AIR AND SPACE STUDIES 300 Leadership Studies 2016-2017 Edition
Jeanne M. Holm Center for Officer Accessions and Citizen Development Air Force Reserve Officer Training Corps Academic Affairs Directorate Mr. James C. Wiggins, Dean and Director Dr. Kevin O’Meara, Chief, Commissioning Education Branch
Contributors Mr. Samuel Greene Mr. Houston Markham Mr. Bob Arrington Captain Andrea Gallegos Captain Carolyn Rocco Captain Lori Alix Production Staff Ms. Nicole Griffin, Tech Publications Specialist, Cover Design Ms. Chanel Wilson, Tech Publications Specialist Ms. Marche Hinson, Textbook Distribution This text was developed under the guidance of Mr. James C. Wiggins, Dean and Director, Academic Affairs Directorate, Holm Center, Maxwell AFB, AL 36112-6106. This publication has been reviewed and approved by competent personnel of the preparing command in accordance with current directives on doctrine, policy, essentiality, propriety, and quality. The views and opinions expressed or implied in this publication do not carry the official sanction of the Air Education and Training Command or the Department of the Air Force. Copyrighted materials used in this text have been reproduced by special arrangement with the original publishers and/or authors. Such material is fully protected by the copyright laws of the United States, and may not be further reproduced in whole or in part without the expressed permission of the copyright owner. Unless otherwise credited, photos and images in this text are provided courtesy of U.S. Air Force, U.S. Government, or other public domain free-use websites. This book is used solely for U.S. Air Force academic purposes and is provided to all registered students free of charge. ii AIR AND SPACE STUDIES 300 Table of Contents
Leadership Studies (LS), Profession of Arms (PA), Communication Studies (CS), Warfare Studies (WS), International Security Studies (ISS)
LESSON TITLE PAGE
Lesson 1 Introduction to Leadership Theory (LS) 5 Lesson 2 Air Force Core Values: The Bedrock of Character and Professionalism (PA) 6 Lesson 3 Air Force Leadership (LS) 20 Lesson 4 The Profession of Arms (PA) 21 Lesson 5 Self-Assessment (LS) 40 Lesson 6 Stress Management and Resiliency (LS) 41 Lesson 7 Team Building (LS) 43 Lesson 8 Sexual Assault Prevention and Response (LS) 44 Lesson 9 Motivation (LS) 64 Lesson 10 Followership (LS) 65 Lesson 11 Air Force Effective Writing (CS) 78 Lesson 12 Writing Strategies (CS) 84 Lesson 13 Basics of Briefing (CS) 95 Lesson 14 Full-Range Leadership (LS) 100 Lesson 15 Introduction to Critical Thinking (LS) 115 Lesson 16 Continuous Process Improvement (read only) (LS) 116 Lesson 17 Problem Solving (LS) 126 Lesson 18 Management Functions and Principles (LS) 143 Lesson 19 Change Management (LS) 144 Lesson 20 Editing Your Draft (CS) 145 Lesson 21 Professional/Unprofessional Relationships (PA) 149 Lesson 22 Professional/Unprofessional Relationships Case Studies (PA) 155 Lesson 23 Conflict Management (LS) 168 Lesson 24 Power and Influence (LS) 169 Lesson 25 “The Caine Mutiny” (LS) 170 Lesson 26 Air Force Equal Opportunity Program (LS) 184
Table of Contents iii AIR AND SPACE STUDIES 300 Table of Contents
LESSON TITLE PAGE
Lesson 27 Mentoring (LS) 200 Lesson 28 Leadership Authority and Responsibility (LS) 202 Lesson 29 Corrective Supervision and Counseling (LS) 222 Lesson 30 Counseling and Practicum (LS) 246 Lesson 31 Standards and Accountability (LS) 259 Lesson 32 Effective Supervision (LS) 274 Lesson 33 Leadership and Management Case Studies (LS) 284 Lesson 34 “12 Angry Men” (LS) 294 Lesson 35 Joint Ethics (LS) 296 Lesson 36 The Supervisor’s “In-Basket” (LS) 306 Lesson 37 Ethical and Moral Leadership in the Military (LS) 350 Lesson 38 CAPSTONE: “Remember the Titans” (LS) 362
iv Introduction to Leadership Theory
Student Preparation: • Read Lorenz on Leadership (pp. 5-7) in AU-24, Concepts for Air Force Leadership.
Cognitive Lesson Objective: • Comprehend the importance of leadership in the operation and success of any organization.
Cognitive Samples of Behavior: • Define the concept of leadership. • Explain the relationship between leadership and management.
Affective Lesson Objective: • Value the importance of leadership in the operation and success of any organization.
Affective Samples of Behavior: • Integrate the importance of possessing sound leadership principles into relevant classroom discussions. • Assert how effective leadership leads to organizational success.
5 Introduction to Leadership Theory 5 Air Force Core Values: The Bedrock of Professionalism and Character
Activity Statement: • Relate the Air Force Core Values to the case studies presented. Cognitive Lesson Objective: • Comprehend the importance of Air Force Core Values to Airmen and the Air Force mission. Cognitive Samples of Behavior: • Differentiate among the Air Force Core Values. • Identify the importance of Air Force Core Values to Airmen. • Summarize the impact of Air Force Core Values on personal and professional growth. • Identify examples of Air Force Core Values enhancing the dimensions of professionalism and character. • Explain the impact of Air Force Core Values on competence and accountability. Affective Lesson Objective: • Value the necessity for Airmen to exemplify the Air Force Core Values. Affective Samples of Behavior: • Assert the importance of Air Force Core Values • Defend the principle that Air Force Core Values are the bedrock of professionalism and character.
6 The Core Values are timeless. Throughout history, no matter what the country or culture, they have been identified as self-evident guides to right behavior. Former Air Force Chief of Staff, General Anthony McPeak, emphasized their importance when he said, “...we need first a new focus, a focus on enduring values that can guide us in a changing, more complex, often confusing world.” Core Values act as a compass. Just as a compass needle always points North no matter what our location, Core Values point in the right direction and help us make right decisions no matter what the circumstances. They are “True North” principles.
PROFESSIONAL INTEGRITY BG (Ret) Malham M. Wakin Some years ago one of the students in my medical ethics class approached me after the major research paper had been graded (it was worth 40% of the grade in the course). This student had worked hard during the course and had also worked hard on this 20- page paper but it was clearly a solid ‘B’ paper and there was tragic disappointment on the face of this student. “I need an ‘A’ on this paper to keep my ‘A’ in the course,” he said. “Please, you must raise my paper or you’ll jeopardize my chance to be admitted to medical school.” Now I was very much interested in helping this student achieve admission to med school because I believed he had the potential to be an excellent physician and I had said as much in the strong letter of reference I had written for him and sent to several med schools. But raise his grade on the basis of this request? My immediate response, provided almost automatically, was “I can’t do that.”...In a very real sense, what I want to discuss with you tonight is bound up with that answer—“I can’t do that.” When I gave that answer, I didn’t mean that I wasn’t able to do that or that I didn’t have the authority to do that. Physically and from the perspective of being the only instructor in the course, I could have raised that grade. And I didn’t mean that fear of external consequences prevented me from changing that grade, i.e., fear that I might get caught and possibly lose my job. No, what I meant was, I can’t change that grade because the work really was not ‘A’ work—it would be inappropriate to base student grades on “need to get into medical school” rather than “quality of work”—it would be unfair to other students whose work was graded on the basis of qualitative merit—all of these are certainly good reasons why “I can’t do that.” But perhaps what I also meant was that changing that grade to one I did not believe was earned would be a violation of my own integrity. My personal integrity, my self-respect, my ability to live with myself if I knowingly chose to do what I believed to be morally wrong, was probably a good part of the meaning of the sentence “I can’t do that.” But personal integrity is not the end of the story here. It seems to me there is also such a thing as professional integrity, which is related to, perhaps dependent upon, certainly compatible with, but different from personal integrity. There are communal or corporate values associated with the teaching profession that place role specific constraints on my behavior and these are in addition to the normal moral values that I have as an ordinary
6 Air Force Core Values: The Bedrock of Professionalism and Character 7 moral agent. One thinks immediately of the special obligation to be competent in the subject matter and in teaching techniques. Proper preparation; special concern for each student’s intellectual and yes, character development; fair and timely evaluation of student work—all of these and more constitute special obligations of teaching professionals. And the teacher, who is literally “in front” of the students constantly must be totally conscious of the example which he or she sets for students—we teach by what we are and do, perhaps even more than by what we say. Maybe all of this was what was constraining me—maybe this is what I meant when I said, “I can’t do that.” I have special responsibilities to the institution, to my professional colleagues, and to the community I serve in this profession, which really does matter, to the well being of our community, and they trust me. Consider a more complicated case, this time from the medical profession. As a general practitioner, I’ve just received the results of the blood tests on my 23-year-old male patient and he is HIV positive. He is also engaged to be married. I point out to him his responsibility to inform his fiancée because she has a right to know about the danger to her and to any future children they might have. He reacts very emotionally to my suggestion because he believes she will refuse to marry him if she learns he has the AIDS virus. He says to me, “you must keep my condition a secret from her and from everyone. You’re bound by the principle of patient confidentiality.” Upon reflection, I reply, “I can’t do that.” Now, what I mean when I say, “I can’t do that” is that the moral principles that guide me as a medical professional require me to act but in this case their guidance is not unambiguous. The principle of respect for my patient’s autonomy by observing confidentiality is a very important one and it does indeed constrain my conduct. But the competing obligation I have to prevent harm is also very relevant in this case and if I cannot persuade my patient to tell his fiancée himself, then I may judge that my duty to prevent harm overrides my duty to observe confidentiality in this case. My professional integrity is bound up in these competing moral principles and although it is extremely controversial here, I tell my patient, “I can’t do that.” It’s the spring of 1968 and I’m a young sergeant in a combat infantry company in South Vietnam. My platoon has captured an entire village of suspected Viet Cong sympathizers: 400 people, women, old people, children, and babies. We found no weapons in the village. My lieutenant orders us to herd them all over to the roadside ditch and shoot them. I say to him, “I can’t do that.” What I mean is, we can’t do that—no one can do that. I know that I have a duty to obey the orders of my superiors but I know that this order is in direct conflict with both my country’s laws and with the fundamental moral law against harming the innocent. Several years earlier, in confirming the Yamashita death sentence, General MacArthur said: “The soldier, be he friend or foe, is charged with the protection of the weak and unarmed. It is the very essence and reason of his being. When he violates this sacred trust, he not only profanes his entire cult but threatens the fabric of international society.” In this case of conflicting duties, my professional integrity tells me that my higher duty is to avoid harming the innocent and when I’m ordered to kill babies—I can’t do that.
8 These examples from education, medicine, and the military may help us to focus on this fuzzy notion of professional integrity. Integrity itself is a much-used term but very much in need of analysis. When we use the word “integrity” in a moral context we refer to the whole moral character of a person and we most frequently allude to one’s personal integrity. When we say to someone, “don’t compromise your integrity,” we usually mean, “act in accordance with your moral principles within your value system. Be consistent.” There is a real sense in which integrity encompasses our personal identity. As Polonius has it, “To thine own self be true.” But we must be very careful here. Consistency is not all there is to personal integrity. There is little merit in being consistent with your principles if “thine own self” is egoistic, treacherous, criminal, and abusive. This is why integrity has to do with “wholeness,” with one’s entire character and what that moral character is like is what counts. And subscribing to decent moral principles is not enough—we must act on decent principles—consistently. Others have noted accurately that integrity is the bridge between character and conduct. Several centuries ago, Aristotle pointed out that moral credit is not automatic when right actions are done nor is it enough to know what is right or to say what is right. He suggested that we are morally praiseworthy when we do a right action if we, first of all, know that the action is right, secondly, choose the act for its own sake because we know it is right, and thirdly, do the action from a firm and unchangeable character—from the habit of doing, that kind of action consistently. For Aristotle, it was very important that we develop the moral virtues through habit and practice, doing right actions so that they become part of our identity—our character. Integrity is the modern name we use to describe the actions of those persons who consistently act from a firmly established character pattern, doing the right thing. We especially stress the concepts of integrity when there is temptation to diverge from what good character demands. Persons of integrity do not stray from acting in accordance with strong moral principle even when it is expedient or personally advantageous to do so. Persons of integrity act like the ideal persons they are trying to be. This is perhaps what the ancient Taoist has in mind when he says, “The way to do, is to be.” Thus the wholeness of the good person, the total identity, is what we mean when we refer to his or her integrity. When we say, “don’t sacrifice your integrity” we really mean, “don’t stop being who you ought to be.” If I’m a member of one of the professions, then “who I ought to be” must also involve my social role as a practicing professional. My professional integrity will include the role specific obligations and responsibilities of my particular profession. I stress here the social character of professional integrity because the community is involved at every stage of professional development. First of all, the very existence of the professions results from some fundamental need that society has and it is likely to be an eternal need. The need that we have for health care, for example, is unlikely to go away and it is that need that over time has generated what we know today as the medical profession. It may come as a surprise to some to learn that the health care professions do not exist for the sole purpose of providing employment to health care professionals or profits for health care organizations. It is because of societal need that our communities develop and maintain medical schools and nursing schools.
