience and other personal

characteristics. Receivers also project their interests and

expectations into a message when they decode it.

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c. Emotions. A receiver's emotive state at the time of

communication will influence interpretation of the

message. Extreme emotions are most likely to obstruct

effective communication. In such instances people are

prone to disregard their rational and objective thinking

processes and substitute emotional judgements.

d. Language. Age, education and cultural background are

three of the main factors that influence the use of

language and the meaning ascribed to words. Jargon can

hinder as well as assist general communication. The

assumption that words and terms used by the sender

carry the same meaning to the receiver can be fallacious

and lead to a breakdown in communication.

Section 6-3. Listening

Types of Listeners

6.11 There are four types of listeners: the non-listener, themarginal listener, the evaluative listener and the activelistener. The non-listener and the marginal listener hearthe words spoken, but are preoccupied, uninterested, orbusy preparing their next statement. These listeners are notconcerned with the message or context in which it is beingpresented. The evaluative listener makes a sincere attemptto listen but no effort to understand the intent of the words.This listener hears the words but not the feelings andmeaning of what is said.

6.12 The active listener hears and understands the message. Theactive listener's full attention is on the content of themessage and the intention of the speaker. It is a skill thatcan be learned through practice and regular use of thefollowing five guidelines:

a. listen for the content of the message, try to hear exactly

what is being said;

b. listen for the feelings of the speaker, try to detect the

emotion in what is being said;

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c. respond to the feelings of the speaker, demonstrate to the

speaker that the feelings being expressed are recognised

and understood;

d. note the speaker's cues, both verbal and non-verbal,

attempt to identify mixed and even contradictory

messages the speaker may be expressing; and

e. restate what was understood by the speaker's message.

The speaker should be given the opportunity to respond

in order to further clarify the message sent.

Listening and Hearing

6.13 Hearing is the term used to describe the physiologicalprocesses by which sound is received by the ears andtransmitted to the brain. Listening refers to a more complexpsychological procedure involving interpreting andunderstanding that sound. Listening requires ‘attending'skills, ‘following' skills and ‘reflecting' skills.

6.14 Attending Skills. Attending involves allowing the speakerundivided attention. This might involve reducing physicalbarriers between the listener and speaker. Effective eyecontact also expresses interest and a desire to listen. Whileit is natural for the eyes to wander, it is important to keepglancing back at the speaker's eyes.

6.15 Following Skills. The average listener interrupts anddiverts the speaker by asking questions or makingstatements. The following skills can provide encouragementthat the speaker's message is being heard. These skillsinclude:

a. Minimal Encouraging. Minimal encouraging is a

technique in which listeners provide a brief indication to

the speaker that they are listening by using words such

as ‘please continue', ‘I'm listening', or ‘I understand'.

Another effective encouraging technique involves

repetition of some of the speaker's key words.

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b. Infrequent Open Questions. Listeners must be careful to

ask only one question at a time, then let the speaker fully

explore the issue. They must avoid relying totally on

questions, however, as they may tend to direct the flow of

conversation.

c. Attentive Silence. Silence in communication enables

speakers to think, feel and express themselves without

interruption. During periods of silence, listeners should

observe and interpret the speaker's body language and

consider the message being communicated.

6.16 Reflecting Skills. Reflecting skills are a form of feedbackto the speaker that includes:

a. Paraphrasing. Paraphrasing is a concise response that

restates the content in the listener's own words.

Paraphrasing can be used to check meaning or to show

attention.

b. Reflecting Feelings. Reflecting feelings involves

mirroring the speaker's meaning in short statements.

Listeners often miss or avoid the emotional levels of a

conversation, or they only ask content-related questions.

When reflecting, listeners should not assume feelings

that the speaker has not indicated either through words

or actions.

c. Summary Reflection. Summary reflection is a brief

restatement of the main themes and feelings the speaker

has expressed over a longer period of conversation. This

can be useful for problem solving or to give a sign that a

conclusion has been reached.

Poor Listening Habits and their Remedies

6.17 Poor listening habits distort the communication process.Table 6–1 lists some poor listening habits and somesuggested remedies.

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Table 6–1: Poor Listening Habits and their Remedies

Habit Remedy

Questioning the speaker's credentials. Concentrate on what is being said andnot on the speaker.

Criticising the speaker's delivery. Concentrate on the message and notthe delivery.

Opposition to the subject. Concentrate on understanding thewhole argument before making ajudgement.

Concentrating on minor detail andmissing the main point.

Relate detail to the speaker's mainpoint.

Detailed note taking. Concentrate on grasping the mainpoints and how the speaker organisessupporting facts.

Mind wandering. Concentrate on the central idea ofsupporting facts.

Unquestioning acceptance of unclear orunsupported facts.

Participate and become involved in thefeedback process.

Section 6-4. Speaking

6.18 A leader's professional image consists of visual and vocalelements. The visual image includes the standard of dress andbearing, posture and movement. The vocal image includespitch, loudness, projection tone, inflection, rate of speech, andrhythm of speech.

6.19 People are usually unaware of the quality of their speakingvoice. The reason for this is that people do not hearthemselves as others do. The voice is a most powerful andpersuasive professional tool. It has nearly five times moreimpact than the content of the words spoken. The importanceof the speaking voice becomes greater with seniority.

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Vocal Balance

6.20 The characteristics of a balanced voice, as illustrated inFigure 6–2, are quality of tone, expression and voiceprojection. A balanced voice can compel an audience tolisten.

6.21 The professional characteristics such as confidence andpower are balanced by the human characteristics of trustand sincerity. Balancing the voice also involves careful useof high and low pitches. Every individual has the potentialto develop, maintain and project an excellent speakingvoice. This does not require a change in one's voice, onlyunderstanding of the characteristics of the voice and how touse it to best effect.

Section 6-5. Communicating Effectively

6.22 Effective communication is reliant on clear, simple andconcise language, both oral and written, which is devoid ofcliches and jargon. The effective leader is one who canconvey meaning clearly, yet be both inspirational andmotivational, depending on circumstances and audience.

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PowerAuthorityFirmness

Confidence

TrustWarmthSincerity

Believability

ProfessionalCharacteristics

HumanCharacteristics

Figure 6–2: The Characteristics of a Balanced Voice

6.23 The effectiveness of verbal communication is determined bygood preparation and delivery. Delivery involvesconsidering such factors as appearance, posture, gesture,eye contact, use of voice, enthusiasm and the use of notes.The presenter must be clear, concise and sincere. Otherissues that affect communication are political and culturalconsiderations.

Politically Correct Communication

6.24 Most people are aware of how vocabulary has been modifiedto reflect political correctness. The reality is that peoplemust be sensitive to others as certain words can stereotype,intimidate or insult individuals. In an increasingly diversework environment, there is a need to be aware of how wordsmight offend. Political correctness can however, restrictcommunication.

Cross-cultural Communication

6.25 People from different cultures view the world in differentways. In Figure 6–3 the relative placement of national typesindicates the cultural differences and possible difficulties ininter-cultural communications. In ‘high-context' cultures,inter-personal communication is characterised by theestablishment of high trust before engaging in work-relateddiscussion. High value is placed on personal relationshipand goodwill. High context communication requires time.

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HIGH CONTEXT LOW CONTEXT

Chinese

Korean

JapaneseArabic Greek Italian

English

N American

German

Figure 6–3: Differences in Cultural Context2

2. Adapted from Hellrigel et al, Organisational Behaviour, South Western CollegePress, 1998.

2. Adapted from Hellrigel et al, Organisational Behaviour, South Western CollegePress, 1998.

6.26 ‘Low-context' cultures are characterised by willingness todirectly and immediately address the task or issue. Highvalue is placed on personal expertise and performance, andclear, precise and speedy interactions are emphasised.

Ethnocentrism is the greatest barrier to inter-culturalcommunication. It occurs in those people who believe that onlytheir culture makes sense, espouses the right values andrepresents the right and logical way to behave. Commonethnocentric reactions to differing views are anger, shock andamusement.


6.27 Effective communication is reliant on clear, simple andconcise language because the human factor in thecommunication process can generate distortions that cannever be fully eliminated. Communication plays a vital rolein influencing and motivating, and leaders and potentialleaders should strive to improve communicationcompetency. Good writing is based on a number of principlesof which accuracy, brevity and clarity are fundamental. Inverbal communication, preparation and delivery areimportant aspects in conveying information. As the Armybecomes more engaged with regional nations and cultures,soldiers and leaders need to be aware of the cultural andpolitical impacts of communication.

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CHAPTER 7

The Army Leadership Model


7.1 The ALM provides a framework for leadership behaviourwithin the Australian Army. The model is not intended tobe restrictive, but rather to provide prospective leaders witha framework that can be applied to relevant situations. Itprovides practical guidance on:

a. the exercise of leadership; that is, the complex process

that includes, but goes beyond, compliance to directives

and organisational control systems; and

b. the process of becoming a more effective leader, generally

achieved through a combination of self-reflection and the

drive to achieve team or organisational goals.

Leadership Concepts

7.2 The ALM is a product of research based on a number ofleadership approaches. The emphasis of the Army’sapproach to leadership is on desired leader behaviour with akey assumption that individuals must first developthemselves before they can lead others. That is, Armyleadership is foremost character and competence based.While individuals may spend much time developingprofessional mastery, the quality and character of theindividual best defines leaders.

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7.3 Leadership behaviour within the construct of the ALM isprimarily concerned with defining purpose, then moves tothe maintenance of effective relationships (by a valuesbased and adaptive leadership style) within the culture andenvironment of the organisation. Two emerging conceptsare important within the ALM. The first of these is the needto ‘create’ a leadership culture, and the second, the need to‘foster’ a learning organisation.

7.4 Leadership at all levels should be the practice and not theexception. Emphasis on a leadership culture enhances theactual practice of leadership itself. This is also true for thelearning organisation where an attitude or philosophy aboutwhat an organisation can become will influence strategicdirection and work performance. As the Army’s approach isnecessarily team based, the notion of a cohesive team builton collaboration is a familiar one.

7.5 Within a learning organisation, all members are engaged inidentifying and solving problems, enabling the organisationto continuously experiment, improve and increase itscapacity to achieve its purpose. The purpose of anorganisation and learning are both linked to the concept of‘systems’ and systems thinking. Without a defined purposeleaders cannot determine whether the system is functioningefficiently, poorly or not at all. Without a clear purpose it isalmost impossible to improve or redesign any given system.

Section 7-2. The Army Leadership Model

7.6 The elements of the ALM are illustrated in Figure 7–1. Themodel is based on a systems approach in which thecomponents of a system are seen and understood as parts ofa complex set of interrelationships. The model incorporatesand extends the functional approach to leadership(encompassing task, group maintenance and individualneeds). It also embraces key elements of leadershipresearch: understanding the role of ‘purpose’, ‘style’ and‘context’ in the practice of leadership. Embeddedcompetencies such as creative, intuitive and dynamicthinking, judgement and decision-making among others,

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are intended to develop Army leaders who are capable ofmeeting the emerging challenges of a complex and dynamicenvironment.

7.7 The ALM is applied from the centre outwards by focussingon vision, functional needs, leadership style, culture, andfinally, environment. The Army’s ethos and core values arefoundational elements in the ALM and each of the elementscan be applied, with some adaptation, across the individual,team and organisational levels of leadership.

Vision

7.8 The primary responsibility of a leader is to define the team’spurpose and identity. Many organisations adopt a centralvision statement which is simply a defined axiom to focuseffort and to motivate individuals to achieve the goals of theteam. Providing direction is central to the task of leadership.It equips leaders and their team with the essentialknowledge of their current position, future direction, the

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VISION

TASKTE

AM

MA

INTE

NANCE

IND

IVID

UA

L

LEADERSHIP STYLE

CULTURE

ENVIRONMENT

Figure 7–1: The Army Leadership Model

means to achieve this, and the proposed organisationalend-state. Organisational vision acts as glue that holdsteams together and maintains momentum despiteadversity. Its placement in the model emphasises thecentral nature of vision. Vision is discussed in Chapter 8.

7.9 While the concepts of purpose, vision and mission aredistinctly different, in practice organisations have usedthese terms interchangeably without detriment. What isvital to a team or organisation is the ability to state itspurpose and goals succinctly. Ideally, a vision shouldchallenge, create, focus and commit. The leader has a keyrole in articulating the vision and defining it clearly for allunit and team members.

Functional Needs

7.10 The functional approach to leadership is based on JohnAdair’s theory of group needs encompassing task, groupmaintenance and individual needs. Within the Armycontext however, the group is more often referred to as theteam. This adaptation is reflected in Figure 7–2. Althoughquite distinct in themselves, the three areas overlap andaction taken to satisfy one need will affect one or both of theother areas. The theory of group needs determines that aleader must be able to identify the needs that exist within agroup and effectively provide for these needs.The functionalapproach to leadership is discussed in Chapter 9.

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Leadership Style

7.11 An individual’s personal leadership style is a combination ofpersonality, character and behaviour. A leader’s ability toemploy a range of appropriate behaviours is vital. Aneffective style involves a blend of appropriate behaviours, askill that matures over time. To adapt an approach to asituation assumes a leader has, amongst other attributes,self-knowledge and sound inter-personal skills, and is ableto move beyond a solely reward and punishment focus intask achievement.

7.12 The ALM outlines the following selected components ofleadership style as portrayed in Figure 7–3:

a. Participative Behaviour. Participative behaviour

suggests a scale from ‘high’ follower participation

(collaborative) to ‘low’ follower participation (directive)

in problem solving and decision-making. The types of

leader behaviour are not ingrained, rather they are

approaches that are situationally dependent.

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Task Needs

IndividualNeeds

TeamMaintenance

Needs

TASK, INDIVIDUAL& TEAM NEEDS

Figure 7–2: Functional Needs1

1. Adapted fromJohnAdair, Training forLeadership,MacDonald,London,1968.1. Adapted fromJohnAdair, Training forLeadership,MacDonald,London,1968.

b. Motivating Behaviour. Motivating behaviour is concerned

with persuading people to act willingly, through leader

influence and motivation, to achieve organisational

objectives, and transcend their normal levels of

performance. It includes two distinct and supportive

processes, ‘transforming’ and ‘incentive-based’

(transactional) leadership. Transforming leadership, also

referred to as transformational leadership, influences and

transforms the leader-follower relationship by making

followers aware of the importance of task outcomes and

enabling them to sacrifice their own self-interest for the

sake of the team. Incentive-based leadership uses

transactional consequences (reward and punishment) to

motivate or influence behaviour towards the completion of

a task.

7.13 Over time and in response to specific situations, leaders willblend the two behaviours into a personal leadership style thatmotivates followers towards the shared vision or particulartask. A balance in style is required, with more effectiveleaders being consistent in terms of personality and character,yet flexible in terms of team participation and motivationalinfluence. Leadership style is discussed further in Chapter 10.

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Collaborative

Directive

Transforming

IncentiveBased

TASKParticipativeBehaviour

MotivatingBehaviour

Figure 7–3: Components of Leadership Style

Culture

7.14 Culture is an essential leadership consideration, as it isfrom within the Army culture that leaders must operate.Culture comprises those symbols, expressed values andunderlying assumptions that form the basis of sharedunderstanding within a group as illustrated in Figure 7–4.Myths and legends, ethos, ethics, loyalty as well as theArmy’s expressed values of courage, initiative andteamwork are typical of the wider Army culture. A numberof discrete sub-cultures also exist and some of these may bein conflict with one another.

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SYMBOLS(visible)

EXPRESSED VALUES(less visible)

UNDERLYING ASSUMPTIONS(often invisible)

Figure 7–4: Elements of Culture

7.15 Leaders create team culture when the team is initiallyformed. Once a culture exists it determines the leadershipvalues of the organisation and thus determines who will orwill not assume leadership. Leadership practice takes placewithin this culture and if leaders do not remain conscious ofthe culture within which they are embedded that culturewill prove overwhelming. While cultural understanding isdesirable for all, it is essential for those who lead. Culture isdiscussed in Chapter 11.

Environment

7.16 The Army environment is dynamic. Defence in general, andthe Army in particular, has to adjust to national, economicand societal pressures. To adapt to these changes the leaderneeds to maintain a broad perspective. The leader needs tomonitor and respond to factors in the environment that willimpact on the team in the operational sense. It is imperativethat leaders within a team or organisation are aware of theenvironment that influences and even constrains theiractions. Environment, as illustrated in Figure 7–5, includesa broad range of factors such as:

a. Internal Factors. Internal factors include the climate

within the team (for example, mood and morale), as well

as the impact of organisational structure and processes.

b. External Factors. External factors include political,

economic and social considerations, the impact of

technology and even regional and international issues.

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7.17 Once the vision is clearly defined, leaders must ensure thatthe team’s internal environment is aligned with that vision.The leader must also align the team with the externalenvironment. Aligning a team in a dynamic world is aconstant challenge. Leaders must adopt a broad perspectivewhen examining any given situation rather than relying onisolated snapshots of the problem. Chapter 11 describesenvironment in further detail.

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Technological Political

Legal

Social & Community

Economic

Resources Climate

StructureMorale

Figure 7–5: Components of Environment


7.18 The ALM provides a framework for leadership behaviour.Effective leadership depends on a complex pattern ofinteractions among the leader, subordinates and thesituation. Determining purpose and direction and buildingcommitment to a vision requires a leader to create thisvision and then empower and motivate followers. Implicit inthe ALM is a values-based approach to leadership and thenecessity for leaders to adopt a flexible approach to meet thechallenges of the environment.

7.19 A complex environment places an increasing level ofresponsibility on both junior and senior leaders. It alsorequires far greater strategic understanding, greaterautonomy and higher levels of accountability. With thiscomplexity has come an increasing ability to explain andpredict behaviour. Consequently an adaptive leadershipstyle, suiting the approach (task or people oriented) to theconditions, is likely to lead to better results.

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CHAPTER 8

Vision


8.1 Vision sets team direction. Mission, however, the first partof planning, is related to a specific operation or action.Clearly stated, a vision enables individuals to respond tochange in a dynamic rather than incremental way.

Section 8-2. Defining Purpose and Direction

8.2 Strong leadership, coupled with clear direction and a senseof purpose, comprises a formidable combination. Thisapplies equally to both the organisational level andindividual level. Vision and values define team purpose anddirection. Vision and strong values that influence thedecisions made, allow leaders to operate on a foundation ofstability and strength when navigating through uncertaintyand change.

Why a Vision

8.3 A vision provides that sense of the future and sets anorganisation apart from others, providing members with asense of pride and purpose. Vision instils esprit de corps andcreates a level of motivation that allows the organisation toachieve. The leader has to imagine the future and motivatethe team in the desired direction. Vision implies auniqueness of insight and overview. In this sense, anyelement of compromise by the leader will lose the cuttingedge of true vision.

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8.4 Vision and Level in the Organisation. Vision is placedat the centre of the ALM because it denotes the motivatingpurpose that is at the heart of the team and a key ingredientin times of change and crisis. At the organisational level, thevision and mission are usually articulated to allow for widedissemination. At the team and individual level, it isimportant that team leaders clearly communicate theirvision and ensure team members are involved in decidinghow the vision will be implemented.

Defining Vision

8.5 A vision is a realistic, credible, attractive andfuture-oriented statement. There is much debate over theuse of terms such as purpose, mission and vision. Visionsets team direction. It describes an organisationalend-state. The Australian Army’s vision, in part, is of ‘aworld-class Army, ready to fight and win as part of the ADFteam’. A mission, on the other hand describes why anorganisation exists. The Australian Army exists ‘to win theland battle.’

8.6 A vision should be easily translated into goal-directedactivities. As the vision statement is a desired futureend-state beyond current capability, a vision provides theteam a basis for positive action, growth and change. A visionmust always be accompanied by a strategic plan that defineshow the vision will be implemented.

Qualities of a Vision

8.7 An effective vision should be short and simple. It mustdescribe the future in terms that are readily understood. Aneffective vision should:

a. Clarify the Direction and Focus for Every Decision. In

defining a credible future, a vision provides the rationale

for both the mission and goals for the team to pursue.

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b. Be Future and Action Oriented. Agood vision is a mental

model of a future state. It demonstrates how to identify

goals and how to plan to achieve these.

c. Inspire and Motivate. Vision is founded on attitude. An

inspiring vision increases commitment and sets

standards of excellence.

d. Be Easily Understood. A vision must be clearly

understood in order to motivate and inspire.

e. Invoke a Lasting Mental Picture. A vision should be

enduring.

f. ‘Fit’ the Organisation and Be Unique. A vision must fit

the organisation for which it was created. It must reflect

the uniqueness of the organisation.

g. Be Ambitious. Avision must challenge. Challenging and

inspiring visions do not maintain the status quo, rather

they are aimed at achieving higher standards of

performance.

Developing a Vision Statement

8.8 A vision must be communicated and understood by all teammembers. A vision statement should reflect the desiredfuture state and the values of the team.

Shared Vision

8.9 For a vision to be effective it must be shared. A sharedvision is something that requires commitment from all teammembers. A shared vision inspires loyalty and providescohesion, maintaining momentum in the face of adversity.A shared process will ensure the vision is embraced and thatbehaviour is consistent with achieving the team’s goals.

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Translating the Vision into Action

8.10 Translating the vision into action is a progressive downwardfocus from broad concepts to specific action. As illustratedin Figure 8–1, strategy outlines how the vision will beachieved within the context of the team values. Thedevelopment of a supporting strategic plan is a necessarystep to ensure the success of a vision. It bridges the gapbetween where the organisation is today and where it wantsto be in the future.

Section 8-3. Team Values

8.11 Team values are an essential part of the team vision, butshould not be confused with the espoused core and othertraditional values that are inherent in the Army’s ethos andculture. Team values should be considered within the visionstatement as an entity in their own right.

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Vision

Values

Mission

Strategy

Desired Future State

What we value

Our primary role

Choices we make

Figure 8–1: Translating the Vision into Action

Types of Values

8.12 Values can range from universal mores that apply in allsituations to more specific values that reflect theoperational function of the team. Briefly:

a. Universal values offer great flexibility, as they remain

relevant regardless of circumstance. Examples include

respect for the individual, honour, and integrity. These

types of values however, can be difficult to translate into

action.

b. Operational values directly influence behaviour. The

Army needs operational values that soldiers can live by.

Examples of such values include courage, initiative and

teamwork, which are in fact the Army’s core values.

Developing Values

8.13 Leaders cannot assume all team members will sharecommon values. The challenge for leaders is to develop bothuniversal and operational values that all team members canidentify with and apply.

Promoting Values

8.14 Leadership is the key to maintaining and promoting statedvalues. At the individual level there may be tension betweenintensely held personal values and the team ororganisational values. This may result in some discomfortand the situation will need careful management by teamleaders. The leader may also need to exercise balancebetween competing values and inevitable role conflicts.This requires leaders to manage the need for power andcontrol with emotional maturity to ensure that subordinatesare empowered and not dominated.

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Section 8-4. Role of the Leader

8.15 The team leader’s responsibility is to:

a. Articulate the Vision. This is achieved by:

(1) developing the purpose, mission, and core cultural

values that guide behaviour and attitudes; and

(2) developing the strategies that will bring the vision

to life.

b. Continually Interpret the Vision. Once the vision is

articulated the leader must:

(1) continually explain and interpret the vision; and

(2) ensure that the team is supported. The leader must

act as a role model for the team and manage the

team based on the vision’s guiding principles.

c. Review and Reinforce the Vision. As the vision of the

higher command changes, the leader must realign his

vision with that of the higher command.


8.16 Defining purpose and direction is an interactive processbased on a consideration of both the internal and externalenvironments. It is important for leaders to adopt a broadperspective, to craft a vision and plan strategically. A visionsets a direction or purpose for the team. A vision shouldappear realistic, credible, attractive and be future oriented.The discipline of a shared vision creates a focus forcoordinated purpose. Supported by values and guided bystrategy, the vision bridges the gap between today andtomorrow. It is essential for a vision statement to be shared,understood and widely communicated.