8 Air Force Core Values: The Bedrock of Professionalism and Character 9 Similarly, every organized society will express its interest in justice by providing some variation of a court system and a legal profession. We need an ordered society; we want to be treated fairly; we seek justice. We train our judges and our lawyers in law schools supported by the community because of the important value that we place on justice. Similarly, we know how crucial education is to our society so we provide for the training of teachers; we know how important security is to our nation-state so we provide military academies and military training for the members of the military profession. No member of the professions can escape these ties to the community since they constitute the very reason for the existence of the professions. Thus, professional integrity begins with this necessary responsibility to serve the fundamental need of the community. Notice that the community makes possible the opportunity for one to become qualified in a given profession and usually allows the professionals the authority themselves to set the standards of competence and conduct of its members. Doctors control the licensing and certifying of doctors, lawyers do the same for members of the legal profession, and military officers certify and control the commissioning process for leaders of the military profession. Members of the public professions are thus educated and supported by the society because of the critical services the professions provide. In the case of teachers in public institutions and in the case of the military profession, practitioners are supported from the public coffers during their entire careers. Clearly, some of the role specific obligations are based on this relationship and on the authority to act on behalf of the entire society, which is literally bestowed on these professionals. With the authority to act goes the public trust and violations of that trust are serious breaches of professional integrity. For example, there were instances recently in the local public school systems where two male high school teachers engaged in sexual intimacies with teenaged female students. These teachers violated the trust they had been given; they violated their professional integrity. But let us direct our attention to the elements of professional integrity in the military profession to see if that will illuminate both our responsibilities as military practitioners and the relationships between professional and personal integrity. Professional integrity derives its substance from the fundamental goals or mission of the profession. For the military profession we might broadly describe that mission as the preservation and protection of a way of life deemed worth preserving. Just as in medicine one violates professional integrity by performing surgical procedures that are not medically indicated in order to increase the surgeon’s income, so too engaging in operations that are not militarily necessary in order to reflect glory on the commander would also be a breach of professional integrity. Killing unarmed prisoners, executing the elderly and babies who are not engaged in the attempt to destroy you is surely inconsistent with the goals of the military and hence a breach of professional integrity. In the military, as in all of the professions, the issue of competence is directly relevant to professional integrity. Because human life, national security, and expenditures from the national treasury are so frequently at issue when the military acts, the obligation to be competent is not merely prudential. That obligation is a moral one and culpable
10 incompetence here is clearly a violation of professional integrity. When a B-52 pilot is known to engage in unsafe practices, when he frequently endangers the lives of other aircrew members and people on the ground by performing forbidden flying maneuvers, then not only does he violate professional integrity, so do those colleagues and superiors who tolerate this conduct and take no action to prevent it. This aspect of professional integrity is worth noting. Part of the social aspect of professional integrity involves the joint responsibility for conduct and competence shared by all members of the profession. When fellow surgeons bury the mistakes of their incompetent colleagues rather than expose these colleagues and remove their license to practice they fall short of their responsibilities to the goals of the profession—they sin against professional integrity. Only fellow professionals are capable of evaluating competence in some instances and hence, fellow professionals must accept the responsibility of upholding the standards of the profession. Fellow officers can spot derelictions of duty, failures of leadership, failures of competence, and the venalities of conduct that interfere with the goals of the military mission. The wing commanders of that B-52 pilot who knew of his repeated safety violations and failed to ground him before he killed himself and others, failed in their responsibilities—they violated their professional integrity. Often the obligations of professional integrity may be pitted against personal loyalties or friendships and where the stakes for society are so high, professional integrity should win out. These lessons seem obvious in theory but are most difficult to put into practice, especially in the preprofessional training which takes place in military academies, medical schools, and law schools. Nontoleration of failures of professional integrity does not seem so crucial in training situations where the stakes are not too high. Perhaps this is why the penalties for tolerating lapses of integrity are ameliorated in training situations but then often seem sensationally tragic when enforced in the professional context. But professionals must learn the importance of the social elements of professional integrity and the responsibility they inherit to maintain standards of competence and conduct in the entire profession and not just for themselves. Society provides the training opportunities, the resources necessary for carrying out the professional function, and the authority to act on its behalf. With this authority to act and the autonomy, which usually accompanies it, breaches of professional integrity must be viewed as a serious failure of the societal trust. When a cadet at the Air Force Academy knows that a fellow cadet has plagiarized a paper to meet a deadline and takes no action to correct this behavior, he or she has violated societal trust in a fashion analogous to the colleagues who took no action to correct the unsafe B-52 pilot. If our preprofessional preparation does not inculcate the habits of professional integrity, can we have confidence that those habits will be practiced by these same individuals when they become licensed professionals? We derive other aspects of professional integrity as we examine the basic functions of each profession. If in preserving our way of life we must use the military instrument, then members of the military profession must sometimes go to war. If combat occurs then professional soldiers must fight. To refuse a combat assignment is to break faith with all other members of the profession and is a first order violation of professional integrity. It
10 Air Force Core Values: The Bedrock of Professionalism and Character 11 would be the equivalent of a teacher refusing to teach, a doctor abandoning patients, a judge refusing to hear crucial cases. Because the stakes are so high in the military case, this breach of professional integrity could be devastating to society. How are personal integrity and professional integrity related? There are varying opinions about this. Some people believe that one can live up to high standards of competence and conduct in one’s professional role—at the hospital, in the school, at the military base—but live an entirely different kind of moral life outside the professional context in one’s private life. Some think they may be required to do things in their roles as professionals that they would never do as private laypersons. Some instances of this dichotomy are obvious. As a private person I would normally not even contemplate harming other persons, yet as a military professional I am licensed to kill (under specified conditions) for reasons of state. A variation of this concern surfaced during an annual meeting of the Colorado Bar Association in the fall of 1995. One of the topics offered for small group discussion was the following one: “I would never do many of the things in my personal life that I have to do as a lawyer.” At the heart of this matter is the issue of client advocacy. Lawyers are enjoined to act in their clients’ interests and to do so zealously. In defending my rapist client whom I know to be guilty, I may cross-examine the innocent rape victim in such a fashion as to totally discredit her even though I know she is telling the truth. If it is legal and will help my client, it would seem that the standards of the profession require me to do it, even though in ordinary morality I would judge it to be wrong to harm an innocent person. This sort of example really is problematic for it appears to reveal a direct conflict between personal integrity and professional integrity. There are similar examples in medicine. Abortion for convenience is legally permitted in most US hospitals but some obstetricians believe that convenience abortions are immoral so in these hospitals they find a conflict between professional integrity and personal integrity. Now in most such situations, doctors and nurses are permitted to refuse to participate on moral grounds even though the action itself is legally permitted. Perhaps this is one key to resolving integrity dilemmas—what is legally permitted is not always or even usually morally obligatory. But I mention these possible clashes between professional integrity and personal integrity because I wish to minimize them. I wish to support the view that the two types of integrity are generally compatible and to foster the position that they are interdependent. What I wish to argue is that since professions exist to serve society’s need for important values (education, health, justice, security, etc.), the means used to provide those values and services should be morally decent means and the persons in the professions who provide them should be morally decent persons. Put in more direct terms, good teachers ought to be good persons, good doctors ought to be good persons, good lawyers ought to be good persons and good military professionals ought to be good persons. We want to live in a world where the duties of a competent professional can be carried out by a good person with a clear and confident conscience. That means that professional practices must always be constrained by basic moral principles. That this is not always the case now is obvious: several of the attorneys at the previously mentioned convention pointed out that they had left certain large law firms because they perceived that they were being asked to do things that violated their personal integrity.
12 Now in the best of all possible worlds, the moral restraints on professional functions would have made those same actions inimical to professional integrity as well. And this is the proper order of things. When professions go beyond their essential service function to society and distort their purpose toward profits, power, or greed then they lose the trust and respect of their communities—they stop being professions. Militarism is the pejorative term we use to describe a society or a military gone bad in the sense that it distorts the essential goals and function of the military profession. The twin sources of guidance we use to hold militarism in check are the just war theories and the laws of war. These twin guides are related in an essential way to professional integrity—they represent in the broadest terms, when and how the military instrument ought to be used. Well-established professions often spell out the role-specific principles which support that profession’s conception of professional integrity. The codes of conduct promulgated by the American Medical Association and the American Bar Association and state and local chapters of these groups are well known. The military profession has many codes, regulations, mottoes, and traditions, which combine to form a military ethic on which professional integrity is based. At the Air Force Academy we have our honor code, our honor oath, and our specific list of core values, which is now identical with the official list of core values of the Air Force. When we say that we value integrity first, service before self, and excellence in all that we do, we acknowledge that the essential nature of the military profession is to serve our parent society. We make specific our commitment to the conception that good soldiers are good persons. What we should mean when we commit ourselves to “integrity first” is that we understand the importance of both personal integrity and professional integrity and through our efforts to keep them compatible we will best provide the crucial military function to our society. The idea for a paper on professional integrity was suggested to me by a very thoughtful article written by F. G. Miller and Howard Brady, which appeared in this Hastings Center Report, May-June 1995. The Miller-Brady article, “Professional Integrity and Physician Assisted Death” pursued the thesis that under carefully delineated circumstances “voluntary physician-assisted death as a last resort...does not violate physicians professional integrity.”
Conclusion
Core Values are not just nice ideas to which we give lip service. They are foundational principles upon which a strong Air Force is built. The challenge to each of us is to gain a personal understanding of what the Core Values are and how to more effectively live them out as members of the Air Force. It is now up to you to take the suggestions from this reading and make them more than just words on a page. We encourage you to take time to think seriously about what has been presented here, discuss it with your friends and associates, and the work through the exercise, which will help you to develop a personal mission statement. The Air Force is flying into a very exciting future. It will be characterized by higher and higher levels of excellence as each of us continuously improve our ability and determination to live the Core Values.
12 Air Force Core Values: The Bedrock of Professionalism and Character 13 PERSONAL MISSION STATEMENT
Outlined below is a step-by-step procedure, adapted from the “Personal Mission Statement” process that will help you develop a personal Air Force mission statement. Personal mission statements can be broad, looking at our entire life, or more narrow, focusing on one aspect of our life. We encourage you to develop a broad mission statement, but for the present, we would like you to work on developing one, which focuses on your service in the United States Air Force. In working on this mission statement, it is important that you take your time. Think seriously about the Core Values. Take time to examine your values and your aspirations. Ponder the meaning of the mission and vision statement of the Air Force and how you relate to them. Remember that your Air Force mission statement should ultimately become part of and relate to a broader life mission statement. The steps presented below can easily be modified to assist you in developing such a statement.
Steps for Developing a Personal Mission Statement
Step One: Outline Your Personal Vision. Think about what kind of Airman you want to be. What character strengths do you want to develop? What weaknesses do you want to eliminate? As you think on your future in the Air Force, ask yourself what you want to do—what you want to accomplish, what contributions you want to make. Some of the elements of my personal vision are: • What I’d like to be • What I’d like to do
Step Two: Select a Positive Role Model. We’ve all, at some time in our life, been influenced by a positive role model—a person whose example inspired us. In fact, often our thoughts on what we want to be and do are a result of our experience with that person. Think about such a person in your life. It may be a teacher, a parent, a military leader, a friend, or work associate. Whoever the person was, think about what made him or her a positive example for you. Respond to the following, keeping in mind your personal vision as outlined in Step One: • My positive role model is: • The character traits I most respect in this person are: • I have become more like this person in the following ways: • I would like to become more like this person in the following ways:
14 Step Three: What Roles Do You Play in the Air Force? We each play a variety of roles in the Air Force. Identifying these roles helps us to think about different aspects of what we want to be and do as members of the Air Force. It is easy to think of ourselves in only one way—n terms of our specific Air Force job. In reality, we all have a variety of roles. Some of these roles include the following: Airman, contributor to the mission of the finest Air Force in the world, leader, follower, fellow worker, friend, team member, teacher, learner, etc. Define up to seven roles you play in the United States Air Force. Write them in the spaces provided in the following table. Next, think about a time in the future when you are being evaluated in each of these areas. What would you like that evaluation to say in terms of what you have accomplished? Write that in the space provided for each role. As you identify your Air Force roles you will come to understand the different areas you need to be working on to be a truly effective member of the Air Force. Writing the evaluation statements helps you to get the vision of what your possibilities are in those areas. This process will also make clear to you those values that are most important to you— the ones by which you really want to live your life.
Air Force Role Goal for the Role
Step Four: Draft a Personal Mission Statement. The first three steps have prepared you to begin working on your Personal Air Force Mission Statement. Using the thoughts you generated in the first three steps, create a rough draft of that statement on a separate piece of paper. Make this a working copy. Carry it around with you. Look at it often. Make changes as appropriate. Make notes to include in another draft. Redraft it when it seems appropriate.
Step Five: Evaluate and Reevaluate. A mission statement is not something to be filed away and forgotten. To mean anything it must become a living document, which serves as a guide to present/future behavior. It is, therefore, important to review your mission statement on a regular basis to check your progress and ensure what you are doing reflects what you have written down, and what you have written down still reflects what you really want to be and do. Some “checklist” questions to evaluate your mission statement include the following: • Does it reflect timeless core values? What are they? • When I think about what I could really be and do in the Air Force, is this it?
14 Air Force Core Values: The Bedrock of Professionalism and Character 15 • Does it pass the “mirror” test? Does it reflect values which, when lived out, will make me feel good about myself? Does it reflect what I really consider to be my purpose and vision as a member of the Air Force? • Do I feel motivated by it? • Do I have a plan for self-improvement, to include gaining needed skills, to help me accomplish my mission? Do I know where I need to start now? Does it challenge and inspire me to do my best?
Step Six: Write a Permanent Draft. Review it regularly. Remember, your mission statement is a personal leadership tool. Keep it before you, especially as you make decisions and plan your workweek. Memorizing it will help you to continually make your vision and values a positive guide to personal effectiveness. Much study has been done on the subject of values and their power to influence behavior. One result of this study is a clear understanding that a key to the power of any value in our lives is a personal acceptance of its importance and a commitment to live it based on that acceptance. In other words, a value must be deeply believed in by an individual to make a difference in his or her life. The Air Force cannot impose the Core Values on you—it can’t make you value them. On the other hand, as a member of the Air Force it is essential to you and to the institution that you do. Your individual success and the effectiveness of the Air Force team of which you are a part depend on it.
THE FLIGHT MISSION STATEMENT
The flight mission statement is as important to the success of the group as the personal mission statement is to each individual. In a time of never ending changes, the flight mission statement gives the team a solid foundation to focus performance and give direction. At the core of any successful organization is a shared vision and team values. The effective mission statement incorporates the vision and values of each individual into flight’s vision and values. It becomes the flight’s constitution. The standard by which all decisions and performance are measured. An effective mission statement is broad enough to cover the big picture and specific enough that each individual in the flight understands how it applies to his/her role in the flight. With this understanding, all flight members are able to develop personal goals that are in line with and lead to the accomplishment of flight goals which in turn lead to the accomplishment of the flight’s mission. Because everyone in the flight is measured by the mission of the flight, the flight mission statement must be written by everyone in the flight. This process helps everyone feel they wrote the mission statement. That participation will lead to more “buy in” to exerting the necessary effort to accomplish the mission.
16 An example of the cascading effect of the flight mission statement would be something similar to the following: Flight mission statement: “To become outstanding officers through teamwork.” The above mission statement is broad enough for everyone in the flight to get the big picture: As a team the flight will work to become outstanding officers. It is also specific enough for each individual to see what part he/she must play in helping the flight accomplish its mission: My individual goals must be geared toward applying myself to the point where I exert maximum effort to become an outstanding officer, which entails selflessly working to ensure my fellow flight members accomplish the same. With the above mission statement in mind, instead of a flight setting a goal of winning 90 percent of the field leadership campaigns, it might set a goal of spending five hours a week studying the theory of the four functions of management and applying them in their preparation for all activities. Each individual in the flight might then set a goal of studying the five functions of management for one hour every night and applying the philosophy 90 percent of the time in all activities. If each individual lives up to this goal, he/she takes one step closer to accomplishing the specific mission; becoming an outstanding officer. Consequently, the flight will be one step closer to accomplishing the broader mission; becoming outstanding officers through teamwork. The following mission statement is an actual mission statement written by the members of the OTS 22d Training Support Squadron. It is broad enough that the squadron as a team understands the “big picture” (it’s focus)—and specific enough that the youngest Airman understands where he/she fits into the team. Use it as a guide to help you build your flight’s mission statement. You will need to develop the flight’s mission statement and turn it in to your instructor. Later in the program you will review the statement and revise it as required. 22 TRSS Mission Statement: “To provide quality education and support to train and commission officers for the USAF.” The following table is provided to help you build your flight mission statement. It shows the criterion for writing an effective mission statement and the questions to ask when analyzing what you’ve written.
16 Air Force Core Values: The Bedrock of Professionalism and Character 17 Criteria for Building a Mission Statement Criterion Questions to Ask Critical Elements Does the mission statement clearly identify:
- Why the organization exists? - Who the customers are? - What the customers need and expect? - How the customer’s needs and expectations are met?
Durability It is the mission statement durable enough to remain in effect for an extended period of time?
Balanced Scope Is the mission statement broad enough so that the “big picture” comes across yet specific enough so that individuals in the unit can see how it applies to their day-to-day tasks?
Appropriate for Has all information that could have an impact on the mission Environment been considered?
Length and Affect Is the mission statement brief enough so that all individuals in the organization remember it (about 100 words or less) and does it have an energy level that will make it a unit rallying point?
Reality Check Will members of the unit “buy into” the mission statement because they believe it is realistic and achievable?
Flexibility Does the mission statement focus more on the needs of the customer than on a specific product or service, thus ensuring a broader vision and more flexibility?
Caution During this step, have the following been considered as appropriate: expectations developed during the Plan to Plan step, any promises made and relevant issues created for the flight by senior levels.
18 STUDENT/FLIGHT ASSIGNMENT
Using the information in this lesson, you are to create your own personal mission statement. In addition, you will create five supporting goals to help you achieve your mission. You may want to reference the reading for Group Dynamics when developing your goals. Similarly, you and your flight are to create a flight mission statement with five supporting goals. Complete this assignment and turn-in copies of these mission statements to your instructor by the end of the next duty day. Later in the program, your instructor will return these mission statements for you and your flight to review and revise as necessary. It is highly recommended that you and your flight track the progress towards or achievement of the personal and flight goals established during this assignment.
______Bibliography: 1. Foundations for Quality: Air Force Core Values, Personal Application Handbook, Air Education and Training Command, 1993. 2. Strategic Planning Lesson Plan, Air Force Quality Institute, Maxwell AFB, AL.
18 Air Force Core Values: The Bedrock of Professionalism and Character 19 Air Force Leadership
Lesson Preparation: • Read the following from Air Force Doctrine Volume II—Leadership: Chapter 1: The Airman (pp. 3–12), Chapter 2: Leading Airmen (pp. 27–29), Levels of Air Force Leadership (pp. 34–41), and Leadership Components (pp. 42–44). • Read Air Force Doctrine Annex 1-1—Force Development (pp. 13–21).
Cognitive Lesson Objective: • Comprehend the principles of Air Force leadership.
Cognitive Samples of Behavior: • Explain the purpose, application, and scope of Air Force Doctrine Volume II—Leadership. • Describe the fundamental elements of Air Force leadership. • Summarize the components of Air Force leadership.
Affective Lesson Objective: • Value the unique principles of Air Force leadership.
Affective Sample of Behavior: • Openly express acceptance of the principles of Air Force leadership.
20 The Profession of Arms
Student Preparation: • Read the attached reading and Chapters 1 and 2 of The Armed Forces Officer.
Cognitive Lesson Objective: • Comprehend the professional attributes and qualities of the Air Force officer.
Cognitive Samples of Behavior: • Explain what constitutes a profession. • Describe the three characteristics of a profession according to Samuel P. Huntington. • Differentiate between an institution and an occupation. • Explain why the United States has its officers take an oath to support and defend the Constitution. • Explain the country’s expectations of its officers.
Affective Lesson Objective: • Value the military as a profession.
Affective Sample of Behavior: • Defend the profession of arms.
21 The Profession of Arms 21 Since the dawn of recorded time, war has been an integral part of human history. There are many different theories that search to explain why war has played such a dominant role in mankind’s history. Some argue that war is an aberration in human character, while others contend that it’s a natural part of human behavior. Regardless of their personal convictions on war, all social scientists agree that military force has played an important role in human development. While we may wish for a world of eternal peace, we must be prepared to face enemies who may threaten our national security. To ensure the protection of national interests, our government has created the most powerful military force in the history of humanity. The United States military establishment— composed of four services: the Army, Navy, Marine Corps and Air Force—is capable of projecting immense power throughout the world. If this military strength was misapplied, it could easily destroy the very fabric of our society. As you begin your training, there may be some uncertainty about what it means to be a member of the Profession of Arms. In a very fundamental way, serving as an officer represents a special calling. The essential purpose of an organized military force is to defend the interests of the state, by force of arms if necessary. This task is unique to the military profession. There are those who have tried to compare the responsibilities of military officers to business executives. To be sure both occupations call for leadership abilities and involve the management of human and material resources. But what civilian corporation expects its executives to be available for work 24 hours a day, 7 days a week, and be ready to risk their lives on behalf of its stockholders? Most assuredly, executive job descriptions do not include the responsibility to lead others to their deaths. At its heart, the military profession is a calling that requires a devotion to service and willingness to sacrifice at levels far removed from the values of the marketplace. The unique nature of our profession starts to become more clear as you read the following comments by Martin E. Dempsey, General, US Army, Chairman of the Joint Chiefs of Staff 2012, in his paper America’s Profession—A Profession of Arms: The seriousness of our profession was most vividly explained by General Douglas MacArthur in his farewell speech to West Point Cadets in May of 1962 when he said, “Yours is the profession of arms, the will to win, the sure knowledge that in war there is no substitute for victory, that if you lose, the Nation will be destroyed, that the very obsession of your public service must be Duty, Honor, Country.” Our profession is a calling requiring unique expertise to fulfill our collective responsibility to the American people, “provide for the common defense and secure the blessings of liberty.” Our profession is distinguished from others in society because of our expertise in the justified application of lethal military force and the willingness of those who serve to die for our Nation. Our profession is defined by our values, ethics, standards, code of conduct, skills, and attributes. As volunteers, our sworn duty is to the Constitution. Our status as a profession is granted by those whom we are accountable to, our civilian authority, and the American people. All service men and women belong to the profession from the junior
22 enlisted to our most senior leaders. We are all accountable for meeting ethical and performance standards in our actions and similarly, accountable for our failure to take action, when appropriate. The distinction between ranks lies in our level of responsibility and degree of accountability. We share the common attributes of character, courage, competence, and commitment. We qualify as professionals through intensive training, education, and practical experience. As professionals, we are defined by our strength of character, life-long commitment to core values, and maintaining our professional abilities through continuous improvement, individually and institutionally.
TODAY’S OFFICER:
WAGE EARNER OR PROFESSIONAL? By Major Richard S. Workman II.
The following is reprinted in its entirety with permission from American Heritage Custom Printing and Major Workman.
Does professionalism mean the same thing when applied to different occupations, such as doctors, lawyers, military officers, artists, plumbers, and athletes? The answer, of course, is no. Some of these are considered professional occupations simply because the practitioners are paid for their skills; they are “professionals” instead of “amateurs.” If professional status were defined strictly in economic terms, then a military officer or a physician is a professional in the same way that Michael Jordan is a professional basketball player—all are paid for doing their jobs. This article discusses professionalism in its more profound sense, a professionalism that is an ideal and a goal to be sought among those with superior character and commitment. Social scientists have long attempted to determine the specific characteristics common to professionalism and professions. The criteria developed have contained anywhere from three to more than a dozen elements and, at first glance, do not seem to approach any common consensus. Two models however are reasonably representative of the diverse characterizations and have been developed by scholars who closely study the military and its relationship with the rest of society. Dr. Samuel Huntington and Dr. Allan Millett have created models of professionalism that are excellent starting points for evaluating the military officer career. After looking at these two models and comparing the officer career to them, the opinions of other scholars with more critical arguments will be examined. The article concludes with a look at a third model, this one developed by Dr. Charles Moskos, that describes the changes in the military’s organizational identity in the last 25 years. His institutional/ occupational paradigm helps to clarify how identity and commitment can affect attitudes toward the military career.
22 The Profession of Arms 23 HUNTINGTON’S MODEL OF A PROFESSION
Dr. Samuel Huntington, a Harvard professor of political science, developed one of the best known models of professionalism. His book, The Soldier and the State, is a classic study of civil-military relations and provides a detailed examination of the military officer career as a profession. Huntington looks at the economic, social, and political relations of the officer corps with society and government and closely examines the nature of the officer corps, what its characteristics are, and what sort of people are military officers. To answer these questions, Huntington begins by defining professionalism: a group of people working in a certain occupation can be considered a profession if the group exhibits three essential characteristics, identified as expertise, responsibility, and corporateness.
Expertise
A profession centers around a specific set of skills and a body of knowledge that is learned through extensive education and experience. This specific skill and knowledge sets the profession apart from laymen who do not possess them; the expertise also aids in developing universal standards of conduct and performance for the members of the profession. But professional knowledge is more than simply the possession of practical skills; it must also be intellectual and scholarly in nature. Professionals acquire this specialized knowledge through a process of extensive and continued education, usually involving undergraduate and graduate-level study, technical training, and additional professional schools. More specifically, Huntington views professional expertise as composed of three separate components.
Technical Component. “The ordinary skill or craft exists only in the present and is mastered by learning an existing technique without reference to what has gone before.” This part of expertise is learning the “tools of the trade.” Professionals learn and practice skills that are beyond the layman’s capacity to apply. In a science and technology-based profession such as medicine, these skills might include operating diagnostic and surgical equipment. In a less-scientific profession such as law, these might mean a knowledge of court procedures, rules of evidence, and elements of proof.
Theoretical or Intellectual Component. “Professional knowledge is intellectual in nature and capable of preservation in writing. Professional knowledge has a history, and some knowledge of that history is essential to competence.” The theoretical component involves an understanding of the “how” and the “why” of the technical component. For physicians this might include the philosophy and history of medical practice; for lawyers the theories behind the American judicial system; for military officers, the theory and history of military operations. This component of expertise also enables and requires professionals to understand and to apply new developments by remaining in contact with the academic side of their professional knowledge, through journals and conferences, and with their movement through practice, teaching, and research. The theoretical component separates the professional from the technician: the technician only needs to master a particular skill, but the professional needs to know why their skills accomplish the necessary task.
24 Broad-Liberal Component. “Professional expertise also has a dimension in breadth which is lacking in the normal trade. It is a segment of the total cultural tradition of society. The professional man can successfully apply his own skill only when he is aware of this broader tradition of which he is a part.” Perhaps the most complex component of expertise, the broad-liberal component may also be the most important for the professional. It involves the ability of professionals to understand the role of their profession in the economic, social, political, and cultural milieu of their society. Professionals must have an understanding of human behavior, relationships, standards of conduct, and organizational structures so their professional expertise can be best used to achieve desirable results.
Professional Responsibility
“The professional is a practicing expert, working in a social context, and performing a service, such as a promotion of health, education, or justice, which is essential to the functioning of society. The client of every profession is society.” Because of the complex nature of professional expertise, laymen are usually not fully capable of understanding what professionals do or how they do it so that professionals have a “monopoly” over a particular skill. Society is also not generally capable of determining whether a professional is acting competently or ethically, only another professional can make such a judgment. Hence, society and those needing professional expertise place great trust in the professional. For this reason, a special relationship exists between the professional and the client that is different from the standard relationship of the marketplace. It is called the “professional-client relationship.” Clients must accept the professionals’ “monopoly on expertise” by accepting their definition of, and solution to, the problem, which requires professional service. On the other hand, just as professionals expect clients to place affairs completely in their hands, clients expect professionals to abide by certain ethical norms and by high standards of professional conduct. Society requires professionals to perform their service when needed and to fulfill at least three obligations. First, the professional must not exceed the bounds of competence. This means two things. For one, professionals must never perform service outside the bounds of their specific expertise. It would be unethical, for example, for a tax attorney to defend an individual accused of murder, even though as a lawyer he may have access to the court system. And two, a professional must not exert personal prejudices or nonprofessional beliefs and judgments upon the professional-client relationship. A physician, for example, should not refuse treatment to a patient addicted to drugs, merely because of personal bias against the patient’s past conduct. Secondly, the professional should always act in ways that are wholly in the client’s best interest. For example, lawyers should defend clients because they intend to work conscientiously for the client’s interest, not because they stand to profit from selling transcripts of private interviews with their clients. Similarly, surgeons are expected to perform procedures only because they are really needed, not because they can make more money from them. Huntington says that financial gain cannot be the primary goal of a professional person when performing in the character or capacity of a professional.
24 The Profession of Arms 25 Third, the professional always acts with absolute integrity toward the client. Lawyers may use legal tricks, courtroom theatrics, and can argue over technicalities; they can fight their client’s cause as far as conscience and the practice of their profession will allow. However, they must never lie, cheat, or steal from their clients—integrity is an absolute necessity in the professional-client relationship. These obligations to clients are what Huntington calls “professional responsibility.”
Corporateness
“The members of a profession share a sense of organic unity and consciousness of themselves as a group apart from laymen. This collective sense has its origins in the lengthy discipline and training necessary for professional competence, the common bond of work, and the sharing of a unique social responsibility.” This shared sense of belonging among professionals can be called “corporateness.” It results first from their common bond of work. Professional people are likely to associate with one another, both during work and socially. Physicians may work together at a hospital or medical complex and lawyers may frequently see each other in court; they may also share the same leisure activities, symbols, private interests, and lifestyles. Second, professions desire autonomy. Professionals believe they should be able to provide their specific service to society in the way they think best—without undue influence from those “outside” the profession. Last, professionals desire to communicate with one another to share experiences, new techniques, and knowledge. This often manifests itself in “professional organizations.” For the medical profession in the United States, the professional organization is the American Medical Association (AMA); for the legal profession it is the American Bar Association (ABA). Other professions have similar institutions. These organizations often perform essential services for the profession and for the society it serves: they police the profession by ensuring a certain level of competence, often through examinations and specific input to licensing authorities; they control recruitment by setting standards for entrance into the education and training programs necessary for membership in the profession. They also promote professional knowledge through journals such as the Journal of the American Medical Association (JAMA) and through periodic conferences. In addition, the organization often represents the profession as the spokesperson for its members in public debates.
The Military Profession
Given Huntington’s model of professionalism, the question remains: does the military officer corps qualify as a profession? Huntington seems to answer this unequivocally: “The vocation of officership meets the criteria of professionalism.” Nonetheless, each of his criteria should be examined more closely.
26 Does the military officer corps possess a specific expertise separate from civilian groups? Even though the military has many different specialties and branches of service, Huntington believes the officer corps has a specialized skill, best summed up by Harold Lasswell’s phrase, “the management of violence.” More formally, Huntington states “The direction, operation, and control of a human organization whose primary function is the application of violence is the peculiar skill of the officer.” Quite obviously, officers at different levels of rank and experience possess this expertise in differing amounts. Huntington says the bigger and more complex the organization officers are capable of directing, and the greater the number of situations and conditions under which they can serve, the more professional they are. Officers assigned to, or capable of directing only minor military efforts may be at such a low level of expertise as to call into question their professional status. Officers who can lead the operations of an aircraft wing or of an aircraft carrier battle group are certainly at a highly professional level, and those who can combine the use of land, sea, and air forces in an effective joint operation are at the top of the military profession. Officer skills are neither primarily mechanical, meaning based upon the techniques and science of particular tasks, nor just an art, meaning a unique talent with which a person is born. Officership is, according to Huntington, “…an extraordinary complex intellectual skill requiring comprehensive study and training.” The specific skill of the officer is the management of violence, not the violent act itself. Flying an F-16 fighter, for example, requires background knowledge of warfare to be sure, but is primarily a mechanical skill. Directing an F-16 fighter squadron, however, requires far greater knowledge, leadership, and management ability. These can only be gained through continuous education and application of the theory and past lessons of organizing, training, equipping, and directing military forces. The specific expertise of the officer carries with it special social responsibilities. With the military power at their disposal, officers could conceivably use their expertise for their own personal or service advantage and might coerce or disobey the society they are pledged to serve. Huntington tells us officers have a profound responsibility—to maintain the military security of society—their client. Everyone in a society has an interest in its security and, while the government as a whole has a concern for national security along with other social values, “the officer corps alone is responsible for military security to the exclusion of all other ends.” Unlike physicians or lawyers, whose responsibilities are to individual patients or clients, military officers are responsible to society as a whole as “expert advisors.” Like other professions, however, officers can only serve their clients in the realm of their specific expertise. Professionals identify the needs of their clients and recommend a course of action, then apply their professional knowledge and experience once a decision is made with the client.
26 The Profession of Arms 27 Membership in any profession is limited to a carefully chosen group; the commission is to the officer what a license is to a doctor. Entrance is restricted to only those with the required education and training. According to Huntington, the structure of the officer corps includes “not just the official bureaucracy but also societies, associations, schools, journals, customs, and traditions.” Officers tend to work and to live apart from society, although this has been steadily decreasing over time, and probably have less contact with society outside of the officer corps than do members of other professions. “Heroic murals and status, customs, uniforms, and reveille and taps—all these things faithfully teach new leaders that they have entered a profession.” But what about the enlisted force? Today when we use the term professional soldier, sailor, marine, or Airman we think of every member of the military regardless of rank. Huntington says, however, that: “The enlisted personnel have neither the intellectual skills nor the professional responsibility of the officer. They are specialists in the application of violence not the management of violence. Their vocation is a trade not a profession.” This was perhaps true in 1957 when Huntington wrote The Soldier and the State, but the military of today is quite different. Enlisted personnel are entering the service with a higher education level than ever before and sometimes earn graduate-level degrees during their careers. With recent drawdowns of personnel in the entire force, many positions once manned by officers are now filled with noncommissioned officers (NCO). While it is still true that the enlisted corps cannot generally claim professional status, the higher NCO ranks may be individually qualified because of their high levels of education, responsibility, and career motivation. The military officer, as an abstract concept, fits well into Huntington’s model of a profession. Yet individuals make up the military service, not paper concepts or theoretical models. Meeting Huntington’s three criteria of professionalism should be an individual concern; perhaps more than other occupations, the professional ideal should be a specific goal of each military officer.