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CHAPTER 9

The Functional Approach to Leadership


9.1 This chapter describes the functional approach toleadership and explains the relationship betweenindividual, group and task needs. This approach toleadership does not introduce a new style or method ofleadership. It is based on a simple theory which describesthe behavioural patterns of small groups of people – thetheory of group needs.

Section 9-2. The Theory of Group Needs

9.2 A successful team is based on the satisfaction of the needs ofits members. These needs will vary according to thesituation, but will largely fall into three interrelated areasor needs. These are:

a. the needs related to the task,

b. the need to form the team and deal with group

interaction, and

c. the basic human needs of individual members of the

group.

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9.3 These three areas are very closely interrelated (see Figure9–1). Each need area is distinct in itself. Any step taken tosatisfy a need in one area will impact on one or both of theother areas. That is, there is a constant tension as a result ofbalancing the three areas of need.

Task Needs

9.4 Task needs are concerned with:

a. achieving the desired outcomes, and

b. the methods and means of achieving the desired team

results.

9.5 A leader must manage the task by planning, organising,directing (through allocating responsibility), checking,reviewing results and revising plans as necessary. Figure9–2 illustrates this. The leader must also ensure that thetask supports achievement of the team or organisationalvision.

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Task Needs

IndividualNeeds

TeamMaintenance

Needs


Figure 9–1: Functional Needs

Team Maintenance Needs

9.6 In order to achieve team goals, the leader must build andmaintain a cohesive and competent team. As illustrated inFigure 9–3, this involves the leaders’ communicating andbuilding trust, informing, organising, training, establishingand maintaining standards, and creating high morale andesprit de corps. The team should develop values such asmutual respect, honesty and integrity. The leader must alsoreflect these values through personal example.

9.7 Additional guidance on team maintenance is included inChapter 4 – Group Behaviour and Chapter 15 – LeadingTeams.

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TASKManage Task:Planning

Organising

Directing

Checking

Reviewing

Revising

Task Needs:Achieving thedesired outcomeof the team

The methods andmeans used inachieving theseoutcomes

Figure 9–2: Managing the Task

Individual Needs

9.8 Team members are all individuals. To form and maintain asuccessful team, leaders must know their soldiers’individual strengths, weaknesses, needs, problems andaspirations, and address their needs with concern andsincerity. Leaders should use their knowledge of theindividual to encourage success by providing achievablechallenges. They must also support team members byproviding opportunities to perform where they are bestsuited and utilise training and other opportunities toovercome identified weaknesses.

9.9 Individuals bring their own values, capabilities andambitions to a team. They also seek acceptance, jobsatisfaction and recognition. Good leadership involvessupporting team members as individuals and motivatingthem to contribute to their full potential. This involvesdealing with personal problems as well as providingencouragement.

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Team MaintenanceNeeds:

TEAMMAINTENANCE

Communicate andbuild trust

Keep the teaminformed

Organise the team

Train the team

Establish and maintainstandards

Create high moraleand esprit de corps

Figure 9–3: Maintaining the Team

9.10 Leaders must understand their own prejudices, strengthsand weaknesses. Leadership may often involve leaders insubordinating their personal needs to those of the team.There is however, a crucial requirement for leaders todevelop self-awareness and understanding before they canreasonably seek to lead others.

9.11 An understanding of individuals, of their needs and whatmotivates them, is essential to the success of any leader.Without adequate provision for the needs of individuals theleader is unlikely to obtain their willing obedience,confidence, respect and loyalty. Figure 9–4 summarises thekey elements in satisfying the needs of individual teammembers.

Section 9-3. Addressing Needs

9.12 The leader must remain aware of the various and changingneeds within the team. Constant tension may occur betweenthe three competing areas of need. Where these needs are inconflict, the leader must establish an order of priority whilemaintaining the flexibility to change focus where necessary.

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Support theIndividual:

INDIVIDUAL

Know

Challenge

Care

Figure 9–4: Supporting the Individual

9.13 At certain times the task needs must predominate. This isespecially so during operational deployments, in moments ofcrisis, or in life and death situations. The leader mustconcentrate his every effort on the task. In such situations,the members of the team will look to the leader to besingle-minded, vigorous and decisive. In suchcircumstances:

a. the leader must give priority to task needs at the expense

of the other two areas of need;

b. the skilled leader must use periods of inactivity to

rebuild the group’s reserves and those of individual team

members in preparation for crisis periods; and

c. similarly, after long periods of high task priority, the

skilled leader must seize any opportunity to attend to his

own needs.

9.14 The leader must ensure that the longer-term interests ofgroup maintenance and individual needs (and hencelong-term task effectiveness) are not sacrificed for aspectacular but short-term advantage in task needs. Theleader must exercise judgement in determining the needs ofthe group and the functions that should be performed tomeet those needs.

Analysing the Working Situation

9.15 In making such judgements, some logical analysis may berequired to identify needs, and the most appropriateresponse. This involves considering the leader, the team andthe situation.

9.16 The Leader. The skills, ability and personality of theleader will have an effect on how leadership is applied. Thiswill involve:

a. an ability to think in theoretical terms (conceptual

skills);

b. an ability to analyse complex facts and deduce key

information (diagnostic skills);

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c. general knowledge and technical skill orexperience; and

d. personality and temperament influencing credibility

(interpersonal skills).

9.17 The effective leader must be prepared to vary his style tosuit any given situation, however, individual personalitywill remain a significant factor in determining any approachto leadership.

9.18 The Team. The leader must quickly develop a soundknowledge and understanding of the team. This includes:

a. the knowledge, skills and abilities of team members;

b. the size and group dynamics of the team; and

c. team morale and esprit de corps.

9.19 The Situation. The task and the general environment inwhich the team must perform will generate specific needs.Some factors that may need to be considered include:

a. the difficulty of the task;

b. the degree of stress, risk or danger of death or injury;

c. the time available; and

d. the general working and living conditions, for example,

food, shelter and recreational facilities.

Leadership Functions

9.20 The leader’s analysis of the situation will reveal the needs,their priority for attention and the necessary leadershipactions. The leader must be capable of identifying what isrequired in each new situation and of reacting accordingly.The following summary grouped by the functions of‘identify’, ‘control’, ‘direct’ and ‘satisfy’ lists possible actionsrequired of a leader to satisfy the needs of a team involved ina simple physical assignment. They are:

a. Identify the Task:

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(1) define precisely what has to be done,

(2) gather all available information and make a

workable plan,

(3) brief the team and convince it that the task is

worthwhile and the plan workable,

(4) set team standards,

(5) provide and receive new information and clarify the

task as required, and

(6) check feasibility of ideas and suggestions and

summarise ideas coherently.

b. Control the Team:

(1) maintain discipline and team standards,

(2) influence the tempo of work,

(3) keep discussion relevant, and

(4) create team spirit.

c. Direct the Skills:

(1) allocate tasks to team members,

(2) ensure that actions conform with the plan or

contribute to the task, and

(3) evaluate performance against the required

standards.

d. Satisfy the Needs:

(1) encourage the team and individuals, and

(2) relieve tension and reconcile disagreements.

9.21 As tasks become more complex and take longer to completethe functions involved in controlling a team, directing itsskills and satisfying other needs will be far greater.

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9.22 The functional approach to leadership concerns reconcilingthe needs of the individual with the needs of the task andthe needs of the group. This requires judgement on the partof the leader, as there is always constant tension betweenthe three need areas. Where needs are in conflict the leadermust establish some order of priority. This can bedetermined by analysing the work situation and involvesconsidering the leader, the team and the situation.

9.23 The skills, ability and personality of the leader will have aneffect on how leadership is applied. This is related to thenext element of the ALM – Leadership Style, discussed inChapter 10.

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CHAPTER 10

Leadership Style


10.1 Leadership style involves the personality and character ofthe leader, both assumed to remain largely constant, butalso behaviour that must necessarily adapt according tocircumstance. Importantly, style is not about how leadersthink they behave, but how their soldiers perceive them.Leaders act and their actions speak for them. All leadersneed to understand how they appear, particularly insituations of stress when there can be a tendency to revert toa preferred but perhaps inappropriate style.

10.2 This chapter discusses leadership style and introduces theconcepts of participative and motivating behaviour as twoapproaches to developing a personal leadership style.

Assumptions

10.3 The discussion of leadership style is based on the followingassumptions:

a. Within the Army, leaders are appointed and thus are

able to enforce behaviour when they are unable to

persuade by force of character. However, effective

leadership is concerned with influencing without the

need to use force and to obtain willing obedience,

confidence, respect and loyalty.

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b. Leadership on the battlefield is different from leadership

in a peacetime environment. While in an environment of

low stress and certainty, participative leadership may be

useful. In war or crisis situations, a more directive

leadership style may be preferred. Importantly,

effectiveness in battle is based on a flexible leadership

style that is largely developed during peace.

c. Effective leadership is a result of observed and perceived

leader behaviour over an extended period of time.

Leader-follower relationships are influenced by factors

such as loyalty, trust, competence and credibility.

Establishing a sound foundation is a cumulative result of

leader behaviour.

Section 10-2. Trust

10.4 Trust is a primary attribute associated with leadership. It isimpossible to lead people without trust. Soldiers will not puttheir lives on the line for something in which they do notbelieve, nor will they for someone they neither trust norrespect. Understanding trust, therefore, is essential indeveloping a personal leadership style.

10.5 Trust is about confidence in the loyalty and ability of aperson. Trust takes time to establish and accumulate.Importantly the absence of trust does not imply distrust. Itis possible to have neutral situations where there is anabsence of trust but no expectations of individuals behavinginappropriately.

Key Dimensions of Trust

10.6 The key dimensions of trust are:

a. Integrity. Integrity refers to honesty and truthfulness;

b. Competence. Competence encompasses an individual’s

technical and inter-personal skills and knowledge;

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c. Consistency. Consistency relates to an individual’s

reliability, predictability and judgement;

d. Loyalty. Loyalty is the willingness to protect and defend

another’s reputation; and

e. Openness. Openness involves truthfulness, candidacy

and honesty.

10.7 In order to build trust, leaders must espouse and practisethe key dimensions of trust.

Section 10-3. Leadership Styles

Leadership Style Defined

10.8 Leadership style is defined as a combination of a leader’spersonality, character and behaviour in influencing anddecision-making. A leader’s style can only be assessed overtime. It will also change and mature with both opportunityand experience.

Types of Leadership Styles

10.9 Earlier theory grouped leadership into three behaviours orstyles: autocratic, democratic and laissez-faire. Autocraticor authoritative leaders made unilateral decisions, dictatedwork and limited team knowledge to that essential forachieving immediate tasks. Feedback was also limited.Democratic leaders, in contrast, used a participative style,involving the team in decision-making and work methods,provided knowledge of the ‘bigger picture’ and used feedbackas a fundamental tool for team development. Laissez-faireor free rein leaders generally gave teams complete freedomand resources, avoided giving feedback and onlyparticipated to answer questions. In a sense, laissez-faireleadership is an abrogation of responsibility, however it canbe usefully employed by specialist technicians, scientistsand research teams. Laissez-faire or free-rein leadership isnot considered an appropriate style for the AustralianArmy.

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Leadership Style for a Complex, Diverse andChanging Environment

10.10 Within a complex, diverse and changing environment, thechoice between adopting an authoritative style of leadershipor choosing a participative style becomes not a case of one orthe other, but a blend of both, and is very much situationallydependent. Situation refers not only to a combat or peacetimesetting. National culture, as described in Chapter 11, is animportant situational factor that determines the mosteffective leadership style. It also determines followerbehaviour.

10.11 As identified in Chapter 1, leaders are concerned with taskachievement and inter-personal relations. Leadership stylereflects the dynamic relationship between these two factorsand is influenced by the leader, his subordinates and theorganisational setting. Task achievement involves makingdecisions and influencing the team. Leadership style fallsinto two areas of basic behaviour. These are:

a. participative behaviour in relation to decision-making.

This can range between collaborative and directive

approaches; and

b. motivating behaviour, ranging between transforming

and incentive-based approaches.

10.12 Participative Behaviour. Participative behaviourcomprises an approach to problem solving anddecision-making that suggests a range from ‘high’ followerparticipation to ‘low’ follower participation. There are fourforms of participative behaviour: collaborative, joint,consultative and directive. The specific situation willdetermine which is most appropriate. These behaviours inoutline are:

a. Collaborative Behaviour. Collaborative behaviour

involves high participation and delegation to followers.

This approach sees the leader either leaving the team

alone to achieve the task or acting as simply another

member of the team, with one or more subordinates

assuming the leadership role.

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b. Joint Behaviour. Joint behaviour involves strong

follower involvement in decision-making often similar to

that utilised in brainstorming exercises, where issues

are identified by the team as a whole, and possible

solutions are discussed and refined.

c. Consultative Behaviour. Consultative behaviour occurs

when team members are consulted and asked to provide

advice with the final decision made by the leader.

d. Directive Behaviour. Directive behaviour occurs when

there is little participation by the team, with the leader

utilising a single dominant approach to all decision-

making.

10.13 Motivating Behaviour. Motivating behaviour isconcerned with persuading people to act willingly throughleader influence and motivation to achieve organisationalobjectives and to exceed their normal levels of performance.The two distinct and supportive methods of influence are:

a. Tr a n s f o r m i n g B e h a v i o u r. Tr a n s f o r m i n g o r

transformational behaviour is similar to charismatic

leadership where leaders appear to their subordinates as

radiating a sense of self-confidence, a strong sense of

purpose and a style that inspires admiration and trust.

It is distinguished by the leader’s ability to bring about

innovation and change.

b. Incentive-based Behaviour. Incentive-based behaviour

is concerned with traditional management functions,

providing appropriate rewards and, where necessary,

punishment. It is also referred to as transactional

behaviour.

10.14 As illustrated in Figure 10–1, the individual leader will‘blend’ the two approaches into a personal style over timeand in response to specific situations. A balance in style isnecessary. More effective leaders will be consistent in termsof personality and character yet flexible in terms ofdecision-making and motivational influence.

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10.15 The following sections discuss participative and motivatingbehaviour in more detail.

Section 10-4. Participative Behaviour

10.16 Participative behaviour involves leaders consultingsubordinates in their decision-making process. Highlyparticipative behaviour includes asking for opinions andsuggestions, encouraging participation in decision-makingand meeting with subordinates in their workplace. At theother end of the scale, leaders may be more authoritarianand direct subordinate work activities towards theachievement of a specific goal or task. Consideration ofsubordinates’ feelings and ideas, and being focussed on thetask are independent of each other. This implies that aleader can consider subordinates’ ideas but choose to bemore directive depending on the situation.

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Collaborative

Directive

Transforming

IncentiveBased

TASKParticipativeBehaviour

MotivatingBehaviour

Figure 10–1: Components of Leadership Style

10.17 The degree of participative behaviour determined by theleader will lie somewhere on a scale, depending on theurgency of the task and the level of competence of the teamas shown in Figure 10–2.

10.18 In terms of participative behaviour a leader may collaborateto a lesser or greater degree. For example:

a. what may initially have been consultation, can become a

joint decision when it becomes evident that the

subordinates agree with the leader’s preferred choice;

b. alternatively, what was initially a group decision may

become only consultation, where the collaborative team

becomes deadlocked and the leader has to make the final

decision. In the long run, a leader must balance the

priority given to the task, the team and the individual;

and

c. similarly, the leader’s style will be a matter of balance.

For example, if the leader is totally directive at all times,

or when there is no justification for this style of

behaviour in the eyes of the followers, it will have an

adverse effect on team cohesion, individual motivation,

and trust.

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DIRECTIVE

COLLABORATIVE

COMPETENCYLow High

URGENCY LowHigh

Figure 10–2: Degree of Participative Leader Behaviour

10.19 The two extremes of participative behaviour (directive andcollaborative) are discussed further in the followingparagraphs.

Directive Behaviour

10.20 Directive behaviour reflects the low end of the participationscale where the leader makes all decisions concerning teamactivities. Leader behaviour includes planning, makingschedules, setting performance goals and behaviourstandards, and stressing adherence to rules andregulations. Mandatory compliance by followers to aleader’s directive is implicit in many military drills andprocedures.

10.21 Directive behaviour is suitable for teaching simple drillsand lessons, making decisions in moments of crisis or wheresafety is a major concern. It is also appropriate where thereis a low level of competence within the team, or the actions ofthe team are part of a larger activity.

10.22 Directive behaviour can be used where the leader:

a. needs to make a decision and time is short, such as in

combat situations or times of stress or danger;

b. is faced by a dangerous situation with safety and risk

management issues;

c. is faced with specific, generally simple tasks to be

achieved in a limited time-frame;

d. is required within training to develop conditioned

responses, for example drill; and

e. must control large numbers of personnel.

10.23 Leaders who adopt a directive style recognise the need forclarity of purpose and action and want immediatecompliance or the quickest response to a given situation.They are focused on task goals, possibly at the cost of teamand individual needs. This approach may risk negativeconsequences such as stifling initiative and encouraging lowcommitment.

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Collaborative Behaviour

10.24 Collaborative behaviour reflects the high end of theparticipation scale where the leader consciously chooses toinvolve the team in problem solving and decision-making.At its highest point the team may operate as a self-directedteam, in which the leader is but one (collaborative) member.Alternatively, the leader may encourage work as a grouptowards a joint decision or even maintain a stronger level ofcontrol over the actual decision-making process, yet,through consultation utilise the combined wisdom of theteam to identify options.

10.25 Collaborative leadership behaviour is suitable when teachingcomplex skills and knowledge, problem solving in a dynamicand uncertain environment where time is not a majorconcern, and when seeking creative solutions. Collaborativebehaviour may be used where the leader:

a. wants to develop trust and team communication

processes;

b. identifies that the team’s understanding of, and

commitment to, a decision is important;

c. is faced with a complex problem and needs to make best

use of the knowledge and skills available in the team;

d. wants to encourage personal development by allowing

followers to determine their involvement in work and to

exercise certain leadership skills within agroup of peers;

e. acknowledges that certain team members are subject

matter or technical experts; or

f. is required to work with peers on tasks requiring joint

problem resolution.

10.26 When leaders adopt a collaborative style they enable teammembers to find answers for themselves by askingquestions and encouraging balanced participation. Thisapproach ensures high performance even in the absence ofthe leader. The use of a collaborative approach requires theleader to have effective group facilitation skills.

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Section 10-5. Motivating Behaviour

10.27 Where participative behaviour is concerned with involvementin decision-making based on task and inter-personalconsiderations, motivating behaviour is concerned with aquality that inspires and motivates subordinates to go beyondtheir normal levels of performance. There are two componentsto motivating behaviour: incentive-based (or transactional)leadership behaviour and transforming (or transformational)leadership behaviour. They are both supportive and notmutually exclusive.

10.28 Incentive-based behaviour requires the leader to clarify therole and task requirements and relates to personal safety,security, welfare and social affiliation needs.

10.29 Transforming behaviour can be exhibited by any member ofthe organisation and motivates individuals to transcendself-interest for the sake of the team. A soldier on thebattlefield may rush an enemy machine gun post knowingfull well that the chances of personal survival are low. Theaction is not performed for the sake of reward or socialrecognition, but rather for the good of the team.

Incentive-based Behaviour

10.30 Incentive-based behaviour is concerned with an exchange ofrewards or punishments to gain compliance or action towardsa desired outcome. The leader may provide simpleencouragement to the follower to undertake work and receivereward, or require commitment to organisational norms andvalues. This exchange is situationally dependent. Militarylife is underwritten by a set of formal and informal rules thatguide and govern behaviour and many of these exchanges ortransactions, associated with satisfactory or unsatisfactoryperformance such as the award of medals andcommendations, promotion and disciplinary action, areobvious. Incentives also involve the subtle interactionsbetween leaders and followers. For example, rewards caninclude formal and informal recognition for a job well doneand inclusion in team activities. Similarly, punishments mayinvolve being overlooked for a project or being ignored by theleader in favour of other team members. Theseincentive-based exchanges are a part of the fabric or culture ofthe Army.

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10.31 The incentive-based approach is characterised by followerself-interest, and thus leadership must reflect the values ofhonesty, fairness, responsibility, commitment and reciprocity.

10.32 The appropriate use of incentive systems is an integralcomponent of an effective leadership style. The mechanismfor administering incentive-based exchanges is both part ofthe operating procedures of the organisation (for examplelegal requirements) and inherent in leader behaviour(recognition, feedback, and asking for advice).

10.33 This approach is characterised by the simple axiom thatbehaviour that results in a positive exchange is likely to berewarded; behaviour that results in a negative exchange isnot rewarded. To make effective use of incentives, theyshould be presented at the time of the displayed behaviourand should focus specifically on the situation or issue.

10.34 Incentive-based behaviour is used:

a. to encourage desirable organisational outcomes;

b. to reinforce high performance behaviours through the

use of public acknowledgement and recognition;

c. to discourage poor performance or behaviour by

administering punishment or reprimands; and

d. to influence through an exchange and not through

legitimate power or authority.

10.35 When leaders apply incentive-based behaviour, they use‘specific to a situation’ punishments and corrective actions,when responding to deviations from established or desiredstandards. They also encourage follower ‘compliance’ butthey may not motivate followers to act beyond the ‘rewardfor effort’ exchange. Incentives only influence followerperformance up to a point. When this point is reached, thefollower decides the value of the reward and the individualimportance of continuing the behaviour. This approach isgenerally only reactive to present issues and not oriented tothe future.

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Transforming Behaviour

10.36 Transforming behaviour occurs when the leader transformsand motivates followers to go beyond their own self-interestfor the sake of the team. Followers of a transforming leaderfeel trust, admiration, loyalty and respect towards theleader and, being aware of the importance of the taskoutcomes, they are motivated to do more than was originallyexpected of them. The extent to which a leader has atransforming effect is measured primarily in terms of theleader’s impact on followers.

10.37 Transforming behaviour appeals to higher ideals andshared leadership values such as liberty, justice, peace,desire to leave a legacy and humanitarianism. In terms ofMaslow’s hierarchy of needs, transforming leaders activatethe higher order needs of followers.

10.38 It is also important that the leader’s behaviour is ethicallybased. The issue of ethics in the implementation oftransforming leadership is a key issue. The leader has animplicit responsibility to ensure that the basis for hisinspirational effect is morally and ethically appropriate.

10.39 Transforming leadership, based on the formulation by Bass1

includes four components:

a. Inspiring and Motivating. Leaders behave in ways that

provide meaning and challenge to their followers’ work.

The leader is optimistic about the future and

enthusiastic about what needs to be accomplished. The

leader has a compelling vision of the future and is

confident that the goals can be achieved.

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1. Bass, B., A New Paradigm of Leadership: An inquiry into TransformationalLeadership, United States Army Research Institute for the Behavioral and SocialSciences, Alexandria, Virginia, 1996.

b. Role Modelling. Leaders behave in ways that cause them

to become role models for their followers. The leader’s

behaviour instils pride, faith and respect and effectively

articulates a sense of vision. The leader has a strong

sense of purpose based on values and beliefs which have

a clear moral and ethical basis, and which are consistent

with the organisation’s culture.

c. Challenging and Empowering. Leaders stimulate their

followers to be creative and innovative by questioning

assumptions, re-framing problems and approaching old

situations in new ways. The leader introduces and

encourages new ideas as well as re-thinking traditional

methods, with an emphasis on developing better ways of

achieving old and new tasks.

d. Concern for Individuals. Leaders pay special attention

to each individual’s needs for achievement and growth by

acting as a mentor or coach. Leaders delegate tasks to

stimulate and create learning, recognising the

individual needs of each subordinate and respecting

each subordinate as an individual.

10.40 While charismatic leaders are rare, individuals can learn tobe more visionary and more transforming by practising thefour components of transforming behaviour outlined above.The transformational influence process can be identified inoperational terms – provide a clear and compelling vision,model the desired behaviour, challenge subordinatesintellectually and empower them to act, and finally, care forsubordinates. In this way it is possible to train leaders tobecome more able to influence and motivate theirsubordinates to rise above their apparent capabilities andachieve superior results.

10.41 When leaders use transforming behaviour, they create newexpectations and encourage commitment that motivatesfollowers to act beyond their self-interest for the sake of theteam.

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10.42 Leadership style is about how to work effectively withpeople to obtain their willing obedience, confidence, trust,respect and loyalty. It involves adopting certainparticipative and motivating behaviours in makingdecisions and influencing the team to achieve the desiredresults.

10.43 Leadership, however, involves more than followingtheoretical approaches. While the approach an individualadopts will differ from situation to situation, eachindividual must retain his personal style. This style willreflect the individual’s own ethics, beliefs and personalvalue system and will vary within the parametersindividuals define for themselves. The pillars ofleadership that underpin the adoption of an individualleadership style include motivation, integrity, courage,compassion, humility and the ability to communicateeffectively. Importantly, one aspect of leadership thatnever vanishes is the power of personal example2. This isno better illustrated than by Sir Edward ‘Weary’ Dunlopwho demonstrated outstanding leadership throughouthis military and professional life as well as in hispersonal life.

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2. Adapted from an address by the Chief of Army LTGEN P.J. Cosgrove, AC. MC.The Practice of Higher Leadership and Management in Changing Times:Current and Future Australia, Canberra ACT, 15 November, 2001.

CHAPTER 11

Culture and Environment


11.1 While culture influences the way in which individuals andteams behave and respond to situations, a team does not actin isolation. The internal and external environment inwhich it operates influences the team’s behaviour. To betruly effective, the leader and team must, in their turn, seekto influence the culture and the environment. While cultureinfluences individual behaviour, it is the externalenvironment that has the greatest impact.

11.2 This chapter examines the interrelationship of culture andenvironment with leadership.

Section 11-2. Defining Culture

11.3 Culture reflects the organisation’s values, philosophy,norms and unwritten rules. It is the way individuals see,think and feel as an organisation. A group or organisationdevelops a culture when it has sufficient shared history toform a set of shared assumptions. Culture is maintained bythe way in which new members are integrated into theorganisation, and the shared history is cultivated whenmembers have been together for a long period or haveshared an intense experience such as combat.

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11.4 The Army culture is distinctive and it distinguishes all itsmembers from those of other organisations. In generalterms, the Army culture is largely conservative, traditional,rules-based with a belief in service before self. There are alsomany sub-cultures within the wider Army culture. Eachunit or group has a unique culture that is shaped by theArmy’s culture. These sub-cultures, in turn contribute to theoverall Army culture.

11.5 Strong cultures are characterised by core values which arestrongly held and widely shared. Strong cultures will have agreater influence on member behaviour typified by the Armyculture. Positive benefits include cohesiveness, loyalty andorganisational commitment. A strong culture also has itsnegative aspects, including resistance to change and thediscouragement of diversity in group membership andthought.

Section 11-3. Elements of Culture

11.6 Culture is composed of three elements as illustrated inFigure 11–1.

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SYMBOLS(visible)

EXPRESSED VALUES(less visible)

UNDERLYING ASSUMPTIONS(often invisible)

Figure 11–1: Elements of Culture

Symbols

11.7 The symbols of culture are easily observed. They are thevisible organisational structures, processes and behavioursthat include uniforms and badges of rank, medals, languageand terminology, ceremonies such as ANZAC day andtraditions such as the ANZAC legend. The conferring ofawards also publicly recognises individuals or teams andserves to visibly reinforce organisational values. Whileeasily observed, symbols and structures can be difficult tointerpret and a better understanding is gained from thevalues, norms and rules that guide group behaviour.

Expressed Values

11.8 Expressed values are less visible than the Army’s culturalsymbols and are reflected in the strategies, goals,philosophy and attitudes of team members. They includeideals such as courage, initiative, teamwork and physicalfitness.

11.9 In the early stages of group formation, the methods ofoperation and decision-making reflect the values of theindividuals within the group. As the group identitystrengthens, those individual values develop into groupvalues and shared assumptions. New individuals joining thegroup will tend to align with those group values. They mayeven adopt group values with which they personallydisagree to avoid conflict with other group members.

Underlying Assumptions

11.10 Underlying or basic assumptions are largely invisibleattitudes, norms and beliefs such as how individualsinteract with one another. These underlying assumptionsoccur at the individual, group and organisational levels andstrongly influence behaviour. Group members will generallyfind behaviour that contradicts these assumptions asinconceivable. The Army regards duty as a moral as well asa legal obligation. Similarly selfless service, loyalty, andintegrity are basic assumptions of the Army ethos.

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Section 11-4. Understanding National Culture

11.11 Within an international context it is essential to appreciatedifferences in behaviour due to cultural background. Thisbecomes increasingly important for leaders as thecomposition of Australian society changes, and thelikelihood of operating in coalition with regional partnersand their cultures increases. Multinational operations willbe unavoidable in the 21st century, and individuals mustmake every effort to understand cultural differences if theyare to achieve mission success. Research indicates thatnational culture and identity have a greater impact onindividuals than organisational culture. Hofstede’s‘Dimensions of Cultural Differences’1, outlined below,represents a framework to explain the difference in nationalculture and its influence on work-related attitudes. Thedifferences in national culture can be described in terms of:

a. Individualism Versus Collectivism. Individualism

versus collectivism emphasises the importance placed

on having time for personal life as contrasted to the

importance of organisational goals. This is where some

cultures (typically Western) value individual freedom

and responsibility more than group loyalty, unity and

harmony (generally Eastern).

b. High Versus Low Power Distance. High versus low power

distance is a measure of the distance in power between a

manager and a subordinate. Inherent in the cultures of

some countries is what is termed a high power distance,

with titles and formality the rule. These cultures accept

wide differences in organisational power. In contrast,

low power distance cultures believe in equality and place

greater emphasis on trust.

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1. Hofstede, G., ‘Dimensions of Cultural Differences’ in Nelson, D.L. and Quick, J.,Organisational Behaviour ed.3, South-Western Thompson Learning, 2000.

c. High Versus Low Uncertainty Avoidance. Some national

cultures are comfortable with ambiguity, uncertainty

and risk taking (low uncertainty avoidance). High

uncertainty avoidance cultures feel threatened by

uncertainty and ambiguity and take measures to provide

security, are likely to have more formal rules and are less

tolerant of different ideas.

d. Masculinity Versus Femininity. Masculine cultures

value assertiveness and materialism. Performance is

what counts and achievement is admired. Feminine

cultures emphasise relationships and concern for others.

In these latter cultures quality of life is more important

and people and environment are likely to bevalued more.

e. Long-term Versus Short-term Orientation. Some

cultures, generally Eastern, may be more future or

long-term oriented. Other cultures, generally Western,

are more present, even past (short-term) oriented.

Australian Culture

11.12 Australian people are characteristically known as ‘easy going’with a traditional set of values such as impartiality, fairnessand sympathy for the underdog. The distinctiveness of theAustralian culture, imparting a more relaxed lifestyle, isstrongly influenced by European settlement and by therelative geographic isolation of the Australian continent fromother Western cultures. Despite this isolation, studies suggestthat Australians have a typically ‘Western’ modus operandi.Within this Western mindset, assumptions apply to all ratherthan specific groups, and thinking tends to be moresystematic with a short-term focus.

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Section 11-5. Culture and Leadership

11.13 Understanding culture is desirable for all team membersbut is essential for leaders. Selection practices, the actionsof senior leaders, and socialisation methods (the adaptationprocess when new members join a team) sustain teamculture and can also be used to change culture. Socialisationindicates to a soldier what is acceptable and can influenceactual job performance. Proper socialisation should identifywhen behaviour such as aggression and independent actionis appropriate and valued, and when it may be viewednegatively.

11.14 A particularly strong culture is not necessarily positive inperformance terms. What is more important is the creationof a strong and adaptive culture that produces teamcohesion and synergy as well as the flexibility to respond tochange. The individual needs of team members and thedominant values of the culture must be balanced. It is theresponsibility of the leader to align the team’s culture withits goals.

Section 11-6. Environment

11.15 The study of leading, motivating and controlling operationstraditionally focussed on those aspects over which a leaderor manager had control – the internal aspects of theorganisation. While accurate, such a view is incomplete. Allorganisations must function within an environment.

Components of Environment

11.16 There are two broad components to environment. Thosefactors outside the boundaries of the team or organisationform the external environment, while those factors withinthe organisation form the internal environment. Some of thekey factors are illustrated in Figure 11–2.

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11.17 Internal and external environments are viewed differentlyby individuals at differing levels within an organisation. Atthe strategic level the external environment includes thepolitical and economic climate in which the Army operates.For a section commander, the external environment may bethe platoon or battalion, while the internal environment isthe section commander’s team.

Environmental Uncertainty

11.18 There are a number of environmental aspects that canthreaten operational effectiveness. These relate to stability,complexity and the ability of the environment to supportgrowth. Internationally, the end of the Cold War has seen ashift from a relatively stable to a much more dynamicenvironment. The possibility of conflict and the exact natureof that conflict are difficult to predict. The environment has

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Technological Political

Legal

Social & Community

Economic

Resources Climate

StructureMorale

Figure 11–2: Components of Environment

also become more complex. The Cold War environmentcomprising two large blocs was relatively simple, althoughtensions caused economic pressures, competition for scarceresources, and the increasing disparity in national wealth,all of which contributed to the emergence of dormant andnew security threats. Government resources are typicallyscarce and the challenge the Army faces is to justify andmake best use of its range of military capabilities in asustained climate of austerity.

Internal Environment

11.19 The internal environment includes the culture, structureand climate of the team, the available resources, and moraleof the workplace. Due to its importance, culture is dealt withas a separate element of the ALM.

11.20 Structure. Structure concerns the way in which the teamor organisation is formed and may change to reduceuncertainty. It includes the supporting practices andregulations that determine the way in which theorganisation operates. Organisations often comprise both aformal and an informal structure. An organisation’s formalstructure may be hierarchical or flat, consisting of a chain ofcommand, or self-directed work teams. An organisationalchart, illustrating the flow of information anddecision-making is often used to depict the formal structure.The informal structure comprises the social and powerrelationships within the team, and may be significantlydifferent from the identified leadership positions within theformal structure.

11.21 Climate. Climate reflects the individual and sharedperceptions and attitudes of team members within theorganisation. It should not be confused with culture.Climate includes the short-term effects of currentleadership. Culture is the more deeply rooted nature of theorganisation that is a result of long-held formal andinformal assumptions, rules, traditions and customs.

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11.22 The climate within a team is affected by its leadership,including the way in which management systems such aspromotion and reward are implemented. These willinfluence the way in which the leader is perceived in termsof trustworthiness, and can have a significant effect onattitude and willingness to contribute.

11.23 The application of policy such as service conditions,recognition and reward is a significant indicator to otherteam members of what is valued by the leader. Climate canbe significantly altered if inappropriate behaviour isrewarded.

11.24 Resources. The ability of a team to achieve its vision willbe affected by the availability of appropriate resources.These may include personnel, financial and physicalresources such as buildings, equipment, informationtechnology and vehicles. Leaders must decide how to mosteffectively direct the use of available resources to achievetheir goals.

11.25 Morale. Morale is a critical element of the internalenvironment and can provide the leader with an insight intothe functioning and the state of the team. Morale iscultivated over a long period yet can be rapidly destroyedand may take extensive time and effort to restore.

External Environment

11.26 The external environment includes political, legal, social,economic and technological factors. To achieve maximumeffectiveness it is vital that team operations do not conflictwith the external environment. Dynamic and complexenvironments present significant challenges for anorganisation.

11.27 Political Factors. Political factors may include domestic,regional or international policies that affect the laws andregulations within which organisations operate. Australia’sdemocratic political system has a significant influence onthe nature of its international relations. Its foreign policy iscommitted to the observance of international law, thepromotion of democracy and sustainable economic

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development. Australia’s political relationship with itspeople and other countries will largely define how the Armyis structured and the way in which it operates in the future.

11.28 Legal Factors. Legal factors affect the Australian Army ina number of ways through legislation concerning sexualharassment and anti-discrimination laws relating togender, race, religion, and sexual preference. Everycommander is accountable, regardless of authority orresponsibility.

11.29 Social/Community Factors. Social and communityfactors set the standards within which the Army operates.Domestically, the role of being good ‘corporate citizens’requires soldiers to maintain high personal standards ofbehaviour and to conform to community expectations inrelation to issues such as environmental protection, equityand discrimination. Overseas, on United Nations ormultinational operations, local customs must also beobserved.

11.30 Economic Factors. Defence is directly affected by thoseeconomic factors that determine government policy andspending. Unseen economic crises in a region may alsotrigger tensions and alter relationships.

11.31 Technological Factors. Technological factors canradically affect the way in which the Army operates. Accessto technology will alter those skills required of soldiers.Further, technological change will play a significant role indetermining the environment in which soldiers will berequired to fight.


11.32 Teams do not act in isolation. The culture and widerenvironment in which teams operate influence the team andthe application of leadership. The diversity of environmentcreates uncertainty. Leaders must understand this andrespond by reinforcing values that are sufficiently robust tofit the new environment. Leadership implies scrutinising

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existing systems and climate, and making adjustmentswhere necessary, to align these with the vision and goals ofthe organisation or team.

11.33 A strong culture builds team cohesiveness and identity butcan also present barriers to change. In practice, leadersmust foster a culture around enduring values that areapplicable in any situation. The Army’s ethos and values ofcourage, initiative and teamwork provide a foundation forleaders to seize opportunities presented by the changingenvironment.

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CHAPTER 12

Problem Solving and Decision-making


12.1 Decision-making is a critical activity for leaders. Problemsolving and decision-making is influenced by a number offactors. These include an individual's personality, valuesand leadership style, and the personalities, values and levelof expertise of members of the team. Leaders will also beinfluenced by the situation, such as the time and the qualityof information available.

12.2 This chapter introduces a number of methods for problemsolving and decision-making. Issues such as ethics, commonbiases in decision-making, methods to stimulate creativityand the impact of culture are also reviewed.

Section 12-2. Perception

12.3 Perception is the process by which individuals interpret andgive meaning to what they see. It is important to understandthat what is perceived can be very different from reality.This explains why two individuals can look at the sameobject, yet see (perceive) it differently. Perception alsodiffers according to cultural background and this is animportant consideration when operating in a multinationalcoalition environment.

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12.4 Perception is a crucial element in the decision-makingprocess as behaviour is based on the perception of realityand the way in which an individual makes a decision. Thequality of those decisions will be influenced by theseperceptions.

Factors Influencing Perception

12.5 In Figure 12–1, what is seen depends on how the image isseparated from the background. The interpretation of theambiguous image of the woman in picture A will largelydepend on whether one has previously seen the images inpictures B or C.

12.6 Figure 12–2 summarises key factors that influenceperception. These are grouped into the observer (perceiver),the object, and the situation (context).

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A B C

Figure 12–1: Differences in Perception1

1. Vecchio, et al, Organisational Behaviour, Edition 2, Harcourt Brace andCompany, 1996.

1. Vecchio, et al, Organisational Behaviour, Edition 2, Harcourt Brace andCompany, 1996.

Perceptual Distortion

12.7 In addition to perceiving objects in different ways, individualscan also deny that an event has occurred or that theywitnessed it. This causes a modification or distortion of thefacts, or deliberate attention to only what one wishes to see orunderstand. These reactions are forms of perceptualdistortion. Illustrations are also forms of perceptual distortionand this is shown in the colour patch at Figure 12–3.

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OBSERVER(perceiver) PERCEPTION OBJECT

SITUATION

TimeSocial SettingWork Setting

MotionSoundsSizeBackgroundProximity

AttitudeMotivesInterestsExperienceExpectations

Figure 12–2: Factors that Influence Perception2

2. Adapted from Robbins, S.P. Organisational Behaviour, Edition 7, Prentice Hall1996, p 135.

2. Adapted from Robbins, S.P. Organisational Behaviour, Edition 7, Prentice Hall1996, p 135.

12.8 The base of the patch is the one colour, yet when judgedwithin a context, it appears to have two different shades ofgrey. Placing a pencil vertically between the light and darkoverlays illustrates this. This demonstrates that contextinfluences perception. It creates an illusion of a differencethat does not exist.

Section 12-3. Problem Solving andDecision-making

12.9 Problems are solved and decisions made through a variety oftechniques ranging from simple methods to rigoroussystematic approaches. Deciding on the correct approach touse is largely dependent on the situation, time available andpersonal preference. It may also involve a combination ofmethods. Leaders must also ensure that their decisions arenot only effective, but also ethical as discussed below.

Effective Decision-making

12.10 An effective decision is timely, and meets the desiredobjective. Decision-making can be stressful and leaders willsometimes need to make decisions that are associated with

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Figure 12–3: Perceptual Distortion

significant risk and uncertainty, and based on incompleteinformation. While it is important to trust and rely on otherswithin the decision-making process, ultimately the leader isresponsible for the final decision. The courage to makedecisions that are significant or have far reachingimplications is a quality that leaders require.

Ethical Decision-making

12.11 Coping with decisions that have an ethical element is acomplex but daily issue. Major issues relate to drugs, theft,conflict of interest, false and misleading information, giftsand improper relations with people. These are referred to asethical dilemmas. Leaders should understand the basis forethical reasoning. Ethics can be integrated into dailybehaviour through the adoption of a clear code of ethics, awhistle-blowing procedure, involving team members inidentification of ethical problems and performancemonitoring. Ethics is discussed in more detail in Annex A.

The Process of Problem Solving andDecision-making

12.12 There is no one decision-making process that suits allcircumstances. The following paragraphs outline onemethod, which is known as the ‘Rational Model'.

12.13 The Rational Model is based on an approach todecision-making which utilises a ‘rational' process. This isthen applied to achieve a ‘rational' goal, with the purposebeing to maximise value. The model's attributes include awide-scale search for information, detailed analysis and ademonstration of a process that considers all options. Theconstruct of the military appreciation process is biasedtowards this approach. The Rational Model approachinvolves six steps:

a. Step 1 – define the problem;

b. Step 2 – identify the objective of the decision;

c. Step 3 – analyse the situation;

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d. Step 4 – identify and assess the alternatives;

e. Step 5 – decide the best course of action; and

f. Step 6 – implement the plan and evaluate the results.

12.14 Step 1 – Define the Problem. The word ‘problem' has anumber of different meanings, including:

a. a complex situation that requires action;

b. the requirement to rectify an error;

c. a difficult choice; and/or

d. future trouble.

12.15 Each of these problems will require its own individualsolution. Problem definition is critical to ensureidentification of the cause rather than mere treatment of itssymptoms.

12.16 Step 2 – Identify the Objective of the Decision. Step 2focuses on the determination of the objective of the decision.

12.17 Step 3 – Analyse the Situation. Step 3 involves gatheringinformation relevant to the problem through a thoroughanalysis of the situation.

12.18 Step 4 – Identify and Assess the Alternatives. Allpractical courses of action must be listed and evaluated.During this step a ‘what if' analysis should be conducted todetermine the factors that could influence the outcome. Allthe advantages and disadvantages for each course should belisted so as to evaluate their relative merits and establish apriority within the preferred courses of action. It isimportant to generate a range of options and creativesolutions.

12.19 Step 5 – Decide the Best Course of Action. Step 5 is thepoint at which each course of action is weighed against thedecision objective (Step 2) and the preferred coursedetermined. Importantly, a different course of action for thesame problem may be chosen depending on thecircumstances. Limited time and the need for a quicksolution may result in a certain course to fix an immediateproblem, whereas with more time perhaps a more

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comprehensive approach and alternative course of actionmay have resulted.

12.20 Step 6 – Implement the Plan and Evaluate theResults. Once a plan is implemented, it must be followed.The situation must then be examined to ensure that thedecision met its objective. Unexpected outcomes or partialsolutions are sometimes an indicator that the actualproblem may not have been properly defined. Consistentmonitoring and periodic feedback is an essential part of theevaluation process.

Other Decision-making Models

12.21 Satisficing. The rational approach, in which the bestsolution is selected from ‘perfect' information does notreflect the reality of decision-making. The concept of‘bounded rationality' acknowledges the real-worldlimitations on people's decision-making. The reality is thatindividuals are restricted in their decision-making andselect the first alternative that is satisfactory and sufficient;that is they ‘satisfice'. The decision-maker operates withinthe confines of ‘bounded rationality', without completeinformation and selects only essential features from theproblem and so behaves rationally within the limits of asimpler model.

12.22 When making a satisficing choice (the first acceptable one),the sequence of examining alternatives becomes crucialbecause if the solution is satisfactory, other alternatives willnot be considered. The decision-maker would typically beginby identifying alternatives that are obvious, ones that arefamiliar, and those that resemble the status quo. Thesealternatives, provided they meet the problem's objectives,are the most likely ones to be selected. It will be rare that anunconventional solution will be chosen by satisficing.

12.23 Implicit Favourite Model. The implicit favourite modelrepresents another way of managing complex andnon-routine decisions. The simplification process presentedin this model is similar to the satisficing approach, but doesnot enter into a consideration of alternatives. Individualsunconsciously select a preferred alternative and the rest of

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the decision process is essentially a decision confirmationexercise (of the implicit favourite). Research provides astrong indication that individuals frequently make an earlycommitment to one alternative, but observe the process inorder to convey an appearance of objectivity.

12.24 The Military Appreciation Process. The militaryappreciation process is a familiar and effective technique. Itis an assumption-based planning model in which knowninformation is analysed and unknown aspects are deduced.It requires some time to complete, and while influenced bythe rational approach, can be simple to apply depending onwhether the staff or individual method is chosen. Theprocess is described in LWP-G 0-1-4, The MilitaryAppreciation Process, 2001.

Individual Influence on Decision-making

12.25 Chapter 3 – Individual Behaviour introduced Jung's theoryon personality types to explain differences amongindividuals. This theory also explains why people havedifferent styles of decision-making. Briefly, there are twostyles of information gathering: ‘sensing' and ‘intuiting', andtwo styles of making judgements: ‘thinking' and ‘feeling'.The resultant four perceiving and judging (cognitive) stylesare discussed in Annex B.

12.26 Research tends to support the existence of the four styles.All four styles have a great deal to contribute toorganisational decision-making. A ‘Z problem-solving'model, created by Myers-Briggs, uses the strengths of thefour preferences (sensing, intuiting, thinking and feeling).This model outlines four steps to problem solving asillustrated in Figure 12–4.

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12.27 Intuition. Intuitive decision-making is described as anunconscious process created out of distilled or refinedexperience and often referred to as a ‘gut feeling'. Intuitivedecision-making does not operate independently of rationalanalysis, in fact the two complement each other. Individualsare most likely to use this approach when a high level ofuncertainty exists, when facts are limited, when severalsound options exist with good arguments for each, and whentime is limited and there is pressure to make a decision. Theindividual method of the military appreciation process isdesigned to exploit a commander's intuitive judgement.

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LOOK ATFACTS

AND DETAILS

WHATALTERNATIVES DO

THE FACTSSUGGEST

CAN IT BEANALYSED

OBJECTIVELY

WHAT IMPACTWILL IT HAVE ONTHOSE INVOLVED

SENSING INTUITION

THINKING FEELING

What are the facts?Be clear, specific and realistic.List relevant details.

Let your imagination run wild.Brainstorm.Consider various solutions.

Consider consequences ofeach alternative.What is the cause and effectof each action?

Is it something you can live with?How do you feel about the actions?Gut feelings on other's reactions.

Figure 12–4: The Z Problem-solving Model3

3. Adapted from O.Kroeger, Type Talk at Work, Dell Publishing, New York, 1992.3. Adapted from O.Kroeger, Type Talk at Work, Dell Publishing, New York, 1992.

Individual Decision-making and Risk

12.28 Making decisions involves some risk, perhaps even withimplications for life and death. All leaders face a difficulttask in managing risk-taking behaviour and constraints onthe application of force may change a commander's view ofrisk. In discouraging people from taking risks leaders facethe problem of stifling creativity and innovation. The key isto establish a consistent attitude towards risk. Two specificissues that should be considered are ‘risk aversion' and‘escalation of commitment'.

Risk Aversion

12.29 Individuals differ in their willingness to accept risk. Someindividuals are risk averse, that is, they have the tendencyto choose options that involve fewer risks and lessuncertainty. Others are risk takers, that is, they acceptgreater potential for loss in decisions, can tolerate greateruncertainty and in general are more likely to make riskydecisions. Risk taking is also influenced by organisationalfactors. Pressure from the organisation can often overrideindividual propensities to take or avoid risk.