MILLETT’S MODEL OF A PROFESSION
Dr. Allan Millett, a retired US Marine Corps colonel, was a professor of history at Ohio State University and is currently a professor at the University of New Orleans. He is a prolific writer on the military and society. In his paper, Military Professionalism and Officership in America, Millett states that, “A profession is an occupation that has assumed all or some of the attributes generally regarded as typical of professions.” It then falls to the definition of these characteristics to determine the essence of professions. Millett admits there is no consensus, but goes on to list six attributes he believes are found in most professions—a list that closely parallels Huntington’s ideas.
28 According to Millett, a profession is first “a full-time and stable job, serving continuing societal needs.” Professionals provide a vital service to society even though every member of society may not feel they need that particular service. The medical profession helps to ensure the health of everyone in society through both prevention and treatment of illness and injury. Some members of society served by these medical professionals may not feel they need doctors because they are blessed with good health or perhaps base their health on particular religious beliefs. Physicians, however, are ever ready to provide their professional service to those in need, whether during office hours or after the end of their working hours. Most would agree that the level of health, well being, and the quality of life provided by medical professionals is vital to society’s ability to function effectively.
The second attribute requires the profession to be “a lifelong calling by the practitioners, who identify themselves personally with their job subculture.” Much of the lives of professionals, both public and private, revolves around their work. In our society, members of the clergy are held to a high esteem for their expertise, dedication, and morality. Joining the clergy means devotion to religious beliefs and service to the church’s congregation. Members of the clergy are presumed by the rest of society to have a lifelong commitment and must possess all the expertise of their profession. They are treated with the same respect, whether preaching in front of a congregation or having dinner with a family in a private home. Millett’s third attribute notes that professions are “organized to control performance standards and recruitment.” This means professionals have a monopoly of expertise. They consider themselves the only group qualified to judge whether a member of their profession is living up to the profession’s standards and code of ethics and whether applicants to the profession can meet the qualifications for membership. Standards of professional performance are usually determined by professional organizations such as the American Bar Association (ABA), which regulates the legal profession. College graduates who wish to become lawyers must meet certain standards to be admitted to law school and then must pass a bar examination to be able to practice law. A lawyer who fails to maintain professional standards of conduct or ethics can be disbarred and prevented from practicing law by the other members of his profession. Fourth, the profession requires “formal, theoretical education.” Professionals must have more than training in the practical aspects of their craft. Physicians need to have a foundation in the basic sciences to truly understand their profession, separating them from those who may only be skilled at first aid, the operation of medical diagnostic equipment, or the administration of medication. These are vital functions to be sure, but knowledge of these skills does not make practitioners members of the medical profession. Millett says, “professions are based on some system of specialized knowledge which is continually enlarged by academic research and experience.” For example, doctors go to medical conferences and read and submit papers to professional journals; they try to enhance both their profession and their own professional expertise and reputation.
28 The Profession of Arms 29 Fifth, Millett says professions must have “a service orientation in which loyalty to standards of competence and loyalty to client’s needs are paramount.” Clients requiring professional help must depend upon the judgment of a professional; they are layman and do not possess the expertise required to understand the professional service requested. A client requesting help from a tax attorney cannot on competent grounds contest the attorney’s opinion about whether or not a certain tax adjustment is valid. Because of the client’s vulnerability in the professional-client relationship, professionals have a society-imposed obligation to act only in the client’s behalf and never in their own self interest. This “service orientation” is a complex issue and recalls a contemporary controversy about the two primary examples of professions, doctors and lawyers. Do people join these professions to serve humanity or to make money? No doubt the motives for most are mixed, but the professional ideal set by this attribute provides a clear standard for conduct. The final attribute, according to Millett, is that the profession “is granted a great deal of collective autonomy by the society it serves, presumably because the practitioners have proven their high ethical standards and trustworthiness.” It is this last attribute that Millett says most separates a profession from other occupations. Autonomy is the right of self-government. Society grants autonomy to professions because they perform society’s most necessary, difficult, morally ambiguous, and unpleasant jobs. Lawyers must ensure the individual rights of even violent criminals are not violated during the judicial process; physicians must make life or death decisions about their patients and must deal with ambiguous moral issues. Professions desire autonomy so that those who lack the professional’s expertise will not have undue influence in the affairs of the profession. Millett warns, however, “the professional’s relative freedom is conditional and ultimately depends on continuous social approval.” If professionals do not police their colleagues adequately and if they abuse their privileged role, the entire profession could lose its freedom and “destroy trust as rapidly as it gained its relative autonomy.”
The Military Profession
According to Millett, an occupation’s claim to professional status depends on having some or all of the six attributes listed in his model. His attributes can be looked upon as a relative scale, the fewer attributes an occupation possesses, the less professional; the greater number of attributes, the more professional. As with Huntington’s model, the military officer corps seems to fit Millett’s professional model quite well. The military is a full-time job serving the needs of society. The days are long-gone when the defense of the nation could be put in the hands of a citizen-soldiery who would grab their muskets and powder horns from atop the mantel and rush out to meet the enemy. The technology and complexity of today’s warfare demands a full-time military that provides continuous deterrence and is prepared to fight when called upon. This is a need even in the post-Cold War world: from nuclear proliferation and terrorism to regional conflicts, from famine relief to peacekeeping, American society continues to need an organization to maintain its security.
30 The military is a lifelong calling for people who identify themselves with their job. The key word in this attribute is “calling,” a word normally associated with the clergy but deemed necessary for all professionals. Colonel Lloyd Matthews, US Army (Ret), writes, “On entering the Army, true professionals don’t simply ‘take a job.’ Instead, they ‘profess to a sacred calling,’ one that totally immerses them, along with their band of professional brethren, in a career dedicated to a single transcendent cause.” The American military’s calling is to defend the United States and the freedom of its citizens against any and all aggressors. Procedures and policies within the military control members’ performance, set standards, and regulate recruitment. Control is exercised within the profession by its members because those outside the profession do not possess the expertise needed to judge whether applicants have met the standards and whether members already in the profession are performing well. Matthews notes that the military regulates itself and its members to a higher degree than any other calling. Selection boards for commissioning, professional schools, promotions, performance reports, awards and decorations, and courts-martial panels are all well entrenched facts of military life. The military officer requires formal theoretical education. While no doubt highly educated, a question remains as to whether or not the officer has been given a distinct and unique body of knowledge, theory, and history beyond the normal undergraduate degree that can be taught by the military education system. Does the military have an equivalent medical or law school? Stated another way, some believe that officers lack a single defined specialty because society requires them to fill so many different roles. In addition to being a war fighter, military officers are peacemakers, advisors, managers, and many other things. Matthews recognized that officers must be versatile and adaptable, but stresses the critical role that comes above all others and that must not be forgotten—to lead soldiers into battle in defense of the country. This requirement can emerge at any time and without a distinct break from the other function. The officer may at one moment be feeding a starving nation and in the next be fighting against those that were starving. The events in Somalia in 1991 and 1992 are a reminder of why the military must be flexible and responsive to changes in the environment surrounding its operations. Others believe that military schools should concentrate more on the practical aspects of employing violence and should teach officers more about the latest technology for the modern battlefield. Matthew’s response to this is that military schooling, like other professional training, should maintain a tension between theory and practice. Physicians cannot practice medicine if they only know the theory of medicine: they must also be able to diagnose and treat patients. Trial lawyers cannot function in front of judges and juries unless they have mastered knowledge of laws practiced in mock trials, and served in apprentice courses. Thus it is in the military school system, where theory provides the foundation upon which practical skills are built.
30 The Profession of Arms 31 The military is service-oriented, where loyalty to standards of competence and the client’s needs are paramount. The officer’s clients are the people of the nation. Because the United States can no longer rely on the security of a force of part-time volunteers, the American people have placed their trust in the professional judgment of military officers. Officers swear to defend the Constitution, national values, and the American way of life. They advise their civil authorities and fight when necessary. According to Matthews, altruism is nowhere stronger than in the military, “where the incentive of a day’s hardtack and the chance to be of use stand in stark contrast to the opportunities for enrichment offered by some of the other professions.” Society grants the military a great deal of autonomy because of its members’ high ethical behavior and trust. The uniformed chain of command is in control within the military. During peacetime, military officers are given authority to organize, train, and equip the nation’s forces with little outside influence. Recruitment, promotion, and military justice are also handled within the profession. During war, military professionals are given authority to use the military resources of the nation much as they deem appropriate. Officers command not only expensive weapon systems but are also in charge of the most precious national resource, the lives of its soldiers, sailors, marines, and Airmen. No other profession can claim a responsibility of this magnitude. While the military does not possess a single, unified code of ethics, there is no shortage of ethical guidance. The Oath of Office; the Air Force Core Values of Integrity, Service, and Excellence; the US Air Force Academy and Officer Training School’s Honor Code against lying, stealing, cheating, and tolerating; and the Uniform Code of Military Justice all set ethical standards for the military profession. Standards that all members, if they wish to be a part of the Profession of Arms, must make a part of their very being. Hence, in accordance with Millett’s model, the officer corps seems to meet all six criteria and can claim professional status.
ARGUMENTS AGAINST THE MILITARY
AS A PROFESSION
Going beyond the military profession and the scholars who have studied civil-military relations closely, such as Samuel Huntington, Allan Millett, and Charles Moskos, one finds a good deal of discussion about why the military should not be considered a profession. Matthews cites several examples in the article Is the Military Profession Legitimate? A.M. Carr-Saunders and P.A. Wilson, in their article The Professions, excludes the military from professional status “because the service which soldiers are trained to render is one which it is hoped they will never be called upon to perform.” In his article Attributes as a Profession, Ernest Greenwood lists nineteen occupations as professions, from accountant to teacher, but does not mention the military. The US Census Bureau reports the military separate from its list of managerial and professional specialties statistics. Zeb Bradford
32 and James Murphy, while active military officers, wrote, “The military is not a profession in the way that certain other groups are, such as law and medicine.” They claim the military has no expertise it can call its own and that officers are merely paid “jacks-of-all-trades.” Even theories which have developed models that demonstrate officer professional status seem to agree that the military profession is different. Huntington noted that “the public, as well as the scholar, hardly conceives of the officer in the same way that it does the lawyer or doctor, and it certainly does not accord to the officer the deference which it gives to the civilian professional.” Janowitz writes: “In contrast to the public acclaim accorded individual military heroes, officership remains a relatively low-status profession. Similarly, Moskos says that in describing the military, the main hypotheses is that the profession has been moving away from an “institutional value” format “to one that increasingly resembles that of an occupation.” These statements can be reduced to three critical impediments to officer professional status, according to Matthews. First, since the military is a government bureaucracy, officers lack real autonomy and do not have interaction with a genuine client inthe traditional sense of profession. The officer’s client is a collective (the American people) and is usually at a distance, instead of being individual and in a close personal relationship. Moreover, professional discretion in the exercise of expertise is often threatened by the hierarchical and authoritarian nature of military and civilian government bureaucracies. Matthews answers this point by noting that technology and society are changing rapidly and that bureaucracies are a fact of life everywhere. All professionals are adapting their organizations to move into the future. Physicians are moving from small private practices into larger institutional settings and lawyers are taking their expertise into other occupations, such as business and law enforcement. While not practicing their profession in the traditional sense, are those doctors and lawyers any less professional than before? Are Air Force officers less professional because they work for an organization of almost 400,000 men and women? Matthews believes the answer is clearly “no” in both cases. Second, officers are not a member of a profession because their skills are used to kill and destroy. Unlike the physician, for example, who strives to preserve life. Moreover, the “management of violence” is a skill that most hope will never have to be used hence officers rarely practice their professional expertise. Matthews points out that the military provides a critical service of “deterring war and maintaining a secure peace.” to society that we all hope it performs. He also says that all professions deal in human frailty and disaster. Doctors, lawyers, and clergy all possess expertise, which most hope will never have to be practiced. The doctor deals with injury and disease, the lawyer with crime, the minister with sickness of spirit, and the officer with armed conflict. Because the world is imperfect, professionals are required to answer the call to deal with the results of these imperfections. Officer’s primary aim is to ensure security and peace in an ever-changing world, but he/she can only accomplish this task by always being ready to fight when called upon. Matthews drives this point home by quoting General Douglas MacArthur’s address at West Point on 12 May 1962,:
32 The Profession of Arms 33 Being prepared for war does not mean that you are warmongers. On the contrary, the soldier above all other people prays for peace, for he must suffer and bear the deepest wounds and scars of war. Prevention is a major tenet of all professions, whether the aim is peace, health, or justice; those who practice it deserve respect. The third argument against officer professional status is that the need for a “profession of arms” has passed now that the Cold War has ended and that more countries have converted to democratic and free market ideals. With only one superpower left in the world, no one can challenge the United States militarily and the need for a large professional force has abated. Some believe the United States only needs a force large enough to provide a contingent to the United Nations, since war is obsolete in this new era of peace. While other professional skills like medicine and law are still required, they suggest that the military officer corps should be denied professional status. If only this were so! Many have prophesied the end of warfare, but none have been correct. In the twentieth century alone, the United States has fought in two major world wars, the first of which was hailed as the “war to end all wars,” over four decades of the Cold War, and three major regional conflicts; Korea, Vietnam, and the Persian Gulf. No matter how principled the desire for peace in the calm of the classroom, a country must sometimes give way to higher interests. In the complexity and confusion of the international contingent, the American military profession continues to serve an essential societal need.
THE MILITARY:
INSTITUTION VERSUS OCCUPATION
The models examined thus far have looked at the armed forces as institutions in which professional military officers practice their occupational expertise, assuming a common definition of the character and motivation of individual officers. In the 1970s, however, some scholars perceived a notable decline in the relevance, legitimacy, and prestige accorded the military profession by society. The same period also identified a possible change in the value orientation of military officers from “selfless service to society” to “self- interest.” Charles Moskos defined this process as a shift from an institutional orientation to an occupational orientation. Moskos’ institutional-occupational (I/O) model assumes a continuum of civil-military arrangements ranging from a military entirely separate from society to one contiguous with civilian structures. “An institution is legitimated in terms of value and norms, that is, a purpose transcending individual self-interest in favor of a presumed higher good.” According to Moskos, members of an institution are seen as following a calling (meaning a profession) and are described by words such as integrity, service, and excellence.
34 Members of a military institution perceive themselves and are regarded by society as separate; they hold notions such as self-sacrifice and define themselves as military officers. Consequently, they are held in high esteem by society. Officers with this orientation stress factors in their job that relate to military competence and to their responsibility to serve society. On the other hand, Moskos notes that, “An occupation is legitimated in terms of the marketplace. Supply and demand, rather than normative considerations, is paramount.” In modern society, employees have input in determining the appropriate salary and work conditions. These rights are balanced by their responsibility to meet the obligations of a contract. This implies that the interests of the individual come before the interests of the employer. Officers with this orientation stress factors such as salary, job security, and perhaps working conditions. Moskos believes both models exist simultaneously within the military, while the military itself has traditionally tried to avoid becoming an occupational organization. The pay system continues to be broken down into pay and allowances for housing and food, despite pressures to institute a single salary. Yet the military has made some “occupational” changes to ensure it retains specific skills. Physicians, pilots, submarine officers, and expensively trained enlisted technicians receive bonuses and other incentives to join and to remain in the military service. The pay and allowance system reflects the entire military to a certain extent. People in an occupation tend to identify with others that possess the same skills and receive similar pay, which are typical outside of the organization. Identity in an institution comes from the shared experiences of living and working together. The process of accomplishing the mission is more important than the individual work output itself. Individuals in the military put more emphasis on being a member of a particular unit than on their specific task in that unit. For example, the members of a bomber wing, whether pilot, security policeman, finance clerk, or cook would identify their mission as “bombs on target.” In an institutional military, individuals are on duty 24 hours per day and are expected to take on a variety of roles that may not be limited to their particular military specialty. In an occupational military, the roles are job specific, and as long as the job gets done no one cares what an individual does when not at work. In an institutional military, members work and live on base, and frequent moves are a fact of life. The on-base club is the center of social life. In an occupational military, one’s home and work locations are separate and more value is placed on staying in one location. Societal activity takes place off the installation. Membership in the institutional military even extends to spouses. They often take part in various organizations such as the Officers’ Spouses Club (OSC) and volunteer in activities supportive of the military community. Military families support and take part in institutional activities. In an occupational military spouses are reluctant to take part in traditional social activities and, since many of them now work outside the home, often lack the time or inclination to do so.