Escalation of Commitment

12.30 Escalation of commitment occurs when decision-makerscontinue to commit resources to a losing course of action.The decision by President Johnson to continue the UnitedStates commitment in Vietnam long after advisers hadwarned that it was a lost cause characterises escalation ofcommitment – holding fast to a poor choice even whensubstantial losses have been sustained. This can also bedescribed as ‘reinforcing defeat'.

12.31 Avoiding an escalation of commitment can be as simple asproviding an avenue for a graceful exit from a poor decision.Group decision-making can also reduce the chance ofescalation, as there is a diffusion of responsibility.

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Simple Techniques for Problem Solving andDecision-making

12.32 In addition to the more methodical and time-intensivedecision-making methods there are several simpletechniques that may be used such as:

a. situation, mission, execution, administration and

logistics, command and signals (SMEAC); and

b. brainstorming.

12.33 Situation, Mission, Execution, Administration andLogistics, Command and Signals. SMEAC is a simplebut effective technique for problem solving anddecision-making, which already forms part of every soldier'straditional order group techniques. It is useful particularlyif there is a clear task and time is of the essence.

12.34 Brainstorming. Brainstorming is an idea generationprocess that encourages a rapid statement of alternativeswhile holding back on analysis and criticism of those ideas.It is typically used in problem-solving exercises by a teamwith the leader facilitating the flow to ensure participantsdo not evaluate, but are open, creative and prolific in ideageneration.

12.35 A section commander may use brainstorming as a tool inbuilding a team at the same time as solving a problem. Thiscan be done by encouraging team members to each suggest arange of solutions before settling on one. This will buildconfidence and team support for the solution.

Group Decision-making

12.36 There are many reasons to use a group approach todecision-making. One involves ‘synergy', that is, teammembers stimulate new ideas and solutions through mutualinfluence and encouragement. Another reason lies ingaining group commitment to a decision. Groups also bringmore knowledge and experience and a wise leader can tapthis resource.

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12.37 Group decision-making also involves a number ofdisadvantages. These include pressure to conform,domination by one forceful member or clique, and the amountof time taken to arrive at a decision. Given the emphasis onteams, many believe that groups produce better decisionsthan individuals. There is, however, a tendency for‘groupthink' that leaders need to understand.

12.38 Groupthink. Groupthink is a phenomenon in which thedesire for consensus overrides the realistic appraisal ofalternative courses of action. This can cause deterioration inreality testing and moral judgement as a result of pressureswithin the group.

12.39 Certain conditions favour groupthink. One is highcohesiveness, which tends to favour solidarity becausemembers identify strongly with the group. Other conditionsinclude the effects of directive leadership, high stress,insulation of the group, and lack of methodical proceduresfor developing alternatives. Leadership style can eitherpromote groupthink (if leaders make their opinions knownimmediately) or avoid groupthink (if leaders encouragefrank and open discussion). Two other conditions that canlead to groupthink involve making decisions that are likelyto have a great impact on the group, and the imposition oflimited timeframes in which to make decisions.

12.40 The Challenger shuttle disaster and the Bay of Pigsinvasion of Cuba are examples of incidents wheregroupthink was in evidence. Consequences of groupthinkinclude an incomplete study of alternatives, failure toevaluate the risks of a course of action, biased informationprocessing, and a failure to develop contingency plans.

12.41 Table 12–1 lists some symptoms and strategies for avoidinggroupthink.

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Table 12–1: Avoiding Groupthink

Symptoms Strategies to Prevent Groupthink

Illusion of invulnerability – groupmembers feel they are above criticism.

Group members feel they are morallycorrect in their actions and thereforeabove reproach.

Rationalisation of resistance toassumption.

Stereotyping the enemy as evil or stupidand so underestimating him.

Self-censorship – members notexpressing doubts or concern.

Mindguards – members take it onthemselves to protect the group fromnegative feedback.

Peer pressure – where some memberspressure those who express doubts.

Leaders avoid stating their position onissues prior to the group decision.

Have several groups that work on thedecision simultaneously.

Bring in outside experts to evaluate thegroup process.

Appoint a devil's advocate to questionthe group's course of action.

Evaluate the opposition carefully posingdifferent motivations where possible.

Once consensus is reached, encouragethe group to rethink its position byre-examining the alternatives.

Convene a ‘last chance' meeting tovoice any lingering doubts.

Stimulating Creativity and Innovation

12.42 Creativity is the stimulation of novel, unique or useful ideasby an individual, or team of individuals working together.Creativity assists team members to uncover problems,identify opportunities and undertake innovative and freshcourses of action. Innovation builds on novel and usefulideas. Organisational innovation is the implementation ofcreative and useful ideas through unplanned or plannedorganisational change.

12.43 Some barriers to creative and innovative thought and actioninclude:

a. Perceptual Blocks. Perceptual blocks involve the failure

to use all of the senses in observing, failure to investigate

the obvious, difficulty in seeing remote relationships,

and the failure to distinguish between aspects of

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c a u s e - a n d - e f f e c t r e l a t i o n s h i p s ( o r s y s t e m

interrelationships).

b. Cultural Blocks. Cultural blocks refer to the desire to

conform to established norms, an overemphasis on

competition or conflict avoidance and ‘smoothing', the

drive to be practical and efficient and the belief that

open-ended exploration is a waste of time.

c. Emotional Blocks. Emotional blocks encompass the fear

of making a mistake, fear and distrust of others and of

being completely open and spontaneous.

Some Processes for Creative Problem Solving andDecision-making

12.44 Parallel and Lateral Thinking. Parallel and lateralthinking are deliberate processes, developed by Edward deBono, for the generation of new ideas through a change in anindividual's or group's way of thinking. The approachescontrast with the more traditional, linear, sequential andlogical way of thinking (termed ‘vertical' thinking) wherejudgements are made and the next steps are based upon thelast decision.

12.45 Parallel thinking involves accepting possibilities withoutjudgement, accepting both sides of a contradiction, andexamining them in parallel. A course of action is thendeveloped from parallel possibilities.

12.46 Lateral thinking is about moving sideways to try differentperceptions, concepts and points of entry. It is concernedwith possibilities.

12.47 Devil's Advocate. The devil's advocate is an individual (orsmall team) who develops a systematic critique of arecommended course of action. The devil's advocateattempts to point out weaknesses in the assumptions andother problems that could lead to failure if the plan isimplemented. Individuals should be rotated through thisrole to avoid any one person being labelled as a critic on allissues. The devil's advocate can increase the probability of

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creative solutions to problems and reduce the chance ofgroupthink.

Section 12-4. Cultural Perspectives to ProblemSolving and Decision-making

12.48 Cultural perception in terms of problem solving anddecision-making and the importance placed on rationality,vary across organisations, cultures and armies around theworld. Understanding this is useful for all soldiers who arerequired to work and make decisions in a coalitionenvironment.

12.49 The concept of power distance mentioned in Chapter 11explains why in high power distance cultures such as India,Mexico, the Philippines and Singapore only the very seniormanagers make decisions. In low power distance culturessuch as Denmark, Israel, Australia and New Zealand,low-ranking employees expect to make day-to-dayoperational decisions.

12.50 Time orientation explains why in a society such as Italy,where the past and tradition are valued, managers tend torely on tried and proven solutions, while Australians, beingmore aggressive and now-oriented, are more likely topropose unique and creative solutions.

12.51 Theorists such as Adler have argued that the assumption ofrationality is also culturally biased. ‘An Australian leaderwho may make a decision intuitively also knows it isimportant to appear rational and so develops strategiessuch as reviewing alternate options. In Middle Easterncountries such as Iran and Syria, where rationality is notsacred, efforts to appear rational are deemed asunnecessary’4.

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4. Adler, N.J. cited in Robbins, S.P. et al. Organisational Behaviour, Edition 2, 1998,p. 135.

12.52 Some cultures emphasise solving problems while othersfocus on accepting situations as they are. Australia and NewZealand fall into the former category. Thailand, Indonesiaand Malaysia fall in the latter category. This can explainwhy one group may identify a problem long before othergroups may recognise it as such.


12.53 Decision-making is important at all levels in anorganisation. Irrespective of the approach used, eachincludes a series of basic steps that helps manage evencomplex issues. Accurate problem definition is essential toensure that efforts at problem solving are not wasted.

12.54 Some decisions are best made by individuals, but others bestmade by teams. It is the leader's role to diagnose thesituation and decide the level of participation necessary. Todo this effectively, the leader must assess the advantagesand disadvantages of group decision-making, be conscious ofthe potential for groupthink and understand the impact ofdifferent perceptions and cultural backgrounds in thedecision-making process. Importantly, leaders must ensuretheir decisions are both effective and ethical.

Annexes: A. Ethics

B. Cognitive Styles – Individual Influence on

Decision-making

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ANNEX A

CHAPTER 12

Ethics

1. The subject of ethics considers a set of principles by whichan individual's actions may be judged as good or bad, rightor wrong. Ethics encompasses moral values and principlesand goes beyond actions such as obeying the law or abidingby rules and regulations. It includes the individualdecision-making process in an uncertain situation.

2. The purpose of this annex is to broadly examine the natureand purpose of ethics.

Defining Ethics

3. For practical purposes ethics may be considered to be:

the investigation of ‘decision-making' about

(what are ‘right', ‘good’; or ‘worthy') ‘actions'by

individuals, groups, organisations and

societies in particular situations and why

people make such choices.1

4. This definition highlights a number of aspects. Itemphasises the way in which individuals make choicesconcerning values that they and others hold. The definitionalso emphasises that ethics is about commitment andaction, and understanding the basis that drives suchdecisions and actions.

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1. Adapted from Elliott R. and Engebretson K., Chaos or Clarity: EncounteringEthics, Edition 2, Social Science Press, Wentworth Falls, NSW, 1995, pp 1-10,1995.

Ethical Issues

5. An ethical issue occurs when individuals or teams mustmake decisions using judgements such as good or bad, rightor wrong, worthy or unworthy. In deciding whetherparticular actions are ethical, individuals need to consider:

a. whether the actions are consistent with their personal

judgements of right and wrong,

b. what the consequences might be for themselves or for

others,

c. whether they would be prepared to have their actions

made public, and

d. whether they feel that they could justify their actions if

called upon to do so.

Ethical Considerations

6. The belief that systems of compliance will prevent unethicalbehaviour does not eliminate the opportunity forinappropriate action. Low ethical standards are a problemfor any organisation and tolerance of unethical behaviourdepends very much on the type of ethical climate in whichindividuals work.

7. A work environment with high ethical standards andculture is one in which there is little chance that the bottomline of acceptable behaviour will be crossed. However, mostindividuals will encounter situations in which they have toconsider ethics when making a decision. Ethics, however, isnot confined to the office or barracks but has very realapplication in the field and on operations. This is illustratedin paragraph 13 using the ‘My Lai' incident as an example.

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Relating Ethics to Values

8. Values are an important influence on decision-making andactions, although this influence is often indirect. Someindividuals make no distinction between values and ethics.There are however, other ingredients within ethicalthinking apart from values.

9. Having a set of values does not always lead directly toclarity of decision-making. Often in a given situation,competing values must be carefully considered to determinewhich are the most important. This ‘weighing-up' of valuesinvolves other higher values or principles.

10. Ethics therefore means more than thinking about how toapply values in any given situation or taking intoconsideration what might be acceptable to others. Ethicalconduct must reflect beliefs and convictions rather than fearo f punishment for inappropr ia te behav iour ornon-compliance. Ethical behaviour also implies:

a. being able to provide reasons to support decisions and

actions;

b. being aware of any associated obligations and/or

consequences;

c. considering factors beyond individual self-interest; and

d. establishing foundations for decisions that entail

commitment to action.

11. There are some assumptions about human nature that areespecially important in ethical terms. These assumptionsinclude:

a. individuals have the capacity to think logically and

objectively,

b. individuals can make choices about their behaviour,

c. individuals can learn and adapt to new situations, and

d. individuals have a conscience that assists them to think

ethically.

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12. These assumptions about human nature provide the basisfor each individual being held responsible for his or heractions and decisions. While there may be mitigatingcircumstances and factors that diminish the degree ofpersonal responsibility, these four assumptions provide afoundation for ethics and personal accountability.

13. Task orientation, often referred to as the ‘can do attitude' isusually seen as an asset in Army culture. It reflects apragmatic focus on outcomes, which may lead to a sense ofachievement. This focus on outcomes without the restraintof values or boundaries creates a danger that may lead to abelief in the ‘end justifying the means'. Leaders at everylevel must be aware of such beliefs and be vigilant indetermining the ethical appropriateness of the end in termsof the means. The following example graphically illustratesone such ethical dilemma.

The My Lai Massacre. On March 16th, 1968,

during the war in Vietnam, American soldiers

massacred almost 500 civilians in the village of

My Lai. This village was believed to be the

headquarters of the enemy's 48th Viet Cong

Battalion and the Americans had taken heavy

casualties in this area.

The 1st Platoon sergeant, noting the absence of

any signs confirming the nature of the target as

‘enemy'refused to obey orders. He chose instead to

stand by and watch. He later described the

massacre, which was eventually widely reported,

as a slaughter of innocent civilians and murder.

Subsequent charges ranging from sexual assault

to murder were laid against men who had

participated. But one by one the charges were

dropped, except for four men who were charged

with murder. Only one one of these, Lieutenant

Calley, leader of 1st Platoon, was convicted of 20

murders.

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14. It has been argued that if every soldier refused to follow anorder that he was convinced was wrong, then militarydiscipline would break down, resulting in heavy casualties.Each individual should consider this, including any limits tothe argument and the implications for ethics in the militaryethos and culture. The circumstances in which a soldier hasan obligation to follow his own conscience, even if it meansrefusing an order is an ethical one that requires consideredthought.

15. While soldiers have a duty to obey orders, there remains alegal obligation to disobey manifestly illegal orders. TheNuremberg Trials, one of the most important war crimestribunals established after World War II, made judgementson individuals charged with criminal violation of the lawsand customs of war and related principles of internationallaw. The judgement of the International Military Tribunalhanded down at the beginning of October 1946demonstrated that there is no legal defence for followingunlawful commands.

16. Among the notable features of the decision was theconclusion that to plan or instigate an aggressive war is acrime under the principles of international law. The tribunalrejected the defence argument that such acts had notpreviously been defined as crimes under international lawand that condemnation of the defendants would violate theprinciple of justice prohibiting retrospective punishments.The tribunal also rejected the contention of a number of thedefendants that they were not legally responsible becausetheir acts were performed under the orders of superiorauthority. The tribunal stated that ‘the true test is not theexistence of the order but whether moral choice (inexecuting it) was in fact possible'.

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Applying Ethical Thinking

17. There are three aspects to applying ethics in any givensituation:

a. gathering relevant information – an ethical decision

must be based on information that is complete and

accurate;

b. testing values – an individual must be able to identify

those values that are relevant in a given situation; and

c. testing beliefs and assumptions – a number of beliefs and

assumptions common to individuals should be tested

within the decision-making process. An individual's

perception of others and the impact of religious beliefs

may also form vital components within this process.

18. When provided with the appropriate skills, knowledge,support and encouragement, individuals can learn to makebetter ethical decisions and take actions that are moreappropriate. Ethical thinking is crucial in the exercise ofany leadership function, and mandatory for aspiringleaders. In battle, it is crucial for leaders to ensure theyunderstand and are convinced they possess the moral andlegal justifications for their actions.

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ANNEX B

CHAPTER 12

Cognitive Style – Individual Influence onDecision-making

Decision-making Styles

1. Chapter 3 introduced Carl Jung's theory of personalitytypes, which explains the differences among individuals.This theory also explains why people have different styles ofdecision-making.

2. Briefly, information gathering may be described as ‘sensing'and ‘intuiting', while judgement may be termed ‘thinking'and ‘feeling'. Jung suggests that people prefer one style ofperceiving and judging therefore, a combination of fourperceiving and judging (cognitive) styles can be developed,as follows:

a. Sensing/Thinking. Sensing/Thinking (ST) individuals

rely on facts. These people conduct an impersonal

analysis of situations and then make analytical,

objective decisions. This style is valuable because it can

produce clear simple solutions. ST individuals tend to

avoid risks and can ignore the personal aspects of

decisions.

b. Sensing/Feeling. Sensing/Feeling (SF) individuals also

gather facts but place great importance on

inter-personal relationships, while taking a practical

approach to information gathering. SF individuals'

strengths in decision-making involve their ability to

handle inter-personal problems as well as their ability to

take calculated risks. They may, however, have problems

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accepting new ideas that break the rules in an

organisation.

c. Intuitive/Thinking. Intuitive/Thinking individuals

focus on alternate possibilities in situations and

evaluate them objectively and impersonally. They are

eager to initiate new ideas and like to focus on the

long-term. They are innovative and will take risks, but

their weaknesses include the tendency to ignore

arguments based on fact, and to ignore the sensitivities

of others.

d. Intuitive/Feelings. Intuitive/Feelings individuals also

search for alternate solutions, but evaluate them in

terms of how they will affect the people involved. They

enjoy participative decision-making, are innovative and

will take risks. They tend to make decisions based on

personal preference rather than objective data, and may

be too responsive to the needs of others.

Using Logic and Creativity

3. In addition to the cognitive styles above, other individualdifferences affect a leader's decision-making ability. Leadersmust use both logic and creativity although individualsgenerally have a preference for one or the other.

4. An individual's brain has two lateral halves or hemispheres(see Figure 12–5). The right side is the centre for creativefunctions, while the left side is the centre for logic, detail andplanning. Most individuals prefer one cognitive style to theother. This implies that the side of the brain that reflects theless preferred cognitive style may be underutilised. Giventhat there are advantages in both kinds of thinking, theremay be some value in being able to develop the side that isless preferred.

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5. It is crucial for leaders to adopt a broader perspective, tocraft a vision and plan strategically. This requiresright-sided brain skills. Intuitive questioning is one methodto develop this right, or creative side.

6. It is equally important for leaders to understand day-to-dayoperations and chart work processes. These are left-sidedbrain activities. Setting goals and working towardsachieving them through completing tasks is one method todevelop an individual's left or logical side.

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VERBALSEQUENTIAL

DIGITALLOGICAL

ANALYTICRATIONALWESTERN

TWO BRAINS - TWO COGNITIVE STYLES

For Strategic ThinkingTime Sensitive

Short Term

No Senseor Time (Timeless)Long Term

NON-VERBALSIMULTANEOUSSPATIALANALOGICALSYNTHETICINTUITIVEEASTERN

LEFT RIGHT

Figure 12–5: Left Brain – Right Brain1

1. Adapted from Sally Springer and Georg Deutch, Left Brain, Right Brain, W.H.Freeman and Company, New York, 1989.

1. Adapted from Sally Springer and Georg Deutch, Left Brain, Right Brain, W.H.Freeman and Company, New York, 1989.

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CHAPTER 13

Resolving Conflict


13.1 Leaders are often required to gain the unwilling cooperationof others. An important leadership skill is the art ofpersuading others to the leader's way of thinking. Effectiveconflict resolution brings individuals or groups to a suitableagreement in the short term and creates improved workingrelationships in the longer term.

13.2 This chapter introduces the leader to the skills of conflictmanagement and negotiation.

Section 13-2. Understanding Conflict

13.3 Conflict occurs when two parties are unable to agree andexpress hostility or interfere with one another's efforts toachieve specified objectives. Change, personal issues,pressures of work and many other factors can cause conflictbetween individuals within a team, and between a leaderand a team.

Types of Conflict

13.4 Conflict is a natural occurrence within any team. It isusually perceived as something to avoid at all costs or toresolve quickly and effectively. Conflict, however, is notnecessarily bad. Some conflict is constructive and can result

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in healthy debate and the creation of new ideas. In thisregard, conflict can be viewed as functional or dysfunctional.

13.5 Functional Conflict. Functional conflict supports thegoals of the team and improves performance. It ischaracterised as conflict that:

a. improves the quality of decisions;

b. stimulates creativity;

c. encourages interest; and

d. fosters an environment of self-evaluation and change.

13.6 Dysfunctional Conflict. Dysfunctional conflict inhibitsteam performance. It is conflict that:

a. breeds discontent,

b. obstructs communication,

c. reduces team cohesion, and

d. threatens group survival.

Stages of Conflict

13.7 Leaders must understand that teams do not suffer becauseof conflict itself but because conflicts are not resolved.Equally important is to identify conflict as it arises. Thestages of conflict and the types of behaviour occurring ateach stage are illustrated in Figure 13–1.

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Section 13-3. Strategies in Conflict Resolution

13.8 Individuals exhibit a number of different behaviours as areaction to conflict. The concept behind the Thomas-Kilmanmodel, widely used in conflict resolution is illustrated inFigure 13–2.

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Discomfort

Incidents

Misunderstandings

Tension

Conflict

Perhaps nothing has been said yet.

Things do not feel right.

Here motives and facts are oftenconfused or misperceived.

Here relationships are weigheddown by negative attitudes andfixed opinions.

Behaviour is affected and extremeactions are being considered orcarried out.

Figure 13–1: Stages of Conflict

13.9 According to this model, an individual's conflict-handlingintention or strategy is based on different levels ofassertiveness and cooperation. The following paragraphsdiscuss these strategies and their application.

Avoiding

13.10 In adopting an avoidance strategy, an individual attemptsto appear neutral or actively avoids the tension that conflictcreates. These individuals risk undervaluing thecontribution they make to the team. Leaders who adopt anavoidance strategy are likely to be resented by theirsubordinates.

13.11 Experienced leaders recognise that action is not alwaysnecessary because some problems dissipate or are resolvedby other organisational action. Appropriate situations inwhich to use an avoidance strategy include:

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Compromising

Forcing

Avoiding

Collaborating

Accommodating

AS

SE

RT

IVE

NE

SS

COOPERATIVENESS

Assert

ive

Un

asse

rtiv

e

Uncooperative Cooperative

Figure 13–2: Concept of the Thomas-Kilman Model

of Conflict Behaviour1

1. Adapted from Thomas K.W, Organizational Conflict, cited in Vecchio et al.Organizational Behaviour Edition 2, Harcourt Brace, 1996, p 452.

1. Adapted from Thomas K.W, Organizational Conflict, cited in Vecchio et al.Organizational Behaviour Edition 2, Harcourt Brace, 1996, p 452.

a. the conflict concerns a minor issue,

b. the potential disruption outweighs the benefits of

resolution,

c. an immediate decision would be based on incomplete

information, or

d. it isnecessary to reduce emotion and regain perspective.

Accommodating

13.12 An accommodating strategy involves cooperative andunassertive behaviour. This is not necessarily a weakness.Leaders may need to accommodate the need of others inorder to maintain harmony. Individuals using anaccommodating strategy may neglect their own needs tosatisfy the group. Appropriate situations for the use of anaccommodating or smoothing strategy include:

a. an individual realises he has made an error;

b. an individual is not wedded to an issue of importance to

others, and values harmony and stability more; or

c. an individual wishes to minimise loss when outmatched

in argument.

Forcing

13.13 Forcing involves attempts to overwhelm an opponent withformal authority, the use of power, or threats. It is commonin individuals who are prepared to fight for what they want,ignore other people's views and needs, and who areuncooperative. This competing style can be appropriatewhen:

a. quick, decisive action is vital;

b. important issues and unpopular actions require

implementing, for example, cost-cutting or enforcing

discipline; and

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c. others attempt to take advantage of unassertive

behaviour.

Compromising

13.14 Compromising involves achieving the middle groundbetween two opposing views. In order to succeed it requiresboth parties to be willing to sacrifice and may mean the bestsolution for either party is not achieved. Compromise isused:

a. when goals are important, but not worth the disruption

of winning at all costs;

b. when opponents with equal power have opposing views;

c. to achieve a temporary result on complex issues;

d. toachieve thebest solution under pressure of time; and

e. as an alternative when collaboration or competition is

unsuccessful.

Collaborating

13.15 Collaborating is a strategy which attempts to resolveconflict through honest discussion, and is used byindividuals who seek long-term benefit or a winningsituation for both sides. The focus is more on the end resultand less on the needs of the individuals involved. Thisstrategy tends to be the best for resolving conflict in the longterm however, it may be the most difficult andtime-consuming. Collaborating is used:

a. to find an integrated solution when both positions are

considered too important to be compromised, and

b. to gain commitment through consensus.

13.16 Understanding the different strategies and when best toapply them generally leads to a better result overall, evenwhen an opposing party is uncompromising or unaware ofthe different conflict resolution styles.

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Section 13-4. Negotiation

13.17 Negotiation is a specialised and formal version of conflictresolution most frequently employed when important issuesmust be agreed. Negotiation is necessary when one partyrequires the other party's agreement to achieve its aim. Theaim of negotiating is to build a shared environment leadingto long-term trust and often involves a third, neutral partyto extract the issues from the emotions and keep theindividuals concerned focused. It is a powerful method forresolving conflict and requires skill and experience.

Conventional Negotiation

13.18 Individuals often employ the same strategies for conflictresolution as for negotiation. In particular, a competitiveapproach is often selected and the level of agreementachieved is consequently limited. Such an approach iscounter-productive for the creation of a long-termrelationship. Figure 13–3 represents this particularapproach with the two circles representing the opposingsides in the negotiation working in opposite directions toachieve their own ends. As a result, any resolution achievedis based on the smallest possible area of agreement.

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The area of agreement is reduced to a minimum

Figure 13–3: Conventional Approach to Negotiation

Principled Negotiation

13.19 Principled negotiating, known as the Harvard approach,involves seeking a winning solution for both parties. It isbased on widening the area of agreement between parties asa way of building long-term relationships. As a result thearea of agreement is constantly expanding as negotiationscontinue. This is illustrated in Figure 13–4.

13.20 The principled approach argues that:

a. everything can be negotiated, but not all attempts

succeed;

b. win-win approaches achieve the best possible results;

c. even if one party is reluctant, a principled approach is

more likely to be successful; and

d. if one party refuses to negotiate, then no negotiation can

be successful.

Applying the Principled (Harvard) Approach

13.21 Many individuals approach negotiation believing that theopposing position is wrong, which allows little room fornegotiation. The ‘principled negotiation' approach differs inthat it espouses:

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The area of agreement is increased to a maximum

Figure 13–4: Principled Approach to Negotiation

a. Mutual Trust. Mutual trust involves the belief that each

party will be honest and will commit to the agreed

results;

b. A Positive Relationship. A focus on solving the problem

rather than attacking the opposing party will lead to the

identification of common ground;

c. Shared Interests. Shared interests concern common

ground and agreed goals; and

d. A Zone of Possible Agreement. A zone of possible

agreement implies that the solution is not a single

option; it has areas that are negotiable.

13.22 The principled approach is based on four strategies. Theseare:

a. Separate the People from the Problem. Participants

consciously work to resolve the issue and to reduce the

negative aspects of past interactions with the same

people;

b. Focus on Interests not Positions. Positions are the stated

case of the participants in a negotiation often expressed

as simple and inflexible standpoints. Interests are the

foundations of positions. They are rarely expressed

publicly, and sometimes not clearly identified. Positions

are the public sum of privately held wants, needs,

concerns and fears – or interests that may change during

negotiation;

c. Invent Options for Mutual Gain. Once each side has a

clear idea of the interests of the other, it is possible to

start seeking solutions. A key element in this is to find a

variety of options that satisfy the needs of both parties.

Useful options will either benefit both sides or confer a

benefit on the receiver,at little ornocost to thegiver; and

d. Insist on using Objective Criteria. To ensure that

agreements can actually be implemented, effective

agreement and compliance must be judged by

measurable criteria that have been mutually agreed.

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13.23 The application of these strategies is illustrated in ‘TheSinai Case' at Annex A.

Guidelines for Negotiation

13.24 Establish Interests. During negotiation planning it isuseful to establish both parties' positions. Given thisinformation it is easy (but essential) to analyse theinterests, values, hopes and desires of both sides.

13.25 Build Agreement. Agreement can be viewed as a range ofpossibilities along a line ranging from rejection to fullcommitment to an idea. This is illustrated in Figure 13–5.Determining the level of agreement necessary to achieve thedesired result is essential in preparing a negotiationstrategy.

13.26 Adopt a Win-win Approach. The essence of principlednegotiation is that both sides win. It provides better resultsand is a more reliable guarantee of longer-termrelationships.

13.27 Identify Best Alternative to a Negotiated Agreement.Establishing a realistic bottom line is essential in preparinga negotiation strategy.

13.28 Reveal Strategy. When dealing with parties that will notnegotiate in good faith a useful tactic is to reveal one'sstrategy. Outlining the principled negotiation viewpointand inviting the other party to adopt this strategy is areasonable approach. If the other party adopts the strategythen the process is simplified dramatically. If this isunsuccessful then the cooperative party will still be seen asbehaving sincerely.

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Rejection Disagreement Neutrality Consent Commitment

Figure 13–5: Levels of Agreement

Key Points for Negotiation

13.29 Negotiation demands all the skills of conflict resolution.When attempting to achieve a solution that satisfies allparties, negotiators should:

a. avoid ultimatums which may limit the possibility of

compromise. Threats that cannot be enforced only

weaken a standpoint;

b. stick to the issues – separate the people from the

problem;

c. be hard on the problem but soft on the people – personal

attacks achieve nothing;

d. understand the feelings of both parties;

e. acknowledge that some discussions are better held later

and that it is acceptable to defer a discussion to a more

appropriate place or time, but not indefinitely;

f. provide reasons for a negative message. This will assist

in avoiding arguments and will appear to be a more

reasonable approach;

g. avoid using accusing language;

h. be inventive about options and discuss each option as it is

suggested;

i. provide an escape route for the other party by identifying

changed circumstances;

j. manage personal feelings;

k. focus on needs, not positions;

l. emphasise common ground; and

m. clarify agreements.

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13.30 Leaders need to develop significant skills in negotiation andconflict resolution. Conflict within a team can rapidlyreduce task effectiveness in even the most cohesive group.The leader also has the responsibility to create allianceswith other groups and to build agreements and long-termrelationships for the benefit of the team. Related guidanceon interviewing and counselling is contained in Chapter 18.

Annex: A. Application of Principled Negotiation – The Sinai

Case

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ANNEX A

CHAPTER 13

Application of Principled Negotiation – TheSinai Case

1. The occupation of the Sinai Peninsula by Israel after the1972 Arab-Israeli War posed a major threat to world peace.In the negotiations leading to the Camp David Agreement of1974, the four strategies of the Harvard approach deliveredsignificant advantages for negotiators.

Separate the People from the Problem

2. Despite the long-term hostility between Egypt and Israel,both sides agreed to focus on the Sinai, and to excludeconsiderations of earlier history and other matters that mayhave reduced the effectiveness of the search for a solution.

Focus on Interests not Positions

3. Egypt's ‘position' was that Egyptian, NOT Israeli forceswere to control the Sinai, which had been sovereignEgyptian territory for thousands of years. Analysis revealedthat Egypt's ‘interests' lay in sovereignty and national pride,rather than military occupation of the area. Israel's‘position' was that Israeli, NOT Egyptian forces were tocontrol the Sinai, because hostile forces located there couldreach Tel Aviv in a few hours. Analysis revealed that Israel's‘interests' lay in national security, rather than militaryoccupation of the area.

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Invent Options for Mutual Gain

4. Once the negotiators identified the ‘interests' of both sides,these became the focus in seeking a win-win solution.Options included: no Israeli troops in the Sinai, no Egyptiantroops in the Sinai, return of the area to Egyptian control,and the positioning of a multinational monitoring force tosupervise the agreement.

Insist on Using Objective Criteria

5. The complexity of the Agreement and the fragile nature ofthe relationship between the participants meant thatcompliance was critical to success for both sides. Acomprehensive timetable for troop movements and thepositioning of the Observer Force were key elements inachieving a successful outcome.

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CHAPTER 14

Understanding and Managing Change


14.1 The discussion on environmental uncertainty in Chapter 11indicates that post-Cold War there has been a shift from arelatively stable to a much more dynamic and complexenvironment. Status quo is not an option for the battlespaceof the future and change management is the key tomaintaining team effectiveness while adapting to changesin the environment. At the team level this involves beingable to read the patterns of a situation, identifying thefactors at work, and making choices that will serve theteam's best interests. Thus the need to successfully managechange is crucial.

14.2 The task of the team leader is to overcome resistance andmaintain team cohesiveness during the process of change.This presents challenges and opportunities for leaders andteam members to understand the need for change and toadjust accordingly.

14.3 This chapter highlights basic change theory, identifies thecharacteristics of effective change management andprovides a model for implementing change.

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Section 14-2. Understanding Change

Defining Change

14.4 Change is simply described as the process of passing fromone state to another. Change is necessary for organisationsto remain relevant. This can be the result of a deliberatedecision, for example, to continually modernise the Army. Inthis case it is termed ‘planned change'. Alternatively,change can be imposed on an organisation and thus isunforeseen. This is termed ‘unplanned change' and itrequires great flexibility and adaptability on the part of anyorganisation. The Government-initiated Defence EfficiencyReview in 1996, resulting in the Defence Reform Program,was an example of unplanned change that had a significantimpact on the Australian Defence Organisation.

14.5 Scope. Change may also be described in terms of scope.Change may involve small or incremental change such asfine-tuning team processes. Large-scale change is termed‘strategic change’ and usually involves a series of transitionsover a controlled period of time. Finally, change can bemassive in scale, and in this case is termed‘transformational change’. This type of change involves anorganisation's moving to a radically different and perhapseven unknown future state.

Forces for Change

14.6 The forces for change ranging from the organisational level(Army) to the team level can be both external and internal(see Figure 14–1). Major external forces that influence theArmy remain the diversity of the strategic environment,technological change and the pressures from increasedlegal, social and financial accountability. Within thebattlespace, external forces include not only weather andterrain but also the changing nature of conflict itself, forexample, non-conventional applications of technology forthe purposes of terrorism. Major internal forces within theArmy include the restructuring of many units due toongoing modernisation, outsourcing of non combat-related

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functions, changes to salary and conditions of service, andchanging personal expectations. For example, soldiers areincreasingly more educated and have different expectationsand motivations in terms of balance between career andfamily issues.

14.7 These internal and external forces constantly act on theArmy to drive change. Sometimes change may be a simplealteration to isolated processes, such as altering the methodof stores issue in a sub-unit Q store. At other times changemay involve a transformation affecting the wholeorganisation, such as the ongoing restructure of the Army.

Leadership Role

14.8 The ultimate objective of change within the Army is tomaintain the winning edge, ensuring success in battle.When change is not a matter of choice, leadership will need

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EXTERNAL

OperationalEffectiveness

Climateand

Culture

Safetyand

Security

Policyand

Systems

Personnel

INTERNAL

Political

Social Trends

Env

ironm

enta

l

Strategic

Tech

nological

Eco

nom

ic

Figure 14–1: Forces for Change

to implement change effectively while maintainingharmony within the team. In this regard leaders become‘change agents' or ‘change leaders' that is, an individual (orgroup) who undertakes the task of introducing andmanaging the desired change. Obviously this kind of changewill be intentional, goal-oriented and purposeful.

14.9 Change management may involve the use of externalconsultants. However, a person from within theorganisation may be used with the advantage that thisindividual knows and understands the culture and historyof the organisation. Further, because the internal changeleader will experience the impact of that change, he is likelyto be more careful in its management. A disadvantage inusing an internal change leader is that misplaced loyalty toexisting practice or inadvertent oversight can result in himnot making necessary, but difficult choices.

14.10 Change leaders should consider how to implement changewithin the team. Generally an effective change leaderrequires a balance of technical and inter-personal skills andis a tough decision-maker focussed on performance. Changeleaders must be comfortable with uncertainty and becapable of utilising more than one leadership style.

Target Areas for Change

14.11 Four interdependent areas may be targeted, depending onthe nature of the required change. These are illustrated inFigure 14–2.

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14.12 These elements are:

a. structure – the way the team is formed;

b. processes – the methods through which leadership

implements courses of action;

c. technology – how a change in requirement can be

assisted by a change in equipment; and

d. people – how leadership can utilise individual strengths

and overcome any weaknesses in order to implement

change.

14.13 While any of the four areas may be the specific target forchange, they are also interrelated. This implies that changesimposed in one area will usually flow through to other areas.For example, the introduction of new technology will usuallyrequire new skills by the users that may allow a specific taskto be completed in a different way. This may ultimatelyrequire a complete restructure of the group.

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STRUCTURE

TECHNOLOGY PROCESS

PEOPLE

Figure 14–2: Target Areas for Change

Levels of Change

14.14 The process and implementation of change generally occursthrough four levels, beginning with changing knowledge,through to attitudes, individual behaviour and groupbehaviour. These levels apply within a team or organisationand, at each level, change increases progressively in scaleand difficulty. This is illustrated in Figure 14–3 anddescribed below:

a. Knowledge. Changing the knowledge of a team is a

relatively simple process. This involves providing new

information and informing the team of the way in which

its activities are to be affected by the change.

b. Attitudes. Changing attitudes is more difficult due to the

involvement of team members'emotions and entrenched

attitudes. The leader must provide reasons for change

and clearly identify the outcome desired. With additional

knowledge however, attitudes may change over a short

time.

c. Individual Behaviour. Changing individual behaviour is

more difficult. Even if individual team members

understand the reasons for change, they will have

established patterns of response and behaviour that will

be difficult to alter. The leader has to assist team

members to adopt new strategies and encourage them to

replace old working patterns with new ones.

d. Team Behaviour. Changing team or collective behaviour

is the most difficult and time-consuming to achieve. It

involves changes both within the team and the wider

Army.

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14.15 The time required to implement change varies with thescale of the change attempted and the reactions of teammembers. Team leaders have a major influence inpromoting change, helping members to accept change, andsupporting them through change. People will accept changemore readily if leaders clearly communicate the reasons for,and benefits of, any change.

Section 14-3. The Process of Change

14.16 Implementing change involves replacing the currentpractices. The period of transition may be characterised bysome instability, as people grow accustomed to the newprocesses. This involves amending traditional practices thatare familiar and comfortable to the team. Once the change

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KNOW

LED

GE

ATTITUD

ES

INDIVIDUAL

BEH

AVIO

UR

TEAMBEH

AVIO

UR

TIME

DIF

FIC

ULT

YL

ow

Hig

h

Short Long

Figure 14–3: Levels of Change

has been implemented the new ideas must be supported andreinforced.

14.17 Figure 14–4 is a simple three-step model illustrating changeas a process involving ‘unfreezing' the current, ‘changing' tothe new, and ‘refreezing' the new state. In reality, given thestate of constant change in the environment, it will bedifficult to reach a state of stability when refreezing. Thepoint of the model is to offer a simple approach toconsidering change at the team level.

Transition and its Effects on the Team

14.18 Individuals. People find change unsettling. Initially thiswill lead to a reduction in productivity, morale and teamcommitment. This will occur even if team members want orsupport the change being implemented. Even well-plannedchange will be difficult until a ‘critical mass' of the teamreorientates to the new process.

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This phase begins tooccur when a situationis recognised as beingdifficult or inadequatein some way

Thisproblem recognitionmust occur beforechange can succeed.

e.g. Teamskills are not sufficient tocope with task.

This phase occurs whena new plan or system isimplemented. It mayaffect the whole team orjust the new membersof the team.

This phase occurs whenthe new behaviours ortechniques become partof the team's processes.During this phase theleader should evaluatethe effectiveness ofthe change.

UNFREEZE

Create feeling ofneed to change.

Minimiseresistance

CHANGE

Change from oldstate to new

REFREEZE

Reinforce positiveoutcomes

Evaluate results

Constructivemodification

MANAGING CHANGE

Figure 14–4: Basic Change Process

14.19 Transition refers to the process through which individualsexperience. Because individuals accept change at differentrates, the process cannot be planned precisely; howeversuccessful transition is neither random nor uncontrolled.During the transition process, and as indicated in Figure14–5, people go through a series of emotions. This is anatural human reaction to change.

14.20 It is important for leaders to understand and recognisethese emotional stages, both in themselves and in the team.A leader can best respond to change if he understands thereactions that may be experienced by team members.

14.21 Organisations. The transition process is similar at theorganisation level. The stages in this transitional phase maybe different to those of the team however, because of the

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DENY COMMIT

Shock/Relief

NegativitySelf-doubt

Resistance

Explore

External Environment

Pas

tF

utu

re

Internal Shift

SearchCommitment

Figure 14–5: Emotional Responses to Change

necessary time lag in implementation. By the time change isactually implemented in the team, it may have already beenembraced at more senior levels. Higher levels will generallyalso feel greater ‘ownership' of the change because they willhave either proposed it, or have been exposed to it longerand have carefully examined its benefits.

14.22 The middle level may be largely willing to accept the change,although reactions of anger or denial may not be uncommon.

14.23 Typically, lower levels within organisations have lessattachment to traditional methods and individuals at thislevel often adjust at a rate somewhere between the previoustwo groups.

14.24 ‘Transition misalignment' is the term used to describe theeffect of these different stages in transition. Leaders canminimise transition misalignment by:

a. clearly communicating the intent and rationale for the

change to every level;

b. providing education on the change process to enable

individuals to recognise transition emotions; and

c. endowing all levels with ‘ownership' of change. If

leadership effectively justifies the necessity to change,

the team ismore likely to readily adopt the alternative.

14.25 Leaders must be careful not to alienate members of the teamby disparaging traditional methods. An effective approachinvolves emphasis of the positive aspects of the new. In thisway, leaders minimise resistance to change.

Resistance to Change

14.26 Resistance to change is apparent in the reactions ofindividuals to the conditions created when structures,processes and technology are impacted. The four broadcategories of resistance to change within people and groupsare:

a. Uncertainty. Uncertainty is usually the result of a lack of

communication about the implementation of change;

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b. Threatened Self-interest. Shifting power balances can

threaten the political advantage of individuals or

groups;

c. Feeling of Personal Loss. The feeling of personal loss

involves the fear of failure, inability to cope with the

changes, the possible loss of job or reduced status, and

the disruption to inter-personal relationships; and

d. Conflict in Perceptions. Aconflict in perception will occur

where there is a negative reaction to the personality of

the change leader or to a perception that individual and

group needs are being ignored. In some cases, this may be

the result of cultural assumptions and values.

14.27 Some of the sources of resistance to change are illustrated inFigure 14–6 below.

Section 14-4. Managing Change

14.28 Managing change involves the ability of the leader to analysethe situation to determine the impact of change, to overcomeindividual and team resistance, and to manage effectiveimplementation. The following paragraphs provide the leaderwith some simple considerations in achieving this.

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Resistanceto

Change

PerceptionsPersonality

HabitThreats to power

& influenceFear of theunknown

Organisational DesignCulture

Resource LimitationInter-organisational

agreements

Individual Resistance Organisational Resistance

Figure 14–6: Sources of Resistance to Change

Analysing the Change Process

14.29 Force Field Analysis. Force field analysis (see Figure14–7) is a simple technique used to visualise the changeprocess. It is based on the idea that a person ororganisation's behaviour is the result of two opposing forces,one that pushes for change while the other pushes tomaintain the status quo. Forces that push for change aretermed ‘driving forces'. These may emanate from bothinternal and external sources such as reorganisation, thecommander's vision or technology. Resistance to changeprovides what are called ‘restraining forces'. They act tomaintain the current state and oppose the impetus forchange. If restraining forces prevail the change effort willstall.

14.30 Traditionally, resistance has been seen as a force to beovercome. Restraining forces can however, provide usefulfeedback that can be used to manage the change process.Strategies for managing resistance include communication,participation, empathy and support. Of these, open

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CURRENT

STATE

DESIRED

STATE

Reorganisation

Commander's Vision

New Technology

External Pressure

Entrenched Culture

Fear of Change

Current Doctrine/Skills

Poor Communication

Driving Forces Restraining Forces

Figure 14–7: Representative Force Field Analysis

communication within a culture of trust is a key tosuccessful change.

14.31 The task of the team leader and change leader is to identifyand reduce the impact of these restraining forces ratherthan simply forcing change on the team. Reducing therestraining forces allows leaders to apply their ownstrengths at the appropriate time and place to ensuresuccessful change implementation within the team.

Overcoming Resistance in the Team

14.32 Individuals are generally resistant to the disruption of theteam as a result of change. There are four main reasons forthis:

a. Challenge. Many individuals will respond to a challenge.

The introduction of new technology for example, will

offer the challenge of mastering its handling.

b. Personal Satisfaction. Satisfaction in mastering a new

skill or satisfaction with effecting a smooth operation

may be a motivating factor. Many individuals grow with

new experiences.

c. Rewards. There are those who look to the rewards that

change can bring. They will accept change because there

is potential reward to be gained.

d. Fear. Many individuals will maintain the impetus of

change out of the fear of being left behind. They feel little

commitment to the change and will quickly condemn any

initial setbacks in its implementation. Yet, to remain

part of the group, they will proceed with the change

implementation.

14.33 Effective leaders must know their team members in order toassist them through the process of change. Some memberswill require encouragement, some may require restraint.The leader must have the ability to maintain group cohesionthrough the process of change. Some basic methods forovercoming resistance, and the advantages anddisadvantages of each, are identified in Table 14–1.

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Table 14–1: Methods to Overcome Resistance to Change

METHOD WHEN USED ADVANTAGES DISADVANTAGES

Education andcommunication

There is a lack of orinaccurateinformation andanalysis.

Once persuadedsubordinates gainownership andcommitment to thechange and often assistin implementation.

Time consuming if itinvolves largenumbers.

Participation andinvolvement

Change agents lackall informationneeded to developchange design andothers haveconsiderable powerto resist the change.

Participants usually gainownership andcommitment, and mayprovide relevantcontribution to improvethe plan.

Time consuming ifmany people areinvolved.Inappropriatecontribution maydilute the plan if notcarefully integrated.

Facilitation andsupport

When people resistdue to adjustmentproblems.

Best approach toovercome adjustmentproblems.

Can be timeconsuming andexpensive and resultsnot guaranteed in theend.

Negotiation andagreement

Person or groupwith power to resistor with something tolose.

Avoid resistance withrelative ease.

Time is needed and itcan raiseexpectations of othersfor the sametreatment.

Manipulation andco-option

Other tactics will notwork and theprocess is timecritical.

Quick and usuallyinexpensive.

Will lead to futureproblems and lack oftrust.

Explicit/Implicitcoercion

Speed is essentialand change agentshave considerablepower.

Fast and overcomes anykind of resistance.

Can result inresentment andalienation, leading tofuture resistance andproblems.

Implementing Change within the Team

14.34 There are numerous methods to guide the steps of change.All basically follow the three-step change process describedin Figure 14–4. The three steps can be further analysed toreveal additional steps to assist with managing the changeprocess within the team. These steps are described in Figure14–8.

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Ensure intended change is sound andlikely to succeed.

Determine current focus of the unit andclarify expectations from senior HQ.

Visualise the end-state to gain an idea ofhow the future will look after thechange.

Consider the positive and negativeimpacts of the change on all personnel.

Dispel initial fears by presenting factsand answering any questions.

Identify tasks needed, use time framesand allocate priorities.

Discuss with those affected and examineimplications. Ensure support byparticipation.

Provide briefings and training. Introducechange as a trial if possible. Supervisechange and resolve issues as they arise.

Monitor impacts and follow up to assist inthe adoption of change. Evaluateprocess.