34 The Profession of Arms 35 In an institutional military, performance evaluations are qualitative and subjective. In an occupational military, performance is measured quantitatively against the “contract.” The more institutional the military, the greater the use of the UCMJ system; the more occupational the military, the more likely an individual will be tried by a civilian court. In a society with an institutional military, veterans retain their status and receive preferences over non-veterans. This would be much less true with an occupational military. The differences in how an officer views the profession of arms, whether as a calling or a job, can drastically affect the way he leads. How does a leader inspire his troops to do the right things and more than expected without appealing to virtues such as integrity, loyalty, and service? With only contractual inducements and sanctions, can a leader inspire his people to the high standards of appropriate conduct expected—demanded—of the profession? Malham Wakin says there is a moral aspect to being called “professional” as well as a competence aspect. The military leader who views his oath of office as merely a contractual arrangement with his government sets the stage for a style of leadership critically different from the leader who views that oath as a pledge to contribute to the common good of his society. For the former, “duty, honor, country” is a slogan adopted temporarily until the contract is completed; for the latter, “duty, honor, country” is a way of life adopted for the good of all and accepted as a moral commitment not subject to contractual negotiations. Wakin goes on to say that if professions do not control members’ standards of fitness and inculcate the idea of service they invite controls from the government or the marketplace. Leaders of professions must develop a sense in their members that virtues are critical for success.
US Air Force Institutional-Occupational Trend
The US Air Force officer corps is a unique example of the institutional-occupational (I/O) model. Frank Wood, a retired Air Force colonel and military sociologist, believes that, “Because of their extensive use of technology, the Air Force and the Air Force Officer Corps tend to be most susceptible to increasing specialization and a diffused sense of purpose.” To describe this change at the individual level, Wood concentrates on professional identities and the commitment patterns of officers. Wood cites four studies conducted from 1979 to 1984 where the attitudes of junior officers were surveyed. He found that approximately 40–50 percent of them reported consistently that they “normally think of themselves as specialists working for the Air Force rather than as professional military officers.” What was surprising to Wood was that this ratio of 60 percent officers and 40 percent specialists was true even among Air Force Academy graduates. Another surprise in several surveys was that pilots showed the greatest tendency to view themselves as specialists. They were professional pilots who happened to fly for the military. This finding contradicted Wood’s assumption that most institutional characteristics would be found near the flightline.
36 From these surveys, Wood was able to determine consistent differences in attitudes. For instance, those who identify themselves as professional officers reported as follows: • They view military experience as a way of life, not as a job. • Their air force careers provide opportunities for interesting and challenging jobs (in terms of importance) that would be very difficult to replace if they left the air force today. • The air force does not require them to participate in too many activities not related to their job. • Personal interests must take second place to operational requirements for military personnel. • Airmen are special. • They live on base rather than in the civilian community. • They plan to continue their military service for 20 years and beyond. By contrast, those who identified themselves as specialists disagreed with many of the above statements. These trends toward occupationalism in the Air Force can and should be reversed, according to Wood. Programs such as Project Warrior and an increased emphasis on “leadership” versus “management” can help institution building in the Air Force. Leaders at every level of the organization must communicate what is distinctive about the military to people both inside and outside the organization. The US Air Force’s vision statement is a good attempt to point the diverse elements of the organization toward a common goal: “Global vigilance, reach, and power.” The core values of integrity first, service before self, and excellence in all we do help define what is special about being an Airman. Wood sums up these ideas well: The ultimate concern of every officer should be binding subordinates to the organization and to the mission. They must exemplify the values of mission over self and of devotion to the corporate body, even at the risk of their careers. Actions say more than words, and the troops know what is real and what is lip service. Air Force leaders cannot take for granted that officers will consider themselves part of an institution but must actively try to shape these identities and commitments.
36 The Profession of Arms 37 Conclusion
If being recognized by your organization and society as “professional” military officers is to mean anything, the term must be carefully applied and sparingly used. If this term is bestowed on you only for meeting some academic prerequisite or receiving payment for a specific skill, then it is meaningless. The word “professional” should inspire prospective and serving officers with an ideal of service and expertise. Huntington reminds us that: “In practice, officership is strongest and most effective when it most closely approaches the professional ideal; it is weakest and most defective when it falls short of that ideal.” This lesson has examined where the military stands as a profession when measured against the criteria of prominent experts, such as Huntington and Millett, and against the comments of less favorably inclined critics. Overall, the officer corps seems to fit strongly into the professional category. But at what point can the individual claim professional status in the military? When is a young officer a full member of the profession of arms? Professional status comes to people at different times in their lives and careers. It is achieved through continuous study, practice, and experience in “managing violence.” It is expressed by attitudes and commitments and by the internalization of the values of military service. In Moskos’ institutional-occupational (I/O) model, the motivation in an institution is based on values, whereas in an occupation it is based on cost-benefit analysis. Moskos and Wood found the performance of organizations with members who have an institutional identification exceeded the performance of those that had only an occupational identification. A society needs both types of organization to serve its varying needs. Certainly “real” organizations have elements of both. In the defense of the nation, however, “effective armed forces must be predominately institutional because they require commitment that cannot be bought.” Efforts to bring a greater degree of institutionalization to the Air Force does not mean going back to the traditional way of organization. Military sociologist Charles Cotton tells us that we must not think of the I/O model as a zero-sum game when determining our future direction: A cohesive and committed military does not have to be kept away from the ‘contamination’ of civilian values and images; dedicated members who have internalized the military ethic need not pursue their careers in splendid isolation on posts and bases, supported by their spouses. Similarly, we need not assume that attempts to strengthen links between the military and society lead always and irrevocably to weakened commitment and operational effectiveness within the military.
38 The task of future military officers is to educate themselves by study, experience and observation of the officers around them. They must learn to accept responsibility for their actions and those of their subordinates and to take appropriate action, never hiding behind excuses. Their focus must be on devoted service to the nation, not on pay, working conditions, or their next assignment. Only then will they move toward achieving the ideal of professionalism.
______Bibliography: 1. Cotton, Charles A. The Institutional Organization Model and the Military. The Military: More Than Just a Job? McLean, Virginia: Pergamon-Brassey, 1988. 2. Dempsey, Martin, E. America’s Military—A Profession of Arms White Paper, 2012 3. Huntington, Samuel F. The Soldier and the State. Cambridge, MA: Harvard University Press, 1959. 4. Janowitz, Morris. The Professional Soldier. New York: The Free Press, 1971. 5. Krupnick, Charles and Richard Workman. Foundations of the Military Profession. American Heritage Custom Publishing, 1997. 6. Matthews, Lloyd J. Is the Military Profession Legitimate? Army, January 1994. 7. Millett, Allan R. Military Professionalism and Officership in America. Columbus, Ohio: The Mershon Center of The Ohio State University. 8. Moskos, Charles C. Institutional and Occupational Trends in Armed Forces. The Military: More Than Just a Job? McLean, Virginia: Pergamon-Brassey, 1988. 9. Moskos, Charles C., and Frank R. Wood. Institution Building in an Occupational World. The Military: More Than Just a Job? McLean, Virginia: Pergamon-Brassey, 1988. 10. Moskos, Charles C. and Frank R. Wood. Introduction. The Military: More Than Just a Job? McLean, Virginia: Pergamon-Brassey, 1988. 11. Professionalism: A Model. Introduction to the Military Profession. United States Military Academy, West Point, NY, 1984. 12. Toner, James H. Leadership, Community, and Virtue. Joint Force Quarterly. Spring 1996. 13. Wakin, Malham M. The Ethics of Leadership II. War, Morality, and the Military Profession, 2d edition. Boulder, Colorado: Westview Press, 1986. 14. Wood, Frank R. At the Cutting Edge of Institutional and Occupational Trends: The US Air Force Officer Corps. The Military: More Than Just a Job? McLean, Virginia: Pergamon-Brassey, 1988.
38 The Profession of Arms 39 Self-Assessment
Lesson Preparation: • Complete the DiSC® preview handout provided by instructor.
Cognitive Lesson Objective: • Comprehend principles of self-assessment.
Cognitive Samples of Behavior: • Describe the behavioral tendencies characteristic of each dimension of the DiSC® model. • Determine appropriate methods of relating to others based on behavioral tendencies. • Identify appropriate task selections based on behavioral tendencies. • Explain self-assessment’s impact on relationships and teamwork.
Affective Lesson Objective: • Value the importance of self-assessment for Air Force leaders.
Affective Sample of Behavior: • Respond positively to the importance of self-assessment for Air Force leaders.
40 Stress Management and Resiliency
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend principles of stress management and resiliency.
Cognitive Samples of Behavior: • Describe what defines stress and how it impacts the work environment. • Explain the various reactions to stress. • Describe various coping strategies. • Explain time management techniques to alleviate stress. • Define the concept of resiliency. • Identify activities that support the four domains of Comprehensive Airman Fitness (CAF). • Summarize the domains of resiliency.
Affective Lesson Objective: • Respond favorably to managing stress and building resiliency.
Affective Samples of Behavior: • Discuss the benefits derived from reducing stress. • Assert the importance of effective time-management techniques. • Explain the importance of applying the domains of resiliency.
41 Stress Management and Resiliency 41 The Wingman Toolkit offers quick access to resources and information pertaining to Comprehensive Airman Fitness (CAF) and Resilience skills development. It includes ideas and tools to help increase/develop physical, social, spiritual, and/or mental domains in individuals, and should also be shared with others/Wingmen. In addition, AFRC developed a FREE mobile phone app that is available at the iTunes App Store and Google Play. Similar to the Toolkit website, the app provides Airmen with a personal tool to practice their resilience skills at all times! The Wingman Toolkit can be accessed at http://www.wingmantoolkit.org
42 Team Building
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend the concept of effective team building.
Cognitive Samples of Behavior: • Differentiate among the four stages of group growth. • Describe the differences between groups and teams. • Identify the characteristics of effective teams. • Identify the principles of effective teams.
Activity Statement: • Practice team-building principles during in-class exercises.
Affective Lesson Objective: • Value the importance of effective team building.
Affective Samples of Behavior: • Actively participate in team-building exercise. • Assert the importance of team-building principles.
Team Building 43 Sexual Assault Prevention and Response
Cognitive Lesson Objective: • Comprehend how to prevent and respond to sexual assault. Cognitive Samples of Behavior: • Define Sexual Assault as defined by the Department of Defense. • Distinguish between what constitutes sexual consent and what does not. • Recognize that the US Air Force has zero tolerance for sexual assault. • Identify the Department of Defense policy on confidentiality. • Explain the risks associated with alcohol use as related to perpetration and victimization. • Describe the roles of perpetrator, facilitator, bystander, and victim. • Explain the significance of a Wingman as related to sexual assault prevention and response. • Describe the roles of the Sexual Assault Response Coordinator (SARC) and link this role to the Victim Advocate (VA). • Describe the effect sexual assault can have on a unit’s trust and cohesion. • State the importance of displaying empathy to a victim of sexual assault. • Explain how gender relations and sexism can impact trust and mission accomplishment. Affective Lesson Objective: • Value the need for understanding, preventing, and reporting sexual assault. Affective Samples of Behavior: • Participate in class discussions about the crime of sexual assault. • Practice behaviors to prevent and reduce the risk of sexual assault. • Demonstrate sensitivity toward victims of sexual assault. • Report a sexual assault using the proper channels, such as the SARC.
44 The classroom lesson for Sexual Assault Prevention and Response includes video segments that are dramatic and direct in places. They include the reenactment of rape scenes and dramatizations related to sexual assault. They can trigger difficult emotions, especially for sexual assault survivors. Victim sensitivity and care are top Air Force priorities. If you feel you are unable to view these videos with your class, please inform your instructor to arrange alternative and confidential options to meet this training requirement. You are the Air Force’s greatest resource. Your safety and well-being are of utmost concern to the Air Force. With that in mind, this material is designed to provide you the information to help prevent sexual assault, report it if it occurs, and assist the victim of a sexual assault. Sexual assault is a serious matter. It is not a pleasant issue and not one that is easily discussed. However, we treat this topic the same way we’d address any issue that can negatively affect Airmen—with awareness, education, and proactive methods to protect and support our Airmen. Unfortunately, members of the military can be at risk just like members of the civilian community. Therefore, we provide this information to decrease your risk and to stress how important your role is in protecting your fellow Airmen.
PREVENTING SEXUAL ASSAULT
What Exactly is Sexual Assault?
The term sexual assault is an “umbrella” term that includes different types of sex-related offenses. The Department of Defense defines sexual assault: • Sexual assault is a crime. Sexual assault is defined as intentional sexual contact, characterized by use of force, physical threat, abuse of authority or when the victim does not or cannot consent. • Sexual assault includes rape, nonconsensual sodomy (oral and anal sex), indecent assault (unwanted, inappropriate sexual contact or fondling), or attempts to commit these acts. • Sexual assaults can occur without regard to gender or spousal relationship or age of victim. • “Consent” shall not be deemed or construed to mean the failure by the victim to offer physical resistance. Consent is not given when a person uses force, threat of force, coercion, or when the victim is asleep, incapacitated, or unconscious. Sexual assault includes actual or attempted sexual relations with another person against his/her will or without his/her consent. Sexual assault is a crime. Offenders will be prosecuted in a criminal court.
44 Sexual Assault Prevention and Response 45 Some people think that sexual assault is an extreme form of sexual harassment. Sexual assault is not the same as sexual harassment though they are on the same continuum. Sexual harassment is a form of discrimination and can be administratively punished or even sued in civil court. Sexual harassment is included under the UCMJ, Article 93-Cruelty and Maltreatment [see para 17.c.(2)]. Anyone found guilty of this article can be dishonorably discharged, forfeit all pay/allowances, and face a year of confinement.
What is Consent?
Consent is central to the concept of sexual assault. There are many situations in which an individual is not able to give consent. In these situations, one person may believe he or she is having consensual sex with another, when legally it could be a different story. Understanding consent and recognizing when it can and cannot occur are critical to preventing sexual assault. The most common perpetrators of sexual assault are acquainted with the victim and commit the crime in a personal home or residence, including dormitories. In at least 60% of sexual assault cases, alcohol is involved. An incapacitated person – conscious or not – is not legally able to give consent. Whenever you combine alcohol and intimate relations, you create a dangerous situation that can potentially lead to one becoming either a victim or perpetrator of sexual assault. An initiative out of F. E. Warren AFB called “0-0-1-3” recommends zero drinks if a person is underage, zero drinks if a person is driving, one drink per hour, and no more than three drinks per evening/social event. Be smart about alcohol use and sex. A person who assaults anyone who is unconscious, unaware, mentally incapacitated, or drunk is a criminal, and criminals are not tolerated within the US Air Force. CONSENT INVOLVES AN ADULT’S VOLUNTARY, CONSCIOUS AGREEMENT.