Diagnose theSituation

Clarify thePresent

Visualise theEnd-state

Predict theLikely Effects

Answer anyConcerns

Develop Plan

Communicatethe Change

Implement thePlan

Consolidate andFollow Up

Figure 14–8: A Change Management Model

Factors in Successful Change

14.35 There are a number of key factors common to successfulchange. They include:

a. Pressure to Change. There must be a clear and

compelling reason for the change, one that can withstand

the scrutiny of team members. Reasons for change may

be the result of a reduction in team performance, new

competition, low morale, or a new regulation.

b. A Clear Shared Vision. There must be a clear view of the

team's objective. This may include defining the team's

current position and enunciating its vision. The vision

should be compelling and inclusive.

c. Achievable Initial Milestones. A vision alone is

insufficient. There must be a clear agenda enunciating

initial milestones. This plan has to be immediately

accessible to all team members to ensure a clear

understanding and shared commitment.

d. Capacity for Change. Sufficient resources must be

ava i lab le to ensure e f f i c i en t and e f f e c t i ve

implementation. Existing resources and capabilities

may prove insufficient. Failure to secure sufficient

resource support will lead to cynicism and frustration in

team members.

e. Model the Implementation. All leaders must ensure that

their behaviour reflects the new or desired reality. This

means role modelling desired behaviour as well as

demonstrating care and concern for the needs and issues

of the team. Any change will bring threats, real or

perceived. Leaders must be aware of these threats.

f. Reinforce/Solidify the Change. Processes or systems

related to change may need to be modified or supported.

This may involve rewarding desired behaviour,

developing new performance measures or adapting

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present systems. If appropriate behaviour is not

reinforced soldiers may revert to previous practices.

g. Evaluation and Improvement. In communicating goals

for the proposed change, leaders need to define the

criteria and measures for success. This must precede the

change process in order to allow comparisons of previous

and post-change positions. Failure to define the required

end-state and conduct evaluation may lead to subjective

or superficial assessment.


14.36 A rapidly changing environment places many demands onleaders. Change can emanate from both internal andexternal sources. It can prove a major source ofdissatisfaction and instability for those involved. Thisdisruption can reduce effectiveness or, conversely, it canstrengthen the team ensuring that it remains relevant andvital. Managing the implementation of change is a vitalcomponent of leadership.

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CHAPTER 15

Leading Teams


15.1 The previous chapters outlined the foundations ofleadership, described the various elements of the ALM, anddiscussed many of the skills and knowledge required byleaders. This chapter combines these essential elements ofleadership.

15.2 Within the Army context, a team is defined as a specific typeof group with an appointed leader who works towardscommon goals. The team can be large or small, short-lived orlong-term and can deal with single or multiple goals.

15.3 Teamwork is fundamental to the operation of the AustralianArmy and its importance cannot be underestimated.Teamwork is one of the core Army values that guidesbehaviour.

15.4 The essential elements of teamwork are not simply reflectedin terms of output, but also in the team's modus operandi.Each member of the team can play a vital role in enabling adisparate group to become a team. These teams may consistsolely of uniformed members or comprise a mix of civiliansand soldiers.

15.5 Regardless of the type or size of the team, members will findgreat satisfaction in belonging to a truly efficient team. As aleader few activities will be more satisfying than usingpersonal skills to create a team that consistently performs toa high standard.

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15.6 This chapter provides guidance for building, maintainingand leading teams.

Section 15-2. Understanding Teams

The Formation of Teams

15.7 Teams have always played a crucial role within the Army.This is particularly the case where soldiers may be requiredeither to use, or threaten the use of, controlled lethal ornonlethal force. An environment that can involve extremepersonal danger distinguishes the Army's role and itsleadership approach from that of wider society. To thrive insuch an environment, excellence in teamwork is aprerequisite. Teams also provide crucial speed andinitiative. Hence a desired team characteristic is the abilityto act in response to a commander's ‘intent' rather thanspecific direction. This will in turn dictate thecommunication and coordination needs within a team.

15.8 That said, it must not be assumed that all tasks requireteamwork. Some tasks are best done individually, althoughthe team may prompt and encourage that individual. Thedestruction of explosive ordnance by an ammunitiontechnical officer is an example of this.

The Advantages of Teams

15.9 The Army's operational environment has always relied onteamwork. It is most relevant when the environmentbecomes more complex, more technology dependent andmore reliant on quick reactions to changing situations.Some advantages of working as a team include:

a. harnessing the talents of individual members and

gaining synergy in group effort,

b. allowing the sharing of limited resources,

c. the ability to respond quickly to contingencies as they

arise,

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d. the ability to complete difficult or complex tasks that

cannot be completed on an individual basis,

e. greater social satisfaction for team members through a

sense of belonging or the opportunity to learn skills

involved in other activities, and

f. the ability to provide support to individual members.

15.10 Tensions within the team may also arise, particularly ifsome members are perceived to lack commitment to theteam. It is the leader's responsibility to ensure theseproblems are resolved so that the team remains focused andachieves its goals.

Team Structure

15.11 Team structure is vital for ease of communication anddecision-making and relies on two key considerations. Thefirst involves identifying the team's broadest goal.

15.12 The second consideration in determining team structureinvolves a focus on:

a. Clear Roles and Accountability. Team effort involves

individual responsibilities and accountabilities. Each

team member must have aclear roleand responsibility.

b. Effective Communication. Team effort requires effective

and reliable communication.

c. Performance Feedback. A clear understanding of each

individual's performance allows a leader to determine

development needs, suitable incentives and the

potential for increased responsibility.

d. Objective Judgement. Effective teams require access to

facts as a basis for sound decision-making. Most

importantly, these facts must be interpreted without

bias or false assumption.

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Section 15-3. Leading the Team

Forming the Team

15.13 There are many occasions when groups of individuals mustform teams. When there is a change of leadership or teammembership due to posting, when the team goals change, orwhen the team undergoes a major crisis it may requirerebuilding. Adopting the five stages of group developmentoutlined in Chapter 4, paragraphs 4.13 to 4.20 will assistleaders to adopt a strategy appropriate to the team's stage ofdevelopment.

15.14 Team Roles. The role of individuals within teams isdescribed in Chapter 4 on Group Behaviour (Table 4–1). It isthe responsibility of the leader to identify the variouspersonality types within the team and use them to bestachieve the team's goals. In some circumstances it will bepossible to place individuals in roles to which they areideally suited. This will enhance team cohesion andeffectiveness.

Components of the Leadership Task

15.15 The key components of the leadership task were identifiedin Figure 1–4 as setting direction, building the team andmanaging the team. Figure 15–1 expands on this,illustrating the process of leading a team with the leader asthe central link.

15.16 The Leader. The leader must demonstrate the team visionthrough behaviour and commitment. Communication skillswill be essential to allow the vision to be conveyed inlanguage readily understood by team members. Effectiveleadership guidance is crucial in team development. Itinvolves responsibility for developing individual talent,providing opportunity for growth, and challenges which willenable team members to learn and grow in confidence.

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15.17 Setting Direction. It is crucial for leaders to ensure thatthey quickly establish a clear understanding of mission,goals and roles. This statement must be easily understoodand meaningful to the team.

15.18 Building the Team. Leaders should focus on theinterdependent aspect of the group to ensure itseffectiveness. Being aware of stages in team developmentwill assist leaders establish norms and standards thatsupport a commitment to a shared goal. Guiding individualsand creating a decision-making climate will activatefreedom of action and risk taking within defined boundaries.This will require leaders to recognise the various talents inteam members and harness these to assist the team tooperate most effectively.

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SetDirection

Manage theTeam

Leader

Team

Build theTeam

Accurate DiagnosisDefine Vision

Communicate the Vision

Clarity of planand teamstructure

Defined goalsand feedback

Communication

ConflictResolution

ImplementChange

Build:Interdependency

Establish:Common PurposeNorms & standardsTeam CommitmentDecision-making

climate

Mentor individuals

Character & Competence

Figure 15–1: Leading the Team

15.19 Managing the Team. Managing involves planning ameans of achieving the goal or vision. Without planning androbust processes, the team is unlikely to be effective.Leaders must be flexible, receptive to feedback and able toimplement change as necessary. If team members areexcluded from the planning, problem solving and executionphases, the leader may be under-utilising the skills andresources of the team. Leaders will achieve the best resultsand commitment through involvement of all team members.

Teams and Teamwork

15.20 Teamwork refers to the environment of trust, support,interdependence and group effort that each leader mustcreate and sustain. This is not necessarily easy for theleader to achieve.

15.21 Effective teamwork requires structures and processesappropriate to the goals of the team. For example, a tacticalteam designed to execute a clear task requires a simplestructure and highly refined processes. All teams must bebased on a capable group of individuals who are committedto a common purpose. Within the Army, team members needto be action-oriented and possess a sense of urgency. Strongteam identification is also crucial. Pre-selection or otherstrategies that match the personal characteristics ofindividuals to the objectives of the team may increase itschances of success.

Developing Excellence in Teamwork

15.22 All teams can develop excellence to some degree throughprogressively improving the processes used. Thecharacteristics of effective teamwork are described in Figure15–2.

15.23 Common Goals and a Shared Vision. High performanceteams have both a clear understanding of the goal to beachieved and a belief that it is worthwhile or important.Allowing a shift in focus away from the goal, for political orindividual reasons, may result in ineffective teams.

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15.24 A Results-driven Structure. A team must have a structurethat is appropriate to its specific performance objective.

15.25 A Collaborative Climate. A collaborative climate ensuresthat teams work well together. Collaboration thrives in aclimate of mutual trust among team members. It allows theteam to stay problem-centred, with a free exchange ofinformation and communication. Involving team membersand ensuring their autonomy will promote collaboration.

15.26 High Standards. Setting standards of excellence raises thelevel of individual standards and thus has a direct impact onthe final result. Standards are influenced by a number offactors including individual expectations, team pressure tomeet objectives, concern over the likely consequences offailure, or from leadership that inspires and demands theachievement of certain outcomes.

15.27 Unified Commitment. A shared purpose and commitmentcreates a strong sense of team spirit and can blur theboundaries between self and others. There is a positive linkbetween active participation by team members and theirlevel of commitment. This also requires leaders to dealeffectively with non-contributing team members.

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CommonGoals and a

Shared Vision

ResultsDriven

Structure

CollaborativeClimate

HighStandards

UnifiedCommitment

CompetentTeam

Members

TeamLeadership

EXCELLENCEIN TEAMWORK

Figure 15–2: Characteristics of Excellent Teamwork

15.28 Competent Team Members. Both inter-personal andtechnical skills are necessary to achieve results. Personalcompetencies are more difficult to define than technicalcompetencies and can vary from team to team, but overallthere must be a strong desire within the team to contributeand work together effectively. This requires team membersto have clear roles.

15.29 Team Leadership. Effective leaders focus on the vision orgoal, on managing change, and on harnessing the energy andtalent within the team. This approach has three dimensions:

a. what the team expects from the team leader, includingimpartiality, personal focus and commitment, openness,and a willingness to confront and resolve issues;

b. what the team members expect from one another:competence, collaboration, team commitment, trust,support, sharing of information, and constructiveresponse to feedback; and

c. the decision-making climate: different climates make itpossible for team members to act confidently on theirown, to make choices, and take risks, rather than bepowerless and dependent on the leader.

A Team of Leaders

15.30 Leading a team is not a discrete activity. Within a team,leaders create other leaders by empowering their teammembers to take charge when appropriate. Outside of theimmediate team is a team of leaders working towardslarger organisational goals. For example, the CommandingOfficer (CO) and RSM comprise a familiar team. TheArmy's leaders will always be part of a team of leaders,directly influencing individuals with the team and ensuringthat actions align with goals.

15.31 Leaders must monitor the interaction of team memberswithin the team and ensure they maintain a focus on widergoals. For example, a section commander must ensure thatthe team contributes to the goals of the platoon. Likewise,the platoon must contribute to the goals of the company.This is a process of ‘aligning' the team goals and vision withthose of the higher organisation.

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The Systems View to Leading Teams

15.32 Every organisation is a complex system composed of manyinterrelated parts. Teamwork must also consider the widerenvironmental influence. Team direction, planning andprocesses, and teamwork itself must align with theorganisational purpose, systems and the generalenvironment of the team.

15.33 At the unit level, the performance by each team willobviously contribute to the overall performance of the unit.Similarly, the wider organisational system andenvironment influences the unit and so must be a factor inplanning team-level strategies. This interrelationship isillustrated in Figure 15–3.

15.34 The alignment of individual, team and organisational goalsor purpose is implicit in the diagram.

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Team

PURPOSE

SetDirection

Manage theTeam

Leader

Build theTeam

ENVIRO

NM

EN

TS

YS

TEM

S

Figure 15–3: Teams and OrganisationalSystems

Section 15-4. Maintaining the Team

15.35 The Army's team leaders are responsible for maintainingthe team as a cohesive unit. If leaders fail to balancecompeting demands, then they may have failed as teamleaders – even if the team achieves its external goals.

15.36 Team maintenance is particularly important to the Army,as many teams operate in an environment that is bothphysically and mentally challenging. Many of the tasksperformed by soldiers can only be achieved throughteamwork and will only be sustained if the team iseffectively maintained.

Tips for Maintaining Teams

15.37 Good team leadership involves a practical approach. Thiscan be achieved through:

a. establishing a team vision: if the team is sufficiently

small all members may be involved in this process;

b. continually referring to the team vision and defined

goals;

c. setting the boundaries quickly: every person should

know what the leader values, and the standards that are

required;

d. leading by example;

e. always being honest and admitting to uncertainties and

errors;

f. establishing effective communication procedures and

encouraging their use. Every member of the team should

be able and prepared to contribute;

g. making use of the knowledge and experience that

members bring to the team;

h. never belittling an individual's contribution. Individuals

must feel they have a valid contribution to make;

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i. remembering that leadership is about leading

individuals as well as teams. There are leadership

responsibilities in both; and

j. avoiding micro-management: creating an environment

that enables team members to take charge, use their own

initiative and take risks if necessary.

Solving Team Maintenance Problems

15.38 No matter how effective the team leader, tensions within theteam are inevitable. Team cohesion will be challenged bymany factors, including the environment, stress, overwork,personal differences, poor performance, and personalproblems. The team leader must find solutions thatmaintain the team.

15.39 The solution to a team maintenance problem may requiresupport from outside the team. More than one solution mayalso be available. The leader should also involve the wholeteam in problem solving where appropriate.

15.40 The Army's team leaders have access to a wide range ofsupport. Referring to rules and procedures, or by referenceto other people, including the RSM or unit chaplain canassist in resolving team maintenance problems. In someinstances the necessary solution may reside in military law.

15.41 Ultimately the leader is responsible for the performance andmaintenance of the team and its safety. This requires teamleaders to use their authority appropriately, noting therewill be times when directive leadership is warranted.

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Section 15-5. Preparing to Lead

15.42 Effective preparation for leadership requires planning,understanding the requirements of team leadership, and anability on the part of leaders to conduct a degree ofself-assessment. The better prepared leaders are to assumecommand the more effective they will be.

15.43 The principles of leadership behaviour are listed in Annex Bto Chapter 1. Practical application is essential and requireseffort. Often leaders will experience disappointments asthey progress but it is important they learn from theseexperiences and those of others. Leaders should alsocritically examine themselves and their team to givethemselves the best chance of becoming an effective leader.Every commander at every rank level must decide on apersonal leadership style.

Preparing a Personal Leadership Style

15.44 Given extensive reading, and understanding the qualities,knowledge and actions of team leadership, the early leadermay be able to develop his own personal leadership style.This style effectively links the ALM and the principles ofleadership behaviour in determining the way in whichleaders wish to lead their teams. Individual leadership styleshould consider the four components of leading teams asidentified in Figure 15–1 and the seven components fordeveloping excellence in teamwork identified in Figure15–2.

15.45 This does not however, take the place of a commandphilosophy. Rather, it should compliement the commandphilosophy and may assist in its preparation. It is importantto first develop a leadership style, as this will directly affectthe content of any command philosophy.

15.46 A personal leadership style is intended to guideunderstanding of the culture and environment of the teamand to ensure effective preparation for assuming aleadership role. This permits the examination of individualleadership style and values that will enhance leadershippotential and guide actions.

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15.47 Leadership is an immense responsibility, regardless of theteam or situation. It is important that leaders are wellprepared for their role. The principles of leadershipbehaviour and the components for developing excellence inteamwork form a dependable guide to effective leadership.In adopting a personal leadership style individuals shouldconsider the qualities they admire in an effective andrespected leader.

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CHAPTER 16

Leadership Realities


16.1 The realities of leadership can be assessed through anunderstanding of the distinctiveness of the Australiansoldier, what is expected from the military rankrelationships, and gaining insights from the real-lifeexperiences of soldiers who have met the leadershipchallenge on operations.

16.2 This chapter provides a short description of the characterand behaviour of Australian soldiers and what officers andnoncommissioned officers (NCO) expect from one another intheir leadership role. It also illustrates various aspects ofleadership and the impact of conflict, based on the selectedaccounts of soldiers' operational experience.

Section 16-2. Character and Behaviour

The Australian Soldier

16.3 Much has been written or said about the Australiancharacter, in particular that of the Australian soldier.Soldiers reflect the society from which they are drawn, andequally the ‘digger' is a strong influence on Australia'scultural identity. It is important for leaders to know theirteam members both as individuals and as soldiers if they are

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to be truly effective in their role. As a group, Australiansoldiers display certain features which include:

a. Typically, they have a sense of humour used to relieve

tension in arduous circumstances. They can be

irreverent and are seldom happier than when trying to

outsmart authority. Leaders therefore need also to retain

a sense of humour when confronted by this larrikin

behaviour.

b. They have a strong sense of loyalty and accept discipline

readily from those they trust. They are most loyal to the

people of their own small team and find strength in

camaraderie. There is a willingness for leaders to endure

common hardships.

c. They have integrity, a sense of duty, honour and pride in

the Army, but at the same time can appear to treat these

attributes irreverently.

d. Soldiers prize common sense practical solutions and

want to be involved. They can be very resourceful and

imaginative and the best results will be obtained by

encouraging them to use these abilities. Initiative and

improvisation are commonly-found qualities.

e. They can be difficult to lead. They like sustained,

consistent, sensible direction, not micro-management.

Until they are quite convinced of their leaders' capacity

and sincerity, they will persist in questioning tasks and

goals.

Section 16-3. Rank Relationships

16.4 Rank and appointment are the visible signs of the exercise ofresponsibility and authority. Rank is more than a title. It isa mark of trust, reflects a level of experience, and it conferscertain responsibilities upon the bearer.

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Basic Elements of Rank Relationships

16.5 Like the leader, the members of a group are individuals,each person possessing an individual dignity, hope,ambition, anxiety and weakness. Each has a differentbackground and experience and each responds to eventsaround him in a different way. These individual differencesaccount for a wide range of behaviours, some of which workin accordance with the team goals, and some of which workin opposition. Relationships with both seniors andsubordinates should recognise the overriding need toexercise skill, judgement and sensitivity.

16.6 In the field of human relationships the keystones areunderstanding, mutual trust, respect and communication.Leaders must understand, trust and respect the members oftheir group. Unless the group members respect, trust, andunderstand the leaders' intentions and efforts, the mutualrelationship will suffer. It is vital that leaders develop anability to manage team members, evaluate theirperformance, make decisions concerning them, and issueorders affecting them.

16.7 Communication is the means by which sound rankrelationships are instituted, developed and improved.Communication is effected not only through words but alsothrough the leader's presence, standards, behaviour andactions. Communication is a vehicle for leadership. Withoutadequate contact and communication, there can be littlepositive influence, development of a sound relationship, orexercise of effective leadership.

16.8 The rank relationships that the new leader will encounterand develop result from the various combinations of ranksand appointments that make up the functional groupswithin the Army; namely, soldiers, NCOs both junior andsenior, Warrant Officers (WO), junior officers and seniorofficers. The gaps due to rank must remain for disciplinaryreasons, although effective relationships can be formed,without familiarity, through mutual respect,understanding, fairness, and courtesy.

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16.9 The following paragraphs consider relative status andfunction and may enable a new leader to understand hisown status and relationship with others.

16.10 The Senior Officer. Commissioned officers hold a specialstatus through the receipt of the Sovereign's Commission.This is a status that should be maintained withoutcompromise. Senior officers have the greatest demandsmade on their capacity and ability. They need maximumbreadth of view, power of decision, strength of character andprofessional knowledge. These qualities are not acquired bychance but are the result of individual study and effort,adequate training, and extensive practical experience.

16.11 The Junior Officer. Junior Officers are required from theoutset to exercise full command over the soldiers for whomthey are responsible. They should seek advice from thosewho are better informed or more experienced. The wiseofficer actively consults with WOs and NCOs before makingdecisions in order to draw on the vast experience thatmembers of these ranks hold. This assists in building trustand respect between the junior officer and the experiencedsoldier. Officers are required to maintain a status ofleadership and high standards of behaviour throughexample, initiative and understanding.

16.12 The Warrant Officer. WOs also hold special statusthrough receipt of the Warrant. This places them in aposition of responsibility and trust, junior to commissionedofficers but senior to all NCOs. They are the soldiers whoform the connecting link between officers and soldiers andare the coordinator of people within their sphere ofresponsibility. Within the body of WOs the RSM has aparticular status and direct access to the CO. WOs aresoldiers of considerable ability and experience and as suchcan be relied upon to provide sound advice at critical times.

16.13 Senior Noncommissioned Officers. Staff sergeants andsergeants constitute a separate body, subordinate to officersand WOs but senior to all junior NCOs and soldiers. Theyform a body of experienced NCOs primarily concerned withthe supervision and coordination of junior NCOs andsoldiers.

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16.14 Junior Noncommissioned Officers. Junior NCOs formthe first group of leaders and are normally required toexercise direct command of the soldiers for whom they areresponsible. They perform their duties under the directcommand of an officer and under the coordination andsupervision of WOs and senior NCOs.

16.15 Soldiers. Soldiers form the body of the Army and look totheir direct supervisors, junior NCOs, for direction andleadership. Their ability to perform the task required ofthem, by their leaders, relies heavily on the ability of thejunior NCO to communicate the task requirements andsupervise their conduct.

Guidelines for Effective Rank Relationships

16.16 Guidelines for effective rank relationships include:

a. know yourself and be yourself: subordinates and

superiors expect normal behaviour and stability of

action;

b. whatever the situation, be fair, be firm, and be friendly;

c. avoid over-familiarity: while it may not always lead to

contempt, it can reduce objectivity. Popularity is not a

substitute for respect;

d. avoid meddling unnecessarily in the affairs of the team.

Where possible allow team members to tackle their own

problems. If required, be available and willing to help;

e. know your subordinates well, evaluate them objectively,

praise them where they deserve it, but correct or

discipline them when they have not performed in

accordance with their abilities; and

f. the leader should remember that he is never alone.

Officers, WOs and senior NCOs have vast experience in

developing effective working relationships and are

willing to provide advice on any given situation.

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What Noncommissioned Officers Expect fromOfficers

16.17 While officers often express their expectations of their NCOsin terms of standards and acceptable behaviour, NCOsseldom express their expectations of their commissionedseniors. NCOs expect officers:

a. to be strong, decisive and capable of applying all the

leadership principles;

b. to stay calm, exert firmness, and direct subordinates

when under pressure;

c. to stand up for their soldiers and respect their

sensitivities;

d. to be concerned for the welfare of their soldiers;

e. to know each of their soldiers and recognise their

achievements;

f. to supervise appropriately, avoiding micro-management

or the laissez faire approach; and

g. to give credit where credit is due: no commander is

stronger than the people he leads.

What Officers Expect from NoncommissionedOfficers

16.18 NCOs must understand the jobs of their soldiers and shoulddevelop an understanding of the next senior level inpreparation for the day they may be promoted into thatposition. Officers expect NCOs:

a. to be both technically and tactically proficient;

b. possess an intimate knowledge of unit activity. The NCO

should be in an ideal position to resolve a problem within

the ranks before it becomes a disciplinary matter;

c. to provide them the benefit of their experience,

particularly in the case of the new officer. Part of the role

of the senior NCO is to guide and educate the junior

officer in the subtleties of Army life; and

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d. to not attempt to overwhelm or bypass the young officer.

There can only be one commander at any level and NCOs

must respect this fact.

16.19 In the same manner, senior NCOs must assist junior NCOsso that they can benefit from their good example. Thisrequires senior NCOs to set this example.

Section 16-4. Real Life Experiences

Leadership Aspects from Experience in Battle

16.20 All individuals and aspiring leaders can draw inspirationfrom the lives and stories of outstanding individuals andfrom documented experiences. The following case studiesform an attempt to further bridge the gap between theoryand practice by highlighting selected situations involvingemotional stresses and the responses by leaders to handlingpeople in operational circumstances.

16.21 The seasoning effect of battle is of clear benefit in terms ofdeveloping battle efficiency. It is reputed to increase self andmutual confidence, and develop strong team spirit. Muchcan be done to prepare troops through realistic training, butthe highest point of battle efficiency will not be achieveduntil after the first action. Thus experience and confidenceare related. Equally, too much experience of battle can havean adverse effect and lead to battle fatigue. The followingsection covers several aspects of leadership based onexperience in battle1.

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1. Material derived from the New Zealand ‘Infantry in Battle’ notes on training,1950. This document (complied by the New Zealand War History Branch)collated results from a survey of 50 officers with distinguished service withinfantry units of the 2nd and 3rd New Zealand Divisions, under the direction ofthe then Editor-in-Chief Major General Sir Howard Kippenberger, KBE, CE,DSO.

16.22 Group Spirit. Most people are reassured by the presence ofcompanions. For this reason, two or three people, for example,should occupy weapon pits, especially at night or in closecountry. Similarly, patrols should usually consist of a team ofpeople who are familiar with one another. The tendency torely on mates is a valuable factor in maintaining morale.

Fear spreads quickly over a large number of men.Courage is appreciated quickly by a few andgradually spreads to the many.

16.23 Imitation and Example. Many actions in battle aredescribed as imitative and contagious. For example there isan instinctive tendency to run when others run. This effectis the same as the impulse to emulate outstanding bravery.

One of the most dangerous things that you can doin close action is to ask your men to turn theirbacks on the enemy. During an attack on MiteryaRidge my battalion was left with an open flank,and there was no option left but to retire so as to tieup with the new line of 24th Battalion. The reasonfor this withdrawal could not of course becommunicated to every man in the front line, andI realised that it was a very dangerous operationthat I had undertaken. In spite of my exhortationsnot to run but to withdraw quietly, a few broke assoon as we turned our backs to the enemy and itwas only with the greatest difficulty that Imanaged to halt what might have become astampede.

16.24 A personal display of courage can inspire a group to greaterendurance and even to acts of courage. This is particularlytrue of the brave example set by a leader which acts tosteady the group in a critical moment.

(At Maleme) the men had taken to ground againstopposition from the air and from the ground, andwere not willing to move any further forward. TheCO shouted ‘call yourselves bloody soldiers'; andbegan to move forward on his own. To a man thebattalion rose and followed.

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16.25 Recovery of Courage. The person who is truly afraidadopts any cover that is available and may be immovable.This condition calls for rapid understanding and theexertion of personality by the leader. Shouting or reproacheswill rarely have any effect, and the affected people must begiven a chance to rehabilitate themself by a stern order toget on with a specified duty or perform some simple action.This may include readjusting one's own or a companion'sequipment, carrying a message or performing someaccustomed routine. From these actions other actions willfollow and self-control will return. A person who overcomesfear this way will often make a good soldier. Allowed to fail,their fighting usefulness and in fact their lives, may beruined.

At Cassino, a platoon commander reported that

one of his men would not leave his sangar even

relieving himself in there. That night I had a talk

with the man and told him to accompany me on

my rounds. His rifle was loaded and handed to

him and we started out. As we progressed I

explained our own and enemy positions and all

details I could of the situation. Next night he was

waiting for me. Later he took control of himself

(and several others) and made a journey under

firewhich I should not have cared to take myself.

16.26 On War and Killing. Realistic exercise and battle-practicecan develop the essential teamwork required for war. Theleadership challenge lies in the individual reactions andsensations during actual conflict. The training of leaders forthis situation presents a more complex problem. Theaverage person has an aversion to killing a fellow human.This aversion can be partially overcome by training, but itwill survive into battle. Once a person comes under fire,however, and especially if he witnesses comrades woundedor killed, the aversion will be submerged by a desire to killthe enemy; if only to save oneself.

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l remember reducing one of my chaps to tears by

admonishing him for shooting an enemy soldier

trying to surrender during a bayonet charge at

Fort Capuzzo. He was not a ‘tough' man, but

worked up to a high state of tension.

16.27 Verbal Orders in Battle. At section and especially platoonlevel, leaders will need to make their voices heard above thenoise of battle. To this end, commanders need to develop thecapacity to give orders forcefully but without excitability.When a situation is ‘most' dangerous the need for personalleadership is greatest.

Outside Tobruk the 20th Battalion was being

overrun by tanks and on the flank of the 18th men

not in immediate danger were standing up to

surrender because the 20th were having to do so.

The CO's voice boomed out, ‘Get down and fight or

die', or words to that effect. The immediate result

was that men returned to their slit trenches and

many told me afterwards that they had an instant

feeling of being under control.

Selected Case Studies

16.28 From World War 1 – Courage, Initiative andExploiting Chaos. The following is from the personalaccount of Brigadier Edward Thomas Harnett (thenCaptain) serving as the Officer Commanding, C Company,17th Infantry Battalion, Australian Imperial Force, duringthe attack on Warfusée on the 8th of August 1918. Theaccount illustrates how chaos can be exploited despite poorsituational awareness. Spectacular results were achievedthrough Harnett's strong sense of mission, a thoroughunderstanding of the commander's intent and the effectivedisplay of the leadership qualities of courage and initiative.

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In the attack of the 8th of August the four

companies of the battalion were to attack

Warfusée village, ‘A' and ‘D' companies through

the village, and ‘B' and ‘C' companies round the

south of the village. Punctually at ‘zero hour'

(0420hrs) the artillery crashed down and I gave

the order for my company to advance.

The fog was the densest I have ever experienced,

and it was made worse by the dust and smoke of

the terrific barrage. Owing to the fog, smoke and

dust, I could not get in touch with anyone at all on

either of my flanks. It was most difficult to keep

direction, but with the aid of my compass, my

torch, and by observing closely the fall of our

artillery shells, I got a fair idea of our movements.

The 10 men under my immediate personal control

were in single file behind me, the Company

Sergeant Major being nearest to me. I could not

see the man immediately behind him, but by

passing orders through the sergeant major, I kept

the men under my command.

16.29 After proceeding in this fashion for some 1 500 yards underheavy machine gun fire and perilously close friendly andenemy artillery barrages, several German outpost lineswere crossed and some 23 prisoners captured.

About this time Lieutenant Rod Pettit with 30

men and Lieutenant ‘Jess' Willard with 20 men,

all of my battalion reported to me. 4.2 inch and 5.9

inch shells were falling very close to us. I

explained the state of affairs to them. The mist

was clearing and I could plainly see that there

were no troops on our front. Other than ourselves

there did not appear any troops there at all. ‘A'and

‘D' companies should have been there about this

time, to push straight through the village of

Warfusée, whilst ‘B'and ‘C' companies – the latter

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my own – should also have been there to attack

round the south of the village. The lack of

visibility had, to my mind, disorganised things

generally, in the early stages of the attack. I

decided to do the best I could with the handful of

troops available. I therefore instructed

Lieutenants Pettit and Willard with their 50 men

to do the job of ‘A'and ‘D'companies, whilst I with

my 10 men would do the job allotted to ‘B' and ‘C'

companies. These young officers never faltered at

my orders, and I greatly admired their courage

and later recommended them to my commanding

officer. They both received the Military Cross.

16.30 Significantly outnumbered, Captain Harnett's companyheadquarters, by then numbering eight soldiers,courageously fought through the artillery and enemymachine-gun fire to the battalion objective, and, byexploiting surprise, also captured the entire battery of theGerman 2/151st Foot Artillery and their howitzers.

I took the battalion objective at 0650hrs after two

and a half hours fighting and within a few

minutes of scheduled time. I forwarded to my

battalion headquarters a receipt from the

Prisoner of War Cage, for 196 prisoners.

16.31 From World War II – Leading by Example. In thefollowing account, Sir Roden Cutler was a Lieutenantserving in the 17th Division during the Syrian campaign.2

We got the gun in position: but it was obvious that

it was a position which was very open to shelling

from the enemy, and not a position which could be

defended. I decided that we must dig in and in

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2. Extract from a speech by Sir Roden Cutler VC at the Petro Fedorczenko MemorialLecture, ‘Leadership in Stressful Situations’.

view of our sheer exhaustion and the hard nature

of the ground, to concentrate on slit trenches for

the gun crews. I got a shovel from the tractor but

not one member of that gun crew had moved to

obey the order. They had just thrown themselves

on the ground in sheer exhaustion. I explained our

danger and told them the information given to me

by the local infantry commander that the area

had been shelled earlier. The gun crew sullenly

remained lying down. I was every bit as tired as

they were, but I continued digging and felt that by

example I could encourage them to do as I had

ordered. It looked as if I had failed and mine

would be the responsibility if the French had

recorded the target (as we would normally do)

opened fire and caused casualties. For five

minutes or so I had a potential mutiny on my

hands, but then one of the gunner's conscience

overcame his tiredness and he joined me. The

others gradually got up from the ground and

slowly joined the digging party until all were

involved. Fortunately, we were ordered out before

dawn so there were no adverse results of the initial

disobeying of orders.

16.32 From Vietnam – Qualities of a Junior Leader. Thefollowing is an extract of an interview with Major General‘Horrie' Howard in relation to his command of A Company,the 3rd Battalion during its tour of duty in Vietnam in1967-68.3

I think the soldiers expect and deserve,

competence. I am not convinced even now that we

are professional enough. I think we may take our

responsibilities a bit lightly. I believe the soldiers

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3. Interview by Major I.P. Goss.

will respect someone who knows his job. I think it

is terribly important to know the job and for the

troops to have confidence in that. You have to

know your people and you have to care for them

because I know that you can't pretend to do that,

particularly the caring. If you pretend to care and

you don't you will be picked up in thirty seconds

and you will be wasting your time.

Let me give you a example of how I believe it is very

simple for a junior leader to get respect and maybe

get people to walk through fire for him or her. It's

not very difficult to keep track of a soldier's

birthday. It's not very difficult, with a sense of

humour on a morning or afternoon parade if you

still have them, to give that soldier a birthday

cake, even if it's a lamington with one candle on it

and let the others applaud the birthday.

It’s not very hard to know if someone's wife or

children are sick, it's not very hard to ask how they

are going. I don't know if we pay enough attention

to little things like that and which make the

soldiers feel good. So I would summarise it (the

task for junior leaders) as learning your job and

being able to do it adequately and learning to

know your troops and caring about them. At the

junior level that'sprobably it, the rest will follow.

16.33 From Rwanda – Courage and Leadership. On 22 April1995, members of the Rwandan Patriot Army fired upon acrowd of refugees seeking shelter from a storm. Thefollowing is an extract from Corporal Andrew Miller'scitation for leadership and gallantry while sectionsecond-in-command, B Company, 2nd Battalion, the RoyalAustralian Regiment tasked with the protection of theAustralian medical support force at Kibeho DisplacedPerson's Camp in April 1995.

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Throughout the period of the massacre, the

Australian medical support force and the

infantry protection unit were placed under

intense pressure and immediate physical danger.

Corporal Mil ler displayed except ional

judgement, gallantry and leadership as he

performed his duties throughout the action.

Corporal Miller organised stretcher parties into

Kibeho camp to extract wounded, displaced

persons for treatment. During these tasks

Corporal Miller displayed sound judgement and

courageously led Australian stretcher parties,

with their wounded, to positions of safety through

direct small arms fire from snipers.

The leadership and gallantry displayed by

Corporal Miller ensured the safe conduct of the

extraction of wounded, displaced persons while

avoiding loss of life or injury to his fellow soldiers.

Corporal Miller's personal courage and the

disregard for his personal safety whilst in action

ensured that many civilian lives were saved

where they may have otherwise been left to die.

16.34 From Bosnia – The Challenges in a Conflict WithoutObvious Frontier. The issue of psychological problems asa result of peacekeeping and humanitarian operations haslong been identified. From Rwanda, Somalia and the formerYugoslavia, studies have identified a stress syndromespecific to peacekeeping operations.

In Yugoslavia we had neither allies nor enemies.

The danger came from the people we were

supposed to be protecting.

You are always in a state of stress.

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I needed to experience something more than

military routine.

16.35 On returning home:

Nothing had changed for the others but it had for

me. I had been away for 6 months, but it aged me

30 years.

You are misunderstood on both sides. By the

people over there and the ones back home. You're

asked ‘hey, what did you go over there for?'

When l came back everything was destroyed. I was

empty. I felt bad about myself. I thought l was the

only one, but they have found many guys with

similar problems.

16.36 A soldier explaining his violent over-reaction on returninghome, where he got into a fight and almost killed a man:

All because he gave me a funny look. Over there I

couldn't do anything, but at home there was

nothing to stop me.


16.37 The purpose of this chapter has been to offer aspiringleaders insights into the general character of their soldiers,what is expected from the rank relationships, and theopportunity to gain inspiration from the lives and stories ofoutstanding individuals and real-life experiences.

16.38 The essence of leadership is gaining the very best from everymember of the team in an environment of change,uncertainty and peril.

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CHAPTER 17

Leadership Training and DevelopmentTheory


17.1 All soldiers, NCOs and officers are expected to be able toeffectively lead their subordinates and, in many instancesinfluence and motivate their peers and superiors. Withinthe Army, leadership training is fundamental to thedevelopment of effective leaders.

17.2 This chapter provides guidance for leaders and, morespecifically, instructional staff responsible for leadershiptraining and development in the Australian Army.

Section 17-2. Developing Leaders

17.3 The Army requires a system that routinely developsleadership and ensures outstanding results from theeveryday efforts of the average individual at every ranklevel. It is essential that individual development beregarded as a continuous process of learning andself-development rather than as a defined set of practices.

17.4 Experience is a necessary component of learning. Thus thecomplementary processes of formal study and practicalexperience are ideal for leadership development, with anemphasis on an active rather than passive approach tolearning. An effective measure of learning is often the extentto which there is a relatively permanent change in anindividual's behaviour.

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17.5 As leadership is not so much taught as it is learnt,individual factors including personal motivation,self-knowledge, and reflection will determine learningoutcomes. Changing ineffective habits into effective habitsrequires a personal desire to change, an understanding ofwhat needs to change, and the skills necessary to effect thechanges. This often requires guidance from a coach ormentor and the linking of effort to some form of action plan.

Section 17-3. Distinction Between Training andDevelopment

17.6 Training and development are two distinct, yet relatedprocesses. Training involves the conduct of formal exercisesand activities as part of a structured program. The principalelements of Army leadership training include all-corpsleadership training conducted as part of junior and seniorNCO and junior officer training, adventurous trainingactivities and field exercises. Development involves anoverarching process that integrates training with life andprofessional experiences.

17.7 All commanders are responsible for the oversight anddevelopment of subordinates' leadership abilities. The Armyleadership training and development program is astructured approach that combines formal training andexercises with a wide variety of on-the-job experiences todevelop leaders at all levels of the organisation. Theprogram is also a key step in the development of eachindividual's professional mastery.

17.8 The acquisition of expert professional knowledge, leading toprofessional mastery, is the first and foremost requirementof an effective leader. Without this expertise the leader is apotential liability and may endanger the lives ofsubordinates especially during combat operations.Professional expertise is acquired through a wide variety ofmeans including developmental programs and operationalexperience.

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Section 17-4. Training Environment

17.9 In order to fully prepare and test leaders for their roleduring the perils of conflict, the culture, context, and theirassociated physical and mental stresses must be recreatedduring training.

Culture

17.10 Leaders are a product of their environment. Before leaderscan be trained, the individual qualities and behavioursexpected from soldiers, NCOs and officers outlined in theArmy's statement of ethos and values must be cultivated inthem. The ethos of mateship and principle of a ‘fair go',together with the values of courage, initiative and teamworkmust be instilled in each individual. These values are thecultural glue that bonds the Army and forms the keystonefor leadership training and development. They are anessential part of all Army activities and are introducedduring induction and initial employment training, thenrefined through routine military activities, characterdevelopment training, sport, adventurous training, andfield and barracks duties.

Context

17.11 Conflict is dynamic, unpredictable, difficult to control, andtherefore chaotic. Chaos is the result of the complexinteraction of friction, danger and uncertainty – theenduring features of war – and strongly influenced by fourvariables: human interaction, the physical domain,innovation and chance. Success in battle requirescomprehension and exploitation of these features andvariables.

17.12 Friction, danger and uncertainty will always be present inconflict and the challenge for training staff is to effectivelyrecreate these factors in training and developmentprograms to best prepare the Army's leaders.

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Section 17-5. Training Process

17.13 To successfully design, develop and conduct a leadershiptraining program, a thorough understanding of educationaland learning theory is necessary. These concepts providethe basis for the structure of and guidance on instructionalmethods. In designing, developing and conducting aleadership training and development program, it isnecessary to integrate a variety of training media. From apractical perspective, it is important that participants arechallenged and stimulated, mistakes are accepted and usedto guide further learning, and individuals encouraged toaccept responsibility for their further development. At theconclusion of the training program, participants shouldhave a sound understanding of the dynamic nature ofleadership including their own personal strengths,weaknesses, preferred leadership style and developmentalneeds.

Educational Theory

17.14 Within the Army, competence is described as the ability toperform activities within an occupation, function, or role, tothe standard required in that employment. The concept ofcompetence focuses on what is expected of an individual inthe workplace rather than on the learning process itself.Competence embodies the ability to transfer and applyskills and knowledge to new situations and environmentsand encompasses all aspects of work performance. Itincludes the requirement to:

a. perform individual tasks,

b. manage a number of different tasks within an activity,

c. respond to irregularities and breakdowns inroutine, and

d. deal with the responsibilities and expectations of the

work environment.

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17.15 For the Army to be an effective fighting force, individualsrequire competence in a wide range of fields. Some fieldsmay be specific to a particular occupation or corps (specialistcompetencies) and others require more general all-corpscompetencies that allow soldiers to work together as part ofthe total force. Leadership development is an importantall-corps individual and collective training requirement.

17.16 Skills, Knowledge and Attitudes. Skills, knowledge andattitudes are three components of competence that arerecognised within the Army. These components have beenadapted from the cognitive (knowledge), affective (attitudes,values and beliefs) and psychomotor (motor skill) learningareas.

17.17 Leadership training also encompasses cognitive,psychomotor and the affective dimensions. The cognitivedimension involves the prior knowledge and processesadopted in any given situation. The psychomotor dimensionencompasses the physical actions and emergency drills usedin carrying out an activity. The affective dimensionembodies interests, attitudes, values and the developmentof appreciation. It provides the key to understandingindividual motivation, group dynamics, leadership andinter-personal relationships. The affective area, or theattitude component of competency, is the dimension onwhich the bulk of a leadership program needs to focus.

17.18 To be effective, leadership training must replicate asaccurately as possible the psychological and physicaldemands likely to be encountered during operations.Exhaustion, fear and uncertainty cannot be simulated. Toensure success, leadership training must take individuals,teams, and leaders outside their established comfort zones.It must test people and provide a platform for learning.

Learning Theory

17.19 Learning is a change in an individual through a process ofgaining:

a. information;

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b. understanding and insights;

c. skills; and

d. values, attitudes and beliefs.

17.20 One definition of learning views it as any relativelypermanent change in behaviour as a result of experience.The definition has several features:

a. first, learning involves lasting change (both good and

bad);

b. second, it is concerned with behaviour. A change in

thoughts or attitude alone is not sufficient for learning. It

must be accompanied by a change in actions; and

c. finally, some form of experience is necessary. This may be

through direct experience, observation or practice, or

from reading and acquiring knowledge about a subject.

17.21 Trainers and educators have well-developed learning orinstructional strategies in order to teach or train anindividual. Some are very familiar to Army personnelthrough their normal exposure to the Army TrainingSystem at various schools and on courses, and many of theseprocesses are well described in the Manual of Land Warfare,Part 3 Volume 2, Pamphlet 6, The Instructor's Handbook,1984. Educators subscribe to different strategies which fallinto three main categories:

a. Behaviourism (Reward). Behaviourism is based on the

premise that learning occurs primarily through the

reinforcement of desired responses. The catchphrase is

‘reward'. The objective is to shape behaviour through

reinforcement and persuade the learner to adopt the

reinforcement so that the new behaviour is rewarding, in

itself.

b. Cognitivism (Tell). Cognitivism is based on the principle

that learning occurs primarily through exposure to

logically presented information. The catchphrase is ‘tell'.

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c. Humanism (Ask). Humanism espouses the concept thatlearning occurs primarily through reflection on personalexperience. The catchphrase is ‘ask'. The task of theteacher or instructor is not to plant ideas in the mind orrepertoire of the learner, but to extract lessons from thelearner's own insight and experience.

17.22 For simplicity, the behaviourist and cognitivist approachesare grouped under the category of ‘instructor-centred'methods. Instructor-centred methods rely on the instructorto fulfil the roles of subject-matter expert, entertainer,motivator and rewarder as well as teacher. Thedisadvantage with instructor-centred approaches is thatstudents can become dependent upon the instructor, andthus fail to develop strategies to become self-directed, a keyattribute of effective leadership.

17.23 The humanist approach is ‘student-centred'. Student-centredmethods allow students more control. Students exhibit agreater degree of self-direction and choice. The instructorassumes the role of organiser and students assume greaterresponsibility for standards, performance levels andindividual behaviour.

The Application of Learning

17.24 The best approach to use depends on the task and thetrainee analysis. Simpler tasks are appropriately learnt bybehaviouristic techniques, while higher-level tasks oftenrequire more cognitive input and humanistic insight. Theability of the learner is also a factor. Individuals learndifferently. Some learn mainly by seeing, others by hearingand others through action. Most individuals favour onemethod but a combination of all three is more common.

17.25 Learning does not occur without guidance. Just undertakingan activity does not ensure that the right lesson is learnt. Forlearning to occur, the experience must be facilitated. Thefacilitation of learning implies drawing personal insights andunderstanding from the participants based on their personalexperiences and observations. To do this instructors mustperform the role of team facilitator. This requires instructorsto establish rapport and communicate effectively with theparticipants.

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17.26 The concept of experiential learning is also used within themilitary context. Experiential learning involves practicalapplication followed by meaningful reflection on the lessonsimplicit in that application. Experiential learning ensuresthe most value is gained from practical activity. Much of theArmy's training is based on practical experience, andexperiential learning forms a real corollary to this.

17.27 Kolb’s concept of experiential learning is illustrated inFigure 17–1. Put simply, this theory suggests that, forlearning to occur, an individual must first have concreteexperience and then reflect on that experience in an attemptto find meaning. During abstract conceptulisation, thelearner draws conclusions through reflection and finallyenters a phase of active experimentation where ideas andconclusions are tested. This leads to new experiences andthe cycle continues. According to the concept, theory ismeaningless without experience upon which to reflect.1

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ConcreteExperience(exercises)

ActiveExperimentation

(forming newquestions, behaviours)

ReflectiveObservation(discussion)

AbstractConceptualisation

(readings)

Figure 17–1. Experiential Learning Process2

1. Adapted from Kolb, D.A., Organizational Psychology – A Book of Readings,Edition 2, Prentice - Hall, New Jersey, 1974, p. iv.

17.28 Within the Army, experiential learning techniques areapplied to team training and collective training. Theapplication of this theory differs in that individuals musthave already acquired an acceptable level of individualcompetence before experiencing collective training.

17.29 The real lessons in a training activity are often lost becausethe individuals or the group do not reflect on the experienceand learn from it. Debriefing or the reflection process is vitalto the conduct of leadership training because ultimately,character development, not skill acquisition, is the centraltheme running through all leadership training activities.

Building Individual Capability

17.30 In paragraph 17.14 competence was described (in part) asembodying the ability to transfer and apply skills andknowledge to new situations and environments. This isrelevant when individuals are operating in familiarenvironments with familiar problems. However, outsidethis construct, mechanisms are required that allowindividuals to cope with the chaos and friction of modernwarfare.