Air Force Policy on Sexual Assault: Zero Tolerance
The USAF has a policy of zero tolerance for sexual assault or attempted sexual assault because it’s a crime. In addition, all criminal behavior goes against our Core Values. Any known perpetrators will be investigated and prosecuted to the full extent of the law. The UCMJ outlines harsh penalties for sexual assault crimes, including jail time and dishonorable discharge. All blame for any sexual assault is squarely on the shoulders of the perpetrator. The victim is never to blame. The Air Force will do whatever it can to support the victims of these acts. Finally, committing any type of sexual assault against an Airman is also committing a crime against the Air Force team; such crimes have a direct impact on an Air Force unit. Sexual assault is a crime and is contrary to the respect all Airmen deserve.
46 Most assaults – 80% – are committed by an acquaintance. In these cases, there are often other people involved in events that led up to an assault. To help you prevent assault, you need to know these roles and how they operate. The four roles are the perpetrator, the facilitator, the bystander, and the victim.
• The perpetrator is the criminal who assaults the victim. • The facilitator is a person who enables, encourages, or creates a situation or environment that allows a perpetrator to act.
• The bystander (a witness to an event) is a person who sees the potential in a situation for a sexual assault or who may witness behaviors leading to an assault. Some bystanders may do nothing to stop an assault. However, the bystander can choose to act responsibly and do something about the situation—that is, be a protective wingman.
• The victim is the person assaulted by the perpetrator.
About Perpetrators
Perpetrators carefully calculate. Their intentions can be camouflaged by what seems like common social behavior. In other words, perpetrators blend in. They look for vulnerability and accessibility before they “groom” their victims. Avoid being a perpetrator; don’t commit a sexual assault:
• Don’t mix sex and alcohol. Do not get involved sexually with someone who has been drinking. Alcohol mars your judgment, as well as the other person’s.
• Believe what people say. Accept the sexual boundaries of the other person. If you are unsure, ask. Then accept the response.
• Know that no one owes you sex. A person NEVER owes another person sex. It is not an entitlement.
• Consider the Core Values before you act. Remember, you now represent the US Air Force, both on- and off-duty. Demonstrate self-discipline and respect for self and others.
Don’t Facilitate Crime
Facilitators often don’t consider themselves part of a sexual assault. They often see their actions as just joking or being “one of the guys.” But facilitators can be in a position of power to protect their fellow Airmen. The honorable Airman never plays the role of a facilitator, and in fact goes out of his or her way to protect others from potential crimes—a good wingman.
46 Sexual Assault Prevention and Response 47 To avoid being a facilitator:
• Combat sexist jokes. An atmosphere where degrading sexual jokes are encouraged contains a hidden meaning—that this behavior is acceptable. Don’t get involved in behavior that is degrading to either gender.
• Support responsible drinking. A drunken Airman is not representing the Air Force well. Refuse to take part in drinking games and other activities where the purpose is to get drunk. Be careful not to fall prey to binge drinking behaviors—especially after being in a restrictive environment, such as training.
• Live the Air Force Core Values. An Airman’s sexual life is his or her own business. If you have integrity, you will not suggest that others perform sexual acts or promote sex in any way that infringes on an Airman’s personal values and behavioral limits. Have the courage to stand up to the crowd; do what’s right, not what’s popular.
• Help others to practice the Core Values. Don’t cheer on an Airman going down the wrong path. Remember your responsibilities as a wingman. Your job is to protect the country, the Air Force, and your fellow Airmen. There is no way to do that while encouraging others to break the law.
Bystanders…Get Involved!
The bystander might see the danger of a situation, but may not be sure what to do about it. Or the bystander may not feel responsible for the actions of others. But the bystander is one of the most potentially powerful people in a dangerous situation. To get involved and avoid being a passive bystander:
• Speak up when you see something wrong. This is a hard role to play, but it can be critical in many situations. Have the strength and courage to speak up when it looks like a potentially dangerous situation may occur. Talk to facilitators. See if you can get them to stop encouraging the potential perpetrator. Talk to potential perpetrators; let them know you see what’s going on. Talk to the potential victim, and educate the victim about the dangers of the situation. A cool head and a wise voice can be a powerful agent for change.
• Protect the at-risk person. You know that sex and alcohol don’t mix. When you see someone taking advantage of an intoxicated person, or even the potential for it, step in. Find friends to take care of an intoxicated person. Help the person to get a safe ride home. Do what you can to eliminate the potential of a criminal act.
• Live the Air Force Core Values. These values are now your guides to helping yourself and other Airmen in every situation. Have the strength to do the right thing.
48 Reduce Risk of Victimization
The victims of sexual assault usually don’t expect that this kind of criminal act will take place. The victim is never at fault—no one asks to be assaulted, and no one deserves to be assaulted. But there are things you can do to reduce the risk of a sexual assault for yourself and your fellow Airmen. To reduce risk of victimization:
• Communicate clearly. Be clear about your boundaries. If you are in any kind of relationship, talk with your partner. If you are unsure about what your partner wants or is thinking, ask. Don’t make assumptions. State your boundaries and be aware of non-verbal communication so that you don’t send unintended messages.
• Assert yourself. If you don’t want to do something, say “No,” clearly. Avoid phrases meant to “let the other person down easy” as these can be misunderstood. “I don’t know,” “I don’t think so,” and “We’ll see,” can each be interpreted as “Keep on coming.” When you mean no, say “No!” Assertiveness is a skill you can learn and get better with practice.
• Be “situation smart.” Don’t drink alone or with people you’ve just met. Acquaintances are sometimes people you trusted, but later regret doing so. Leave a public place with a peer, not alone. After a night of drinking, don’t go to a room with a person of the opposite sex. Be aware of the people around you, and use your head. If you’re going to attend a social event — especially with alcohol — always go with a designated buddy-wingman.
• Use the buddy-wingman system. Make a plan for getting home together and a back-up plan if something comes up. Tell your buddy where you’re going and when you expect to be back. Give each other feedback on how much you’ve been drinking to reduce the risk of being victimized.
• Be smart if using alcohol. Drink responsibly and don’t accept “freebies.” Watch out for dates who try to get you drunk. Don’t EVER leave your drink alone or accept a drink from someone else. You and your wingman can help each other here – trust your wingman’s opinions as well as your own.
• Trust your instincts. You know when things don’t feel right or safe. Have the smarts and the strength to trust yourself in those situations and get out of danger. Tell your wingman you need support to get out now – then do it.
• Live the Air Force Core Values. You represent the Air Force both on- and off-duty. If in doubt, ask yourself: Do my decisions show I’m trustworthy (integrity), show I put unit and mission needs before my needs (service before self), and show I value the quality of effort in any task (excellence)? If the answer is no – don’t proceed. There are additional things you can do to protect yourself from assault by a stranger.
48 Sexual Assault Prevention and Response 49 When Out on the Street:
• Trust your feelings or gut instincts when encountering strangers. If something feels wrong, assume you are right and protect yourself. Listen to danger signals, no matter how subtle. For example, if someone insists on helping you even after you say “no” repeatedly, this may be a sign of something wrong. Don’t be afraid to hurt the person’s feelings—stick with your instinct and firmly say “No.” And don’t forget, stranger rape often occurs by people who, at first, present themselves as nice and helpful. • Stay in well-lighted, populated areas. • If you’re worried you’re being followed, cross the street to see if the person does the same. • Do not be afraid to start running if you need to—don’t wait until the person is very close. Run in the opposite direction of the person and run to the nearest store, restaurant, police station—anywhere there are people. Better yet, always travel with a wingman. • Don’t fight with someone who tries to take your belongings. If you fight, you risk getting hurt. Money and other belongings can be replaced—your safety is more important. • Use your voice. Yelling for help is a sure way to get the attention of people nearby. • Be aware of anyone in a car who stops to talk or ask for directions. Keep your distance and never offer to get into the car with them.
Keep in mind: A person may do all that they can to protect themselves and still be the victim of an assault. The victim is not to blame. No one asks to be assaulted.
RESTRICTED AND UNRESTRICTED REPORTING
Restricted Reporting
Because the Department of Defense is serious about protecting victims of sexual assault, in 2005 it adopted a policy of confidential, restricted reporting. This option for reporting applies to victims at all military installations. It applies to service members and their dependents who are 18 years of age or older covered by the DoD Instruction 6495.02 (see excerpt at end of this reading).
50 Restricted Reporting allows sexual assault victims to confidentially disclose the assault to specified individuals (i.e., SARC, SAPR VA, or healthcare personnel), in accordance with, and receive medical treatment, including emergency care, counseling, and assignment of a SARC and SAPR VA, without triggering an official investigation. The victim’s report to healthcare personnel, SARCs, or SAPR VAs will NOT be reported to law enforcement or to the victim’s command, to initiate the official investigative process, unless the victim consents or an established EXCEPTION applies. The option to report without triggering an investigation is lost if the assault is reported through the chain of command (e.g., supervisor, first sergeant, commander). The intention of the restricted reporting option is to enhance the likelihood an individual will, at a minimum, seek and receive medical care and counseling, and then, possibly, make an unrestricted report of sexual assault at a later date. This option gives the victim time, support, and increased control over his or her personal information relative to the crime. Some exceptions to maintaining confidentiality do exist, however, such as to command officials or law enforcement when disclosure is necessary to prevent or lessen a serious and imminent threat or safety of the individual or another person, or to military or civilian courts when disclosure is directed by federal or state law.
Why Does the Air Force Offer this Policy?
This policy is offered in response to a wide range of barriers to reporting which include such things as the victim’s concern about loss of privacy, potential damage to his/her career, fear of re-victimization, or the impact on a deployment. A victim who receives appropriate care and treatment and who has adequate time to make an informed decision is more likely to trust the process. Sexual assault is the most underreported violent crime in our society at large and in the military. We need to change that. Although the Air Force will hold assailants accountable, first and foremost it wants victims to come forward for help.
Unrestricted Reporting
Unrestricted Reporting allows an eligible person who is sexually assaulted to access medical treatment and counseling and request an official investigation of the allegation using existing reporting channels (e.g., chain of command, law enforcement, healthcare personnel, the SARC). When a sexual assault is reported through Unrestricted Reporting, a SARC shall be notified as soon as possible, respond, assign a SAPR VA, and offer the victim medical care. The DoD is committed to ensuring victims of sexual assault are protected; treated with dignity and respect; and provided support, advocacy, and care. The DoD supports effective command awareness and prevention programs. The DoD also strongly supports applicable law enforcement and criminal justice procedures that enable persons to be held accountable for sexual assault offenses and criminal dispositions, as appropriate. To
50 Sexual Assault Prevention and Response 51 achieve these dual objectives, DoD preference is for complete Unrestricted Reporting of sexual assaults to allow for the provision of victims’ services and to pursue accountability. However, Unrestricted Reporting may represent a barrier for victims to access services, when the victim desires no command or law enforcement involvement. Consequently, the DoD recognizes a fundamental need to provide a confidential disclosure vehicle via the Restricted Reporting option.
RESPONDING TO SEXUAL ASSAULT
In spite of our best efforts to prevent it, you may experience or know of a sexual assault happening to an Airman. If you have been a victim of sexual assault, or you are helping a victim, here’s a guide on how military members can report a sexual assault.
• If you are in danger, call 911. Tell the operator your current location and if you are currently unsafe and/or need medical attention immediately. Follow the operator’s instructions. Safety is paramount. Confidentiality should not be an issue.
• Contact the Sexual Assault Response Coordinator (SARC). The Command Post will have the number handy. The SARC will coordinate services for the victim, including the offer of a Victim Advocate. Either the SARC or VA will provide information to help the victim make his/her decision for restricted reporting (support services, but no investigation) or unrestricted reporting (support services and an investigation is triggered). With the victim’s consent, a trained health care provider will complete a forensic medical examination.
• Get medical attention. If you are not in imminent danger, go to a base medical treatment facility, if available. (While military medical providers can offer services without reporting a sexual assault, civilian medical providers may have to report the crime to the police. Civilian responses will vary by state law.) When you are at the medical facility, a health care provider will initiate the proper care and treatment and report the assault to the Sexual Assault Response Coordinator in lieu of reporting the assault to law enforcement or the command. (If you are not able to go to a base medical treatment facility, contact the SARC directly.)
• Preserve evidence of the assault. It is also important that victims don’t destroy possible evidence for an investigation. Evidence can be compromised if victims bathe, shower, brush their teeth, eat, or change clothes. Don’t bathe or brush your teeth. Don’t change or wash any clothes you wore during the attack. Avoid eating, drinking, or using the restroom until you discuss the situation with the SARC, VA, and/or investigator. Evidence can be stored for a year, which is important if the victim decides to start an investigation during that time frame.
• Restricted reporting. If you choose restricted reporting, medical treatment will be provided, but an official investigation will not be triggered. However, notification to anyone in your chain of command triggers an investigation.
52 • Unrestricted reporting. If the victim chooses unrestricted reporting, the Sexual Assault Response Coordinator or Victim Advocate will immediately call Security Forces and the Office of Special Investigations (OSI) to initiate the investigation. Then the SARC will notify the appropriate commanders.
• Ask for what you need. Be open with your feelings and okay with your reactions. Everyone reacts differently to being assaulted. Healing takes time. Remember, the assault wasn’t your fault. There is nothing you did that made someone assault you. The attacker is solely responsible for the assault.
• It is never too late to report a sexual assault. Call the SARC or local rape crisis center if you have any questions or would like more information.
• Know that you can seek help for a sexual assault without triggering an investigation. The Department of Defense policy on sexual assault show that getting help is first and foremost; the Air Force will protect your privacy for confidential care without an investigation.
Understanding the Sexual Assault Response Team
The Sexual Assault Response Team members have been organized and trained by the Air Force specifically to help victims of sexual assault. They include medical andlaw enforcement personnel, victim advocates and the victim’s chain of command. These first responders address both your immediate and ongoing needs.
Sexual Assault Response Coordinator: Considered the center of gravity when it comes to ensuring that victims of sexual assault receive appropriate and responsive care.
Victim Advocate: The victim advocates are volunteers who are specially trained to support victims of sexual assault. They are not counselors and are not part of legal or law enforcement agencies. Instead, their main purpose is to provide supportive services to the sexual assault victim. As a peer, the Victim Advocate is a critical factor in the victim’s healing process. (Military members interested in acting as Victim Advocates can contact the base SARC for information.)
Office of Special Investigations:The Office of Special Investigations is the primary law enforcement agency on an Air Force base that handles investigations of sexual assault. In that capacity, they work with victims when they make a written statement and throughout the investigative process.
Victim Witness Assistance Program (VWAP): If your case will involve the military judicial system (some cases will be the responsibility of the civilian courts), you will be assigned a VWAP liaison. The VWAP is located in each military installation’s legal (JAG) office. They provide information to victims about the military justice system, the status of the case, the courts-martial, and other resources on- and off-base that are helpful to victims. If your case is under the civilian authorities, a victim’s assistance department is usually located within the district attorney’s office. They serve the same function as the VWAP.
52 Sexual Assault Prevention and Response 53 Supervisor/First Sergeant/Commander: These people in your chain of command are critical contact points for you. The commander’s primary responsibilities are to aide the victim, prosecute the perpetrator, and manage the unit’s climate. In particular, the commander is responsible for making sure your concerns and issues are addressed in a timely manner. Specifically, he or she will seek input from you about time off for counseling, ensuring safety at your work section, and any other issues that may affect your ability to perform your military duties.
Mental Health Clinic: The staff at the Mental Health Clinic offer many types of counseling and support programs for victims of assault. They have trained psychiatrists and psychologists on staff to assist victims with recovery. Normally they see patients on an appointment basis, but they are always available for victims in crisis.
Chaplain: The crime of sexual assault can be an emotionally traumatic and overwhelming experience. The base chaplain offers confidential counseling services to victims and faith- based support groups according to an individual’s needs. The chaplain is a great resource for individuals who may not wish to use Life Skills. However, chaplain services may be more limited than Life Skills.
Local Sexual Assault Crisis Centers: Most communities surrounding military installations have their own crisis centers that address the needs of the civilian community. Although named differently from one another, these centers generally offer the same type of services for victims of sexual assault including crisis intervention, advocacy, education, and counseling. Most of the time, these services are offered free of charge or with little cost to the sexual assault victim. They also offer confidentiality.
HELPING A VICTIM OF SEXUAL ASSAULT
Always support your fellow Airmen. You can make a huge difference to the victim’s healing from this crime by treating the person with compassion and sensitivity.
First address any safety or medical issues. Get the victim to a safe place if necessary. Go immediately to a hospital if there is a medical emergency.
Listen and believe the victim. Even if you know and trust the alleged perpetrator, believe the victim. The facts will be uncovered in the process of the investigation. For the victim’s mental recovery, your support and belief is more important.
Listen without judging. Don’t question or put down the victims for their response to an assault. Full blame for this criminal assault is on the perpetrator. No one ever asks to be assaulted, and no one can “make” someone else commit an assault. Sexual assault is never the fault of the victim.
54 Avoid trying to “take charge” and telling the victim what to do. Your fellow Airman has just been the victim of a violent crime, during which the victim lost control of his/her life. Treat the victim like an adult; give the victim some control back by allowing him/her to make the decisions… a step in the healing process.
Encourage contacting the SARC. Sometimes victims second-guess themselves, or don’t see the assault as a criminal act. Gently remind the victim that he/she is not responsible for the crime. A call to the SARC doesn’t commit the victim to any further action and will ensure correct information to make personal decisions.
Be a good wingman; stay by your fellow Airman. Shortly after an assault, never leave the victim alone. Even if the victim claims to be “all right,” stay to help the victim get medical or other support.
Protect the victim’s privacy. The sexual assault is no one else’s business. No one wants to be talked about behind his or her back. Only those with an official reason should discuss information about the case. Don’t bother the victim for details; trained investigators will address this aspect of the crime. Keep in mind that victims are advised not to discuss the case with anyone; therefore, they can not correct any misinformation. The best thing you can do is to “be there” and listen.
How Victims Respond to Sexual Assaults
Victims of sexual assault have been traumatized and may not be thinking of all the things that they should or should not do following an assault. Encourage the Airman to contact the SARC immediately – or allow you to call the SARC for him/her. Reporting an assault as soon as possible is critical to meeting the immediate needs of the victim. However, it is common for the victim to avoid talking to anyone. There are a variety of mixed emotions a person goes through when they experience this kind of trauma— including confusion. Every victim will handle the assault in his/her own way. Some victims are angry, numb, smiling, tearful or scared. Many victims will worry about potential consequences of seeking help or reporting an assault. Support your fellow Airman. If a victim has come to you, encourage the person to get the medical, emotional, and legal help they need. Unless there’s a medical emergency, contacting the SARC is always an excellent first move. Though the Air Force believes it is important to know when an Airman has been assaulted, the priority is for the victim to get the necessary help. However, if you are the victim or are assisting a victim who doesn’t want to report the assault to any military personnel, there are still options in the civilian community: • Contact a Rape Crisis Center. • Call a national hotline. • Seek assistance at a local hospital.
54 Sexual Assault Prevention and Response 55 EXCERPT FROM DEPARTMENT OF DEFENSE
INSTRUCTION 6495.02
March 28, 2013 Sexual Assault Prevention and Response Program Procedures
PURPOSE. This Instruction, in accordance with the authority in DoD Directives (DoDD) 5124.02 and 6495.01: a. Establishes policy, assigns responsibilities and provides guidance and procedures for the SAPR Program. b. Establishes the processes and procedures for the Sexual Assault Forensic Examination (SAFE) Kit. c. Establishes the multidisciplinary Case Management Group (CMG) and provides guidance on how to handle sexual assault. d. Establishes SAPR minimum program standards, SAPR training requirements, and SAPR requirements for the DoD Annual Report on Sexual Assault in the Military. APPLICABILITY. This Instruction applies to: a. OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Inspector General of the Department of Defense (IG DoD), the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (hereinafter referred to collectively as the “DoD Components”). b. National Guard (NG) and Reserve Component members who are sexually assaulted when performing active service, and inactive duty training. If reporting a sexual assault that occurred prior to or while not performing active service or inactive training, NG and Reserve Component members will be eligible to receive limited SAPR support services from a SARC and a SAPR VA and are eligible to file a Restricted or Unrestricted Report. c. Military dependents 18 years of age and older who are eligible for treatment in the military healthcare system (MHS), at installations in the continental United States (CONUS) and outside of the continental United States (OCONUS), and who were victims of sexual assault perpetrated by someone other than a spouse or intimate partner. (1) Adult military dependents may file unrestricted or restricted reports of sexual assault.
56 (2) The Family Advocacy Program covers adult military dependent sexual assault victims who are assaulted by a spouse or intimate partner and military dependent sexual assault victims who are 17 years of age and younger. The installation SARC and the installation family advocacy program (FAP) and domestic violence intervention and prevention staff shall direct coordination when a sexual assault occurs within a domestic relationship or involves child abuse. d. The following non-military individuals who are victims of sexual assault are only eligible for limited emergency care medical services at a military treatment facility, unless that individual is otherwise eligible as a Service member or TRICARE (http://www.tricare.mil) beneficiary of the military health system to receive treatment in a military treatment facility (MTF) at no cost to them. At this time, they are only eligible to file an Unrestricted Report. They will also be offered the LIMITED SAPR services to be defined as the assistance of a Sexual Assault Response Coordinator (SARC) and a SAPR Victim Advocate (VA) while undergoing emergency care OCONUS. These limited medical and SAPR services shall be provided to: (1) DoD civilian employees and their family dependents 18 years of age and older when they are stationed or performing duties OCONUS and eligible for treatment in the MHS at military installations or facilities OCONUS. These DoD civilian employees and their family dependents 18 years of age and older only have the Unrestricted Reporting option. (2) U.S. citizen DoD contractor personnel when they are authorized to accompany the Armed Forces in a contingency operation OCONUS and their U.S. citizen employees. DoD contractor personnel only have the Unrestricted Reporting option. Additional medical services may be provided to contractors covered under this instruction in accordance with DoDI 3020.41 as applicable. e. Service members who are on active duty but were victims of sexual assault PRIOR to enlistment or commissioning are eligible to receive SAPR services under either reporting option. The DoD shall provide support to an active duty Service member regardless of when or where the sexual assault took place. POLICY. It is DoD policy that: a. The DoD goal is a culture free of sexual assault, through an environment of prevention, education and training, response capability, victim support, reporting procedures, and appropriate accountability that enhances the safety and well being of all persons covered by this Instruction.
56 Sexual Assault Prevention and Response 57 b. The SAPR Program shall: (1) Focus on the victim and on doing what is necessary and appropriate to support victim recovery, and also, if a Service member, to support that Service member to be fully mission capable and engaged. (2) Require that medical care and SAPR services are gender-responsive, culturally competent, and recovery-oriented. (3) Not provide policy for legal processes within the responsibility of the Judge Advocates General (JAG) of the Military Departments provided in the UCMJ, the Manual for Courts-Martial, or for criminal investigative matters assigned to the IG DoD. c. Command sexual assault awareness and prevention programs and DoD law enforcement and criminal justice procedures that enable persons to be held appropriately accountable for their actions shall be supported by all commanders. d. Standardized SAPR requirements, terminology, guidelines, protocols, and guidelines for training materials shall focus on awareness, prevention, and response at all levels, as appropriate. e. SARC and Sexual Assault Prevention and Response Victim Advocate (SAPR VA) shall be used as standard terms throughout the Military Departments to facilitate communications and transparency regarding SAPR response capability. f. The SARCs shall serve as the single point of contact for coordinating care to ensure that sexual assault victims receive appropriate and responsive care. All SARCs shall be authorized to perform victim advocate duties in accordance with service regulations and will be acting in the performance of those duties. g. All SARCs shall have direct and unimpeded contact and access to the installation commander for the purpose of this Instruction. (1) If an installation has multiple SARCs on the installation, a Lead SARC shall be designated by the Service. (2) For SARCs that operate within deployable commands that are not attached to an installation, they shall have access to the senior commander for the deployable command. h. A 24 hour, 7 day per week sexual assault response capability for all locations, including deployed areas, shall be established for persons covered in this Instruction. An immediate, trained sexual assault response capability shall be available for each report of sexual assault in all locations, including in deployed locations. i. SARCs, SAPR VAs, and other responders will assist sexual assault victims regardless of Service affiliation.
58 j. Service member and adult military dependent victims of sexual assault shall receive timely access to comprehensive medical and psychological treatment, including emergency care treatment and services, as described in this Instruction. k. Sexual assault victims shall be given priority, and treated as emergency cases. Emergency care shall consist of emergency medical care and the offer of a SAFE. The victim shall be advised that even if a SAFE is declined the victim shall be encouraged (but not mandated) to receive medical care, psychological care, and victim advocacy. l. DoD prohibits granting a waiver for commissioning or enlistment in the Military Services when the person has a qualifying conviction for a crime of sexual assault or is required to be registered as a sex offender. m. Improper disclosure of confidential communications under Restricted Reporting or improper release of medical information are prohibited and may result in disciplinary action pursuant to the UCMJ or other adverse personnel or administrative actions. Even proper release of Restricted Reporting information should be limited to those with an official need to know or as authorized by law. n. Information regarding Unrestricted Reports should only be released to personnel with an official need to know or as authorized by law. o. The DoD will have two separate document retention schedules for records of Service members who report that they are victims of sexual assault, based on whether the Service member filed a Restricted or Unrestricted. The record retention system for Restricted Reports shall protect the Service member’s desire for confidentiality. (1) Document Retention for Unrestricted Reports: -- The SARC will enter the Unrestricted Report DD Form 2910, “Victim Reporting Preference Statement,” in the Defense Sexual Assault Incident Database (DSAID) or the DSAID-interface Military Service data system as an electronic record, where it will be retained for 50 years from the date the victim signed the DD Form 2910. DD Form 2910 is located at the DoD Forms Management Program website at http://www.dtic.mil/whs/directives/infomgt/forms/index. htm. The DD Form 2911, “DoD Sexual Assault Forensic Examination (SAFE) Report,” shall be retained in accordance with DoDI 5505.18. (2) Document Retention for Restricted Reports: -- The SAFE Kit, which includes the DD Form 2911 or civilian forensic examination report, if available, will be retained for 5 years in a location designated by the Military Service concerned. The 5-year time frame will start from the date the victim signs the DD Form 2910. -- The SARC will retain a hard copy of the Restricted Report DD Form 2910 for 5 years, consistent with DoD guidance for the storage of personally identifiable information (PII). The 5-year time frame for the DD Form 2910 will start from the date the victim signs the DD Form 2910. However, at the request of a Service
58 Sexual Assault Prevention and Response 59 member who files a Restricted Report on an incident of sexual assault, the DD Forms 2910 and 2911 filed in connection with the Restricted Report will be retained for 50 years. p. Any threat to the life or safety of a Service member shall be immediately reported to command and DoD law enforcement authorities (see Glossary) and a request to transfer the victim under these circumstances will be handled in accordance with established Service regulations. DoD recognizes that circumstances may also exist that warrant the transfer of a Service member who makes an Unrestricted Report of sexual assault but may not otherwise meet established criteria for effecting the immediate transfer of Service members. Those Service members may request a transfer pursuant to the procedures in this Instruction. q. Service members who file an Unrestricted Report of sexual assault shall be informed by the SARC at the time of making the report, or as soon as practicable, of the option to request a temporary or permanent expedited transfer from their assigned command or installation, or to a different location within their assigned command or installation, in accordance with the procedures for commanders in Enclosure 5 of this Instruction. r. Service members who file Unrestricted and Restricted Reports of sexual assault shall be protected from reprisal, or threat of reprisal, for filing a report.
Summary
Sexual assault is a real issue that we all need to take very seriously. It can happen to anyone at any time. For some of you, your lives have already been affected by it. Be assured that the Air Force is committed to doing what it can to protect its members from future harm. It is the Air Force’s responsibility and priority to protect its members. The Air Force is a family. Respecting each other, protecting your wingman, and upholding the Core Values are top priorities in the Air Force. Sexual assault goes against every one of those priorities. The Air Force has worked hard to do what it can to build trust in the Air Force’s programs to support its members. Currently, we are making unprecedented changes to further protect our personnel who are affected by sexual assault. You are the next generation of leaders, and the long-term success of the Air Force’s agenda to deter sexual violence strongly depends on you. You will be hearing more about sexual assault as you proceed throughout your Air Force career. This issue will continue to be taken seriously. You should take it seriously as well. Every day think about what you are doing, the decisions you are making, and how any of these can affect the well being of yourself, your unit, and the Air Force.
60 PERSONAL BILL OF RIGHTS AND RESPONSIBILITIES
• I have the right to be treated with respect. • I have a right to be safe. • I have a right to say “No” to any personal contact that doesn’t feel comfortable. • I have a right to say “No” without explaining or justifying. • I have a right to change my mind. • I have a right to determine my behavioral limits, including intimacy and alcohol use. • I have a right to trust my instincts and feelings. • I have the responsibility to respect other people’s right to say, “No.” • I have the right and responsibility to protect myself and others.
60 Sexual Assault Prevention and Response 61 ______References: 1. A guide to Rape Awareness and Prevention, Robert and Jeanine Ferguson, ©1994, Turtle Press 2. Air Force Targeting Sexual Assault Training Video 3. Attendance at BMT Graduation, Warrior Week Culminating Event, various Tech Training classes and meetings, visiting dorm and bar settings of new airmen (March 11-12) 4. Attendance at portion of the Human Relations Training block at BMT (February 10, 2005) 5. Before He Takes You Out, Scott Lindquist, ©1989, VIGAL Publishers 6. Consultation with Dr. David Lisak, forensic consultant, sexual assault expert, and consultant to the Air Force’s top leadership 7. Coping with Date Rape and Acquaintance Rape, Andrea Parrot, Ph.D., ©1995, The Rosen Publishing Group, Inc. 8. Discussion with Dr. Chris Revis, clinical psychologist from Sheppard AFB, Wichita Falls, TX. 9. I Never Called It Rape, Robin Warshaw, ©1988, Harper & Row, Publishers 10. Internal Ninth House team discussions, particularly with Tony Mitchell related to his conversations with Brig Gen K.C. McClain, Gen Donald Cook, and other leaders within the USAF 11. Interviews with Airmen presently in Technical Training (2005-6) 12. Managing the Y Generation, Carolyn A. Martin, Bruce Tulgan, ©January 2001, HRD Press, Inc. 13. Rape and Society: Readings on the Problem of Sexual Assault Patricia Searles, Ronald J. Berger, ©1995, Westview press 14. Review of additional Air Force Materials, particularly Sexual Assault Prevention and Reporting slides from training Program delivered by Dr. Moerbe and Basic Military Training Study Guide 15. Review of Air Force website, particularly for BMT recruiting image and tone 16. Review of Prepared Statement of Christine Hansen, Executive Director, The Miles Foundation to Personnel Subcommittee, Senate Armed Services Committee, February 25, 2004 17. Sex Crimes: Patterns and Behavior Ronald M. Holmes, Stephen T. Holmes ©2002, Sage Publications, Inc. 18. Sexual Assault on the College Campus, Martin Schwartz & Walter DeKeseredy, ©1997, Sage Publications, Inc. 19. The Ultimate Violation, Judith Rowland, ©1985, Doubleday & Co., Inc. 20. The Feminine Warrior, Al Marrewa, ©1988, Kensington Books 21. Video: Playing the Game: Date Rape, Intermedia ©Healthvisions 22. Video: “When a Kiss is not just a Kiss” Sex Without Consent, Mumbleypeg Productions 23. Video: Choices Have Consequences – Air Force program 24. Video: When Romance Turns to Rape, Britannica
62 CHARACTERS IN VIDEO SCENARIO
62 Sexual Assault Prevention and Response 63 Motivation
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend the concepts of the major motivation theories.
Cognitive Samples of Behavior: • Distinguish between the five needs in Maslow’s hierarchy. • Identify ways to motivate people using Maslow’s needs theory. • Distinguish between McGregor’s three motivational approaches. • Identify ways to motivate people using McGregor’s theory Y approach.
Affective Lesson Objective: • Value the importance of understanding the concepts of motivation.
Affective Sample of Behavior: • Defend the importance of understanding the concepts of motivation.
64 Followership
Cognitive Lesson Objective: • Comprehend the traits and characteristics of an effective follower.
Cognitive Samples of Behavior: • Explain Kelley’s Two-Dimensional Model of Follower Behavior. • Identify the characteristics of the effective follower.
Affective Lesson Objective: • Respond to the importance of effective followership.
Affective Sample of Behavior: • Assert the benefits of being an effective follower.
65 Followership 65 DYNAMIC FOLLOWERSHIP: THE PREREQUISITE FOR EFFECTIVE LEADERSHIP
(Excerpted from the Air & Space Power Journal—Winter 2004) Lt Col Sharon M. Latour, USAF Lt Col Vicki J. Rast, USAF
Editorial Abstract: Rather than encouraging leaders to mentor followers to “follow me” as an imitation learning imperative, leaders may mentor to specific and objective abilities/ traits to create dynamic subordinates. These dynamic follower competencies form a foundation from which follower initiative can grow to leader initiative more naturally. The identified follower competencies help leaders focus their mentoring efforts. This approach encourages followers to develop fully, based on their personalities, strengths and weaknesses, and situational factors. “We have good corporals and good sergeants and some good lieutenants and captains, and those are far more important than good generals.” —General William T. Sherman
Are you a leader? A follower? The reality is that we fulfill both roles simultaneously from the day we enter military service, throughout our career, and well into our “golden years.” We are followers—following is a natural part of life and an essential role we play in fulfilling our war-fighting roles and missions. Since most institutions conform to bureaucratic or hierarchical organizational models, the majority of any military institution’s members are, by definition, followers more often than leaders. Few professional-development programs— including those of the US military—spend time developing effective follower cultures and skills. Instead, commissioning sources, college business programs, executive seminars, and professional military education curricula focus on developing leaders. Some people would argue that the various military technical schools fill the gap in follower development for career-minded Airmen, both commissioned and noncommissioned. This approach only diminishes the value that followers contribute to war fighting. If technical training and continuing education/leadership development at the right time in a person’s career is an accepted “booster shot” for developing effective followers, why not implement a similar strategy to shape effective leaders? The answer is that most of us intuitively know that such measures fall far short of the requirement to attract and retain people of the caliber the Air Force needs in the future. In other words, our service expends most of its resources educating a fraction of its members, communicating their value to the institution, and establishing career paths founded on assessing selected leadership characteristics— while seemingly ignoring the vast majority who “merely” follow. This strategy is inadequate for honing warrior skills within the rapidly transforming strategic environment that will prevail for the foreseeable future.
66 The present formula promotes the illusion of effectiveness, but it does not optimize institutional performance. How do we know this? A cursory review of retention rates among Air Force members indicates that among “followers,” instilling institutional commitment continues to be a persistent problem. For example, according to Air Force Personnel Center statistics, the service seeks to retain 55 percent of first-term Airmen, 75 percent of second-term Airmen, and 95 percent of the career enlisted force. With the exception of fiscal year 2002 when stop-loss measures prevented separation actions, the Air Force has not met these modest goals for all three noncommissioned categories since fiscal year 1996.1 For crucial officer specialties, the story is not much better. The Air Force’s rated career fields (pilots, navigators, and air-battle managers) consistently retain approximately 50–70 percent of their officers. Active duty service commitments and career incentive pays, however, tend to skew retention data in the aggregate. Nonrated operations officers (space, intelligence, and weather) retain 48–65 percent of their members, while mission-support officers elect to stay in the service at an average rate of 44 percent.2 Air Force efforts to boost these numbers tend to focus on “quality of life” issues—a catchall category that includes projects such as better pay, housing, and base facilities. All of these initiatives are important and appreciated, but they fail to address the role individuals play in accomplishing the unit’s mission as followers. Rather than focusing on the negative aspects of worker dissatisfaction, follower-development programs should take advantage of opportunities to instill/ -reinforce institutional values, model effective follower roles and behaviors, and begin the mentoring process. Developing dynamic followership is a discipline. It is jointly an art and a science requiring skill and conceptualization of roles in innovative ways—one perhaps more essential to mission success than leader development. Without followership, a leader at any level will fail to produce effective institutions. Valuing followers and their development is the first step toward cultivating effective transformational leaders—people capable of motivating followers to achieve mission requirements in the absence of hygienic or transactional rewards (i.e., immediate payoffs for visible products). This shift away from transactional leadership demands that we begin developing and sustaining transformational followership to enhance transformational leadership. A dynamic followership program should produce individuals who, when the moment arrives, seamlessly transition to lead effectively while simultaneously fulfilling their follower roles in support of their superiors. This goal helps us identify a strategy for follower development. Just as studies have identified desirable characteristics for effective leaders, so can we propose follower competencies upon which to base follower development in terms of specific skills and educational programs to advance critical thinking toward sound judgment. This approach demands that leaders recognize and fulfill their responsibilities in developing specific follower attributes or competencies within their subordinates. Leadership-development experts have proposed models for identifying desirable traits in leaders; similarly, followership studies can benefit from the discipline inherent in model development. A model that concentrates on institutional values and follower abilities would provide a starting point for synergistically integrating leader-follower development programs. As leaders capitalize on their followers’ competencies, they will equip their organizations’ members to achieve the visions they articulate for mission effectiveness.
66 Followership 67 Revolutionizing Traditional Leader-Follower Roles
Institutional changes in leader-follower roles and relationships lie at the root of why the Air Force needs to engage in dynamic followership programs to enhance its warrior culture. These shifts mirror similar shifts in business and industry. One researcher noted the following: Increasing pressure on all kinds of organizations to function with reduced resources. Reduced resources and company downsizing have reduced the number of managers and increased their span of control, which in turn leaves followers to pick up many of the functions traditionally performed by leaders… Furthermore, the nature of the problems faced by many organizations is becoming so complex and the changes so rapid that more people are required to solve them… In general, making organizations better is a task that needs to be “owned” by followers as well as leaders.3 Corporate downsizing, an increased pressure to deliver results, and an increasing span of control for leaders are familiar concepts to military members. What some businesses and military institutions have missed as these pressures exerted themselves on leader- follower cultures is that leaders have ample opportunity to learn strategies and techniques for coping with change in the workplace. Followers, however, generally face two choices: (1) undergoing on-the-job learning that levies leadership responsibilities on them without commensurate authority or (2) entering a defensive crouch against the increasing workload. Both choices erode individual morale and institutional mission effectiveness— neither proves effective for producing capable followers within our Air Force. According to Robert E. Kelley, a prominent social scientist in followership studies, “What distinguishes an effective from an ineffective follower is enthusiastic, intelligent, and self- reliant participation—without star billing—in the pursuit of an organizational goal.” Zeroing in on the task of developing followers, Kelley argues that “understanding motivations and perceptions is not enough.”4 He focuses on two behavioral dimensions for determining follower effectiveness: critical thinking and participation. Critical thinking involves going beyond collecting information or observing activities passively. It implies an active mental debate with things or events that we could otherwise process at face value. The active, independent mind confronts the situation and scrutinizes it closely, as if to stand it on its head or on its side, conducting a thorough examination of its far-reaching implications or possibilities. Many current, successful leaders cite critical thinking as a behavior they expect of their most valued followers. As for the concept of participation, a person engaged actively and comprehensively brings to mind an image of someone “leaning forward” into the situation at hand. This posture enables the person and those he or she affects to be in a position to anticipate requirements and plan accordingly. Conversely, passive individuals remain trapped in a perpetually reactive mode, placing themselves at the mercy of the prevailing current rather than preparing for impending tidal changes. In combination, critical thinking and participation generate four follower patterns.
68 Kelley argues that effective followers tend to be highly participative, critical thinkers. This type of person courageously dissents when necessary, shares credit, admits mistakes, and habitually exercises superior judgment. Kelley suggests that this follower possesses several essential qualities: self-management, commitment, competence (master skills) and focus, and courage (credibility and honesty).5 Although many people would recognize these traits as leadership competencies, according to Kelley, they remain paramount to the supporting role a follower plays. This type of follower represents the essential link between leader and follower cultures. As leaders develop and transmit the institution’s “big picture,” they naturally turn to such individuals to help them communicate that vision to the rest of the institution. The effective follower’s invaluable perspective permits others to separate the essential tasks required for mission accomplishment from the minutiae. As the leader leads, the follower actively participates in task completion toward mission accomplishment; the leader-follower relationship produces the dynamics necessary for the team to accomplish the mission. Those who prove able to follow effectively usually transition to formal leadership positions over time. More than any other measurable attribute, this phenomenon clarifies the interactive nature of the leader-follower relationship. Kelley characterizes the other three follower types (Table 1) as follows: “Sheep” are passive and uncritical, lacking in initiative and sense of responsibility. They perform tasks given them and stop. “Yes People” are livelier, but remain an equally unenterprising group. Dependent on a leader for inspiration, they can be aggressively deferential, even servile… “Alienated Followers” are critical and independent in their thinking, but fulfill their roles passively. Somehow, sometime, something “turned them off,” prompting them to distance themselves from the organization and ownership of its mission. Often cynical, they tend to sink gradually into disgruntled acquiescence.6 Kelley offers an important observation with regard to some followers’ influence on some leaders, cautioning that the latter remain comfortable with—or even embrace—the “yes people” or other less effective followers. Follower development is a leader’s utmost responsibility. Willingness to move beyond comfort zones is fully expected of tomorrow’s leader. Emerging security threats demand that we do so.
68 Followership 69 Other researchers describe a somewhat similar approach to followership studies. From this perspective, effective followers are “intent on high performance and recognize they share the responsibility for the quality of the relationship they have with their leaders… They know they cannot be fully effective unless they work in partnerships that require both a commitment to high performance and a commitment to develop effective relationships with partners (including their boss), whose collaboration is essential to success in their own work.”7 This perspective illuminates two ideal follower-competency dimensions—”performance initiative” and “relationship initiative.” Within those dimensions are descriptors (or subscales) we could call competencies. They suggest that the ideal follower would act like a partner in the leader-follower relationship. Performance initiative, a commitment to the highest levels of effort, includes the following: • Working (effectively) with others. Followers balance personal interests with the interests of others and discover a common purpose. They coach, lead, mentor, and collaborate to accomplish the mission. • Embracing change. Followers are committed to constant improvement, reduction of all types of waste, and leading by example. They are change agents. • Doing the job (competence). Followers know what’s expected, strive to be the best, and derive satisfaction from applying the highest personal standards. To them, work is integral to life. • Seeing one’s self as a resource (appreciating one’s skills). Followers understand their value to the organization and care for themselves as assets/investments. These competencies point to team builders who “lean enthusiastically into the future” and always strive to be the best. Relationship initiative, which acknowledges that followers share the responsibility with leaders for an effective relationship and work to increase openness and understanding to increase perspective around informed choices, includes the following:
70 • Building trust (core values; their word is their bond). Followers invite honest feedback and share plans and doubts. They are reliable and earn their leader’s confidence. • Communicating courageously (honest, timely feedback). Followers tell unpleasant truths to serve the organization. They seek the same from others and risk self- exposure. • Identifying with the leader. Followers are loyal to their “partner in success” and take satisfaction in the leader’s success. • Adopting the leader’s vision (seeing the big picture from the boss’s perspective). Followers know the limits of personal perspective and actively seek others’ perspectives for greater team effectiveness. They have a clear understanding of priorities. Combining this dimension’s competencies suggests a follower whose honest integrity earns the leader’s confidence. This is a follower (partner) whose loyalty creates an atmosphere wherein the team members share in the leader’s success by adopting the organization’s vision as their very own.8 These dimensions allow us to characterize additional follower types (Table 2). The “politician” possesses interpersonal qualities that might be misdirected and underappreciates job performance. “Subordinates” are traditional followers, content to do whatever they are told. They might be disaffected or simply unaware of the possibilities for greater contribution. Lastly, “contributors” are workhorses and often a creative force. However, they could maximize their inputs if they put energy into understanding the boss’s perspective, gained through relationship building. It is the “partner” who blends exceptional work performance with perspective gained from healthy relationships to both the leadership and peer group.
70 Followership 71 If we summarize what these prominent research approaches offer followership studies, we might characterize effective followers in these terms: individuals with high organizational commitment who are able to function well in a change-oriented team environment. Additionally, they are independent, critical thinkers with highly developed integrity and competency. Thus, effective followers exhibit loyalty to the boss by endorsing organizational vision and priorities. A true-life example illuminates these observations and makes the point even more effectively. In his book American Generalship, Edgar F. Puryear Jr. interviewed Secretary of State Colin Powell and asked him why he believed he was selected to be chairman of the Joint Chiefs of Staff. Powell replied, Beats me. I worked very hard. I was very loyal to people who appointed me, people who were under me, and my associates. I developed a reputation as somebody you could trust. I would give you my very, very best. I would always try to do what I thought was right and I let the chips fall where they might. . . . It didn’t really make a difference whether I made general in terms of my self-respect and self-esteem. I just loved being in the army.9
So the question becomes, how do we develop such individuals?
The Case for Effective Follower Development
There may well be legitimate disagreements about which follower competencies should have priority over others or which competencies belong more to leader development versus follower development. Nevertheless, it is useful to talk about the prime mechanism by which followers learn behaviors or competencies important to their success: mentoring. Edgar H. Schein discusses the ways that leaders create cultures, including expected behaviors, through six “embedding mechanisms,” one of which is “deliberate role modeling, teaching, and coaching.” He relates a story that illustrates how to teach desired behaviors by example: The Jones family brought back a former manager as the CEO [chief executive officer] after several other CEOs had failed. One of the first things he (the former manager) did as the new president (CEO) was to display at a large meeting his own particular method of analyzing the performance of the company and planning its future. He said explicitly to the group: “Now that’s an example of the kind of good planning and management I want in this organization.” He then ordered his key executives to prepare a long- range planning process in the format in which he had just lectured and gave them a target time to be ready to present their own plans in the new format. By training his immediate subordinates this way, he taught them his level of expectation or a level of competence for which they could strive. This overt, public mentoring technique— or as Schein would characterize it, “deliberate role modeling, teaching, and coaching”—is key to developing effective followers.10
72 Effective leaders acknowledge that their perspective influences their subordinates. Leader priorities become follower priorities. The leader transmits those items of concern by many means—some directly but others indirectly or according to context. As long as followers clearly understand the leader’s expectations and necessary levels of competence, the actual amount of face-to-face time is generally not critical. Of paramount importance is leaders’ awareness of how their priorities and actions will set standards for their followers’ behaviors and values. A mentoring culture is necessary to pass on the obvious and subtle values, priorities, behaviors, and traditions in an organization. In another interview in American Generalship, Puryear speaks with Gen Bill Creech, credited with revolutionizing the way Tactical Air Command (TAC, forerunner of Air Combat Command) went about its mission when he served as commander from 1978 to 1984. General Creech describes several of the 25 bosses he had during his 35-year career: Only four of those bosses went out of their way to provide any special mentoring… to those of us who worked for them. And far and away the best of those four was General Dave Jones, whom I first worked for when he was the CINC [commander in chief, known today as the regional combatant commander] of the United States Air Forces in Europe (USAFE). . .He painstakingly taught leadership skills, …drawing on his own experiences over the years, and he would take several days in doing so. . .He provided lots of one-on-one mentoring that helped me greatly both then and over the years. It was those examples that I used as a baseline in setting up the mentoring system in TAC.11 Essentially, General Jones established a mentoring culture within USAFE when his followers emulated what he modeled. Reflecting upon our own experiences, we