17.31 Increasingly, individuals require the ability to analyse vastquantities of data, deal with stress and fatigue, thinklaterally and formulate coherent, well-reasoned solutions.The medium that achieves this is education, referred to ascapability-building education (CBE). The need for a broadand diverse education to develop analytical and researchskills is principally, but not exclusively, an essentialrequirement for officers particularly at field rank and above.An officer training continuum requires bothcompetency-based training (CBT) and CBE.

17.32 Figure 17–2 illustrates the transition from CBT to CBE.

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2. Kolb, D. Organizational Psychology – A Book of Readings, Edition 2,Prentice-Hall, New Jersey: 1974, p. iv.

17.33 The left of the diagram represents the early leader'senvironment. This equates to recently appointed juniorofficers, and junior NCOs. Each individual has a core ofcompetencies (inner circle) that prepares him to deal with avariety of familiar problems in familiar situations. Theamount of freedom he will face in his operating environment(outer circle) is limited. The gap between the two areas isaddressed through attitudinal training that developsthinking and analytical skills to assist in solving unfamiliarproblems.

17.34 At the other end of the scale, experienced commanders,mainly senior officers, still require a core of competencies toaddress a variety of familiar problems. However, theiroperating environment is more expansive, creating a largergap between core competencies and the problems faced. Toaddress unfamiliar problems in a changing environment,these individuals must be equipped to think analytically,laterally and under considerable pressure.

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COMPETENCY-BASED TRAINING CAPABILITY-BUILDING EDUCATION

SENIORITY/INCREASED RANK

CA

PA

BIL

IT

Y-BUILDING

EDU

CA

TIO

N

Limited environmental freedomof movement

CoreCompetencies

CoreCompetencies

Considerable environmentalfreedom of movement

Familiar Problems/Familiar Context Unfamiliar Problems/Unfamiliar Context

Figure 17–2: Competency-based Training and

Capability-building Education

17.35 Focused education, in particular graduate andpost-graduate studies, develops analytical skills andencourages leaders to research widely, challenging existingboundaries. Both CBT and CBE are mutually supporting,not mutually exclusive.

Section 17-6. Training Content

Outcomes and Validation

17.36 Monitoring the effectiveness of all leadership training anddevelopment is crucial to the process. Critical aspectsinclude:

a. whether the participants are able to adapt their style tochanging circumstances,

b. whether participants adopt the appropriate style for thesituation,

c. whether participants are able to achieve tasks andmanage individual and team needs in a high stressenvironment, and

d. whether participants have transferred what they havelearnt during leadership training to their normal workenvironment.

17.37 Guidance on evaluation and validation strategies isprovided in the Manual of Land Warfare, Part 3, Volume 4,Pamphlet 2, The Handbook of the Army Training System,1997.


17.38 Leadership is an art; it concerns the interplay of emotions,feelings, attitudes and values. It is not simply a matter ofslavishly applying the ALM. It is about communicating,identifying, sympathising and empathising withindividuals. It involves being able to understand whatfollowers want, being able to predict how they will react,then influencing and directing their behaviour towards theachievement of a common assigned goal.

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17.39 Effective leadership training and development is also an art.Preparing soldiers and officers to lead in peace and duringoperations is complex and requires conceptuallysophisticated, yet relatively simple instructional programsand strategies. The theoretical approach outlined in thischapter provides the basis for the training and developmentof tough, adaptable, decisive and determined leaders.

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CHAPTER 18

Leadership Training and DevelopmentPractice


18.1 Leadership training and development is based on soundtheoretical principles to which the Army also adds a range ofproven practices. These include training based onestablished competencies, well-developed syllabi, trainingmethods and assessment techniques.

18.2 This chapter provides practical guidance for both the trainerand the team leader on the conduct of leadership trainingand the ongoing development of team members throughperformance appraisal, interview and counselling.

Section 18-2. Training

Competencies and Syllabi

18.3 The aim of military leadership training is to preparetrainees to lead in a wide variety of routine and high stressenvironments both in times of peace and on operations. Thisrequires both officers and soldiers to develop a wide range ofprofessional and personal competencies. For officers, therelevant leadership competencies are identified in the‘Command, Lead and Manage' functional grouping of the AllCorps Officer Training Continuum (ACOTC). The All CorpsSoldier Training Requirement (ACSTR) details theleadership competencies required of the Army's NCOs andsoldiers.

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18.4 Syllabi must include a variety of practical and theoreticalelements and expose trainees to routine and high stresssituations. Relevant unit training development staff mustensure they develop syllabi in accordance with the ACOTCand ACSTR.

18.5 The conduct of COs' hours, education in military history, theuse of communication skills, the conduct of personnel andunit administration, character guidance, field training,physical exercise, sport, and adventurous training allcomplement and enhance leadership training and should beconsidered for inclusion in training syllabi.

Training Methods

18.6 A wide range of training methods including quick-decisionexercises, field training, initiative tests, adventuroustraining, lectures, videos, private study, case histories,discussions and role plays can be used to make trainingvaried, interesting and relevant.

18.7 Leadership Development and Selection Exercises.Examples of the structured exercises that can be used todevelop and assist in the selection of leaders include:

a. Group Problem Solving. The group problem-solving

technique involves small groups in solving theoretical or

practical problems in a limited time without the

appointment of a recognised leader. Leaders will

naturally emerge from this process.

b. Artificial Leadership Problems. Leaders are appointed

to small groups that are set a task to complete. One or

more members of the group are instructed to disrupt

proceedings, and the leader's ability to deal with

frustration is observed.

c. Individual Problems. Individual problems may involve

either physical tasks or tasks requiring intellectual

ability. They are set on an individual basis to test for

special skills or knowledge.

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18.8 With imagination, leadership training and selection programscan be rewarding for all participants. For programs designedto select leaders for specific situations, care must be taken toensure that the problems are contextually relevant.

18.9 Training Resources. A variety of films and books coveringthe theory and practice of personal development, teamworkand leadership are available. In order to inspire participants,maintain interest and generate discussion, a diverse mix ofhistorical, fictional, humorous, classic and contemporarytitles should be used. Some proven practical titles are listed inAnnex A.

Processing and Assessment

18.10 Assessment. One of the keys to the conduct of successfulleadership training is the use of appropriate, objective andcompetency-based assessment processes and instruments.Trainees should be encouraged to experiment with a widerange of styles and approaches to enable them to learn whatis most suitable to each circumstance. Accordingly, minorfailures by trainees should be used to aid learning ratherthan be subject to unconstructive criticism.

18.11 Tools. During the conduct of leadership training, a numberof strategies can be employed to facilitate learning. Themost effective include After Action Reviews (AARs) anddebriefs. All are conducted at the conclusion of an activityand are used to draw lessons from the participants from arange of viewpoints. AARs focus on the practical steps andprocesses required to enhance future performance as well asdebriefs on emotional development. Detailed descriptions ofthese processes are in Annex B.

Section 18-3. Development

18.12 Teams and leaders must not only be trained, but alsonurtured and developed. Many formal and informalprocesses are available to achieve this. Formal processesinclude performance appraisal, interviews, counselling,trainee appointments and undertaking higher duties.Informal processes include coaching, succession planningand mentoring.

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Performance Appraisal

18.13 Performance appraisal is the continual process ofevaluating the performance of individuals. This is formallydone, in writing, usually on an annual basis. Performanceappraisal reports are a vital component of both the officerand soldier career management systems and the leadershiptask. They provide a record of assessment of performanceand a statement of development requirements and wishes.Performance appraisals provide the means for theindividual officer or soldier to understand his own strengthsand weaknesses, with a view towards improvingperformance.

18.14 Performance appraisal serves two purposes. Evaluation(promotion, demotion and discharge decisions), anddevelopment (counselling, coaching, improving andcareer-planning decisions). Importantly for leaders andtrainers, the information that builds a report is the sameinformation that should be used to praise or criticise at thetime.

18.15 Evaluation is largely a matter of Army process following thesubmission of completed appraisals, but development isvery much the task of team leaders.

Conflicts in Performance Appraisal

18.16 While the performance appraisal system may serve theArmy's requirements, it may not necessarily serve the goalsof the individual. On the one hand, individuals want validfeedback that provides information on self-improvementand their ability to compete for promotion or posting. On theother hand, they want to verify their self-image and berewarded. In essence, the goals of individuals imply anecessity to be open (to give valid feedback forimprovement), yet to be protective (to maintain a positiveself-image and obtain rewards).

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18.17 Individuals are naturally sensitive about receivingappraisals that may impact on their career, and if theprocess is not managed effectively, conflict may occur.Leaders must act as judge and jury in informingsubordinates of performance attainment, both because theArmy demands it, and because subordinates expect it.

18.18 To avoid the risks of negative feedback, individuals may failto use their initiative, and/or reduce the importance in theirown minds of performance appraisal data. Inexperiencedleaders may fail to give honest feedback in order to avoidgiving offence or causing confrontation.

18.19 Other possible outcomes of poor performance appraisal andfeedback are defensiveness and resistance. If a teammember feels offended by the criticism rather than seeing itas an opportunity to improve, he may become defensive ofhis actions and find excuses. Instead of improving he mayend up resisting change. Performance appraisal is afunction of leadership, therefore leaders must make everyeffort through ongoing counselling and interviews toreassure subordinates of the fairness of the assessmentprocess and to provide them with a forum to express theirconcerns and grievances. Assessing officers must ensurethat performance appraisals cover the whole reportingperiod and do not focus unduly on recent events that may bemore memorable or fresh in their mind. Related guidance onconflict resolution is contained in Chapter 13.

Interviews and Counselling

18.20 Providing personal guidance to subordinates is a vitalcomponent of the leadership task. Appropriate use ofinterviewing and counselling enables the leader not only toincrease the effectiveness of individual soldiers, but alsogain maximum benefit from improved communication andconsistently high morale. Interviewing and counselling areseparate processes, namely:

a. interviewing may be described as a form ofcommunication directed towards guiding, aiding, orunderstanding another individual by means of aface-to-face dialogue. This can be either formal orinformal; whereas

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b. counselling is the discussion of a problem, with the

intention of arriving at a solution.

Interviewing

18.21 The purpose of an interview is to give or gather informationwith the intention of guiding the individual concerned. Theeffective leader will watch for behaviour patterns, andcorrect these early by means of an interview.

18.22 When to Interview. Soldiers and officers should beinterviewed on arrival in a unit so as to determine theiraspirations, qualifications and special skills. This will alsoprovide leaders with an opportunity to communicate unitpolicies and direction. They should also be formallyinterviewed on occasions such as prior to career courses, onpromotion, if exceptional service is noted, or discipline isnecessary. Finally, on leaving a unit, the initial procedureshould be reversed. During the final interview theindividual should be praised if special credit is due, so thathe or she leaves the unit feeling appreciated.

18.23 The Performance Interview. The most importantinterview is the performance interview. If soldiers are todevelop they must be constantly learning, but effectivelearning cannot occur without feedback or knowledge of theresults of performance. Feedback leads not only to improvedperformance, but also to higher morale. The performanceinterview is an effective means of providing feedback,especially where performance is either unsatisfactory oroutstanding.

18.24 Approach to Performance Interviews. The followingsimple checklist can be used as a guide when conductingperformance interviews:

a. emphasise strong points rather than simply criticising,

unless this is warranted;

b. note any improvements;

c. be specific, if criticism is justified, use it, ensuring it is

realistic;

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d. criticism and praise should be task-related not personal;

and

e. provide soldiers the opportunity to relate their version of

events.

Counselling

18.25 Counselling is a process, which involves discussion of aproblem with the intention of arriving at a solution. Its aimis to assist, support and nurture a team member in dealingwith a specific issue.

18.26 Identification of Problems. A leader may become awareof problems through indicators of individual morale thatmay include the following:

a. a decrease in work level;

b. an increase in alcohol consumption;

c. a change in mood, especially depression and/or shortness

of temper;

d. a loss of decisiveness and decrease in overall

effectiveness; and

e. odd or inconsistent behaviour, for example lack of

punctuality or requests for special leave.

Methods of Counselling

18.27 The various counselling methods fall into three categories:

a. directive counselling;

b. non-directive counselling; and

c. variable counselling that is a combination of the other

two methods.

18.28 Selection of the most appropriate method of counselling willdepend largely on the skill and experience of the counsellor.

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18.29 Directive Counselling. Directive counselling involves asituation in which decisions are made for the individualconcerned. The tone of the counselling situation is such thatthe counsellor analyses the problem, suggests varioussolutions, and recommends one to the individual. In amilitary situation this form of counselling should be usedrarely, if at all, and then only when the soldier's emotionalstate or complete lack of maturity forces the counsellor tomake the decision.

18.30 Non-directive Counselling. Non-directive counsellingoccurs where no direct suggestions are offered, but throughasking neutral questions the counsellor guides theindividual to see the problem in a clear light, to suggest owndecisions, and solve own problems.

18.31 Variable Counselling. The third method of counselling,and the method most often used and most suited to themilitary is a combination of directive and non-directivecounselling. In this situation the counsellor, by activelyassisting, helps the individual to identify the problem andarrive at the best solution independently.

The Results of Counselling

18.32 An effective counselling, will achieve the following results:

a. Advice. Valuable advice may be provided to the soldier.

b. Communication. Counselling serves as an opportunity

to improve communication within a unit.

c. Emotional Release. Soldiers may find that counselling

provides an emotional release and that tensions may

subside.

d. Clarified Thinking. The counsellor may help to put a

problem into perspective, allowing the soldier enhanced

clarity of thought.

e. Reassurance. The counsellor may be able to reassure the

soldier and givehimthe courage tomanage the problem.

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f. Re-orientation. Advice provided by the counsellor mayassist the soldier in realising his limitations andrealigning his goals as a consequence.

Training Appointments and Higher Duties

18.33 Two valuable methods in the development of leaders includethe granting of trainee appointments and the allocation ofhigher duties. These actions allow aspiring leaders todevelop a wide range of personal leadership strategies andstyles. These appointments should be accompanied byguidance and coaching, as appointees who are undertraining should not be expected to display the same level ofmaturity and judgement as more experienced personnel.

Coaching

18.34 Coaching is a powerful leadership development tool. Itrequires the active involvement of leaders in providingguidance, advice and fault correction. To be most effective,coaching should be properly planned and coordinated. Thekey elements of effective coaching include:

a. a clear indication of expected behaviour and standards;

b. the identification of key strengths and weaknesses;

c. consultation and agreement on approaches to reinforcestrengths and overcome weaknesses;

d. the design and implementation of personalisedprograms;

e. a review to determine whether the program hasimproved performance; and

f. a re-evaluation of individual needs.

Succession Planning

18.35 Leaders should also practise succession planning as ameans of ensuring continuity within the organisation.Succession planning requires leaders to train theirimmediate subordinates to assume their duties in theirabsence, and to identify and nurture potential futureleaders.

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Mentoring

18.36 Mentoring is a natural progression from coaching andsuccession planning and is an important means of ensuringindividuals reach their full potential. It involves providinglonger-term guidance and advice to subordinates on theadvantages and pitfalls of various career choices andpersonal actions.


18.37 The techniques outlined in this chapter provide a basis forthe development of successful programs for the training anddevelopment of leaders. This requires hard work,imagination, patience and foresight from individualcommanders, instructors and directing staff in designingand implementing these techniques and practices.

Annexes: A. Leadership Training Resources

B. Processing and Assessment Tools

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ANNEX A

CHAPTER 18

Leadership Training Resources

1. Table 18-1 details films and books which are available tocomplement understanding of the leadership task.

Table 18–1: Leadership Training Books

Title Author Theme

Hero or Coward Dinter, E. Courage

Men Against Fire: TheProblem of BattleCommand in Future War

Marshall, S.L.A. Characteristics of theBattlefield, OperationalLeadership

Acts of War: TheBehaviour of Men in Battle

Holmes, R. Characteristics of theBattlefield, OperationalLeadership

In Good Company McKay, G. The Australian Soldier,Army's Ethos and Values

They Dared Mightily Wigmore, L. Courage, Army's Valuesand Ethos

Broken Years Gammage, W. Military History, TheAustralian Soldier, Army'sEthos and Values

The Edge of the Sword Farrar-Hockley, A. Officer Qualities, Moraland Physical Courage

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Title Author Theme

One Man War: The JackMcLaren Story

Richardson, H. Courage andPerseverance

Fear Drive My Feat Ryan, P. Courage andPerseverance

Independent Company Callinan, B. Operational Leadership,Initiative, Courage andPerseverance

Timor 1942 - AustralianCommandos at War withthe Japanese

Wray, C. Operational Leadership

Bravo Two Zero McNab, A. Courage andPerseverance

Not as a Duty Only: AnInfantryman’s War

Gullett, H. Characteristics of theBattlefield , OperationalLeadership

Naked Island Braddon, R. Characteristics of theBattlefield , OperationalLeadership

Those Ragged BloodyHeroes: From the KokodaTrail to Gona Beach 1942

Brune, P. Characteristics of theBattlefield, OperationalLeadership

Essence of Decision -Explaining the CubanMissile Crisis

Allison, G.T. Decision-making

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ANNEX B

CHAPTER 18

Processing and Assessment Tools

After Action Review Case Study

1. In a far-sighted move the US Army has, over the last 15 years,developed three training centres as part of the NationalTraining Command (NTC). The result has been not only acomplete reinventing of the US Army, but also a growingculture of continuous improvement. The effectiveness of theprogram involved has been so remarkable that it has beenstudied, not just by other armies, but by major US companiessuch as Shell, Motorola and General Electric, and manymultinational corporations1.

2. The reason for the NTCs' success is twofold. The first hasbeen the uncompromising approach of using a realistic,dedicated, expert Opposing Force which in fact rarely loses.There is as little exercise artificiality as possible and theresult is often a complete change in the way a commanderleads. This occurs at every level of command, from theplatoon to the headquarters. As one officer put it, ‘The NTCexperience leaves no room for debate. Day after day you areconfronted with the hard evidence of discrepancies betweenintentions and faulty execution.' 2 Here is the relevancerequired for this kind of experiential learning to occur.Doctrine, theories and practices, as well as the individual's

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1. Pascale R., Millemann M. and Gioja L., Changing the Way We Change in HarvardBusiness Review, November-December, 1997, p. 126-139.

2. ibid., p. 127.

ability to apply them and the individual attributes andskills required to make them work can all be included aspart of the activity.

3. The second and vital part of the success of such a learningprogram is the use of skilled facilitators. Every person in aleadership or supervisory role has an instructor orobserver/controller who shadows him continuously. Theyprovide coaching and team debriefing. It is here that themost crucial step is taken. The AAR is the focal point of theexercise and it is in this non-hierarchical forum that thefacilitators assist the team to discover what went wrong anddevise solutions rather than simply revealing their errors.Every member, regardless of rank, is able to comment. Theyare able to understand those environmental factorspreviously hidden. The facilitators record the key themesand lessons. Every soldier is able to be part of defining theproblem and the solution. Any shortcomings of individuals,leaders or tactics are readily apparent.

4. The facilitator continually reminds the participants thatthey must ‘harness setbacks and failure as windows tolearning.'3 They also stress that the AAR disciplines can beapplied in other activities, in the barracks and on thebattlefield. This encompasses the transfer of learning inwhich the theories and practices that proved successful maybe adapted by the student. If the model was impractical orfailed, it will not be used again.

After Action Review Process

5. The AAR is a debriefing tool designed to draw the relevantpoints from the participants after an activity. It is astructured discussion of an event, focused on performancestandards to enable soldiers to discover for themselves whathappened, why it happened, how to sustain strengths andfix weaknesses. An AAR is not a mission debrief; rather, it is

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3. ibid. p. 138.

a training tool commanders can use to gain maximumbenefit from every mission, exercise and task. A missiondebrief relates to the tasks given, for example, passing onspecific information obtained from the conduct of areconnaissance patrol.

6. An AAR provides:

a. candid insights into specific soldier, leader and unit

strengths and weaknesses from various perspectives;

b. feedback and insights into critical training; and

c. additional details often lacking in debrief alone.

7. The AAR process has four steps:

a. plan;

b. prepare;

c. conduct; and

d. follow-up (using AAR results).

Planning and Preparation

8. Planning involves mission review and the identification ofkey issues for discussion. The commander should alsoconsider the need for non-team members to attend.Preparation of a suitable venue and the use of appropriatetraining aids where needed should also be considered asshould rehearsal which is a vital aspect for the conduct of aneffective AAR.

Conducting the After Action Review

9. As a guide, a section to troop/platoon-level AAR should takeapproximately 40 to 60 minutes. A recommended format forthe AAR is as follows:

a. introduction and scope;

b. review of training objectives;

c. commander's mission and intent;

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d. enemy commander's mission and intent;

e. relevant doctrine, tactics, techniques, and procedures;

f. summary of recent events (what happened);

g. key issues (why it happened, how to improve);

h. optional issues;

i. safety (or summarise any prior discussion about safety);

and

j. closing comments by the leader.

10. In order to utilise the AAR to best effect, facilitators shouldensure that:

a. answers/points are drawn from the group, not supplied

by the Directing Staff (DS);

b. DS should direct the AAR to ensure it remains focussed

on the learning points that trainees should take away

from the activity, not purely on what happened; and

c. the AAR is completed after each activity.

11. The following key points need to be addressed during theAAR process:

a. What was the purpose of the task? (Vision/commander's

intent, mission/goals? Was this well communicated?);

b. Was the purpose achieved? (Yes/No/Partly);

c. What was done well in the process? (Why was this done

well? Can it be improved further?);

d. What was not done well? (Why not? How can it be

improved? What would be the consequences if this

happened during operations?);

e. If the activity were to be repeated, how would procedures

be changed to ensure a more successful outcome?

f. What elements of leadership did this activity involve?

(Vision? Task, group and individual needs? Leadership

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functions? Leadership style? Culture and environment?

Wasclear communication bythe leader important?); and

g. Which of the following qualities were required of the

leader?

Ability tocommunicate

Courage (moral/physical)

Decisiveness Initiative

Integrity Loyalty

Motivation Responsibility

Selflessness/dedication toduty

Follow-up

12. Follow-up involves taking the lessons learned and fixing anyproblems. This may involve immediate retraining andrevising standard operating procedures, or integrating thelessons into future activities. AAR results may also assistwith post activity reports and, depending on the nature ofthe lesson, be considered for staffing to the Centre for ArmyLessons through the chain of command.

Debriefing

13. Debriefing is used after conducting an AAR. Its purpose is tohighlight lessons learned for the appointed leader. Thefollowing debriefing technique known as ‘funnelling' is onemethod that can be used.

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14. Funnelling. Discussion of an activity will often cover abroad range of issues. Funnelling uses a series of filters todirect the flow of conversation and to refine the main points.This is illustrated in Figure 18–1.

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EXPERIENCE

CHANGE/IMPROVEMENT

Filter 1:‘What happened?’

Filter 2:‘How did that affect you?’‘How did you feel?’

Filter 3:‘What have we learned?’‘What messages have come out of this?’

Filter 4:‘How does this apply elsewhere?’

Filter 5:‘What will we do differently next time?’

Figure 18–1: Funnelling Technique

This Page Intentionally Blank

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USERS CAN HELP THE ARMY TO IMPROVE ITS TRAINING

PUBLICATION.

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Fill in one of the tear-off cards attached to the next page, stating any ideasor recommendations for improving this or any other training publication.Be sure to fill in all spaces provided on the card. Hand the card in to theunit orderly room for forwarding, through normal command channels, toDoctrine Wing, TDG, LWDC who will acknowledge comments as soon asthey have been received. All adopted proposals will be incorporated intothe next amendment to the publication. Lengthy comments should beattached to the card and slipped into an envelope before forwarding.Additional copies of the Amendment Proposal Card may be obtained fromDoctrine Wing, TDG, LWDC.

TELL US ABOUT

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Errors, omissions or suggested improvements in:

Safety procedures

Security procedures

Technical procedures

Doctrine

Layout

Illustrations

Tables

Check-lists

IMPORTANT

If the submission affects SAFETY or SECURITY, the card should bepassed to an appropriate training supervisor for special handling.

Publication Title

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In Error

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I have read the publication and find that it is:

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LWD 0-2, Leadership, 2002

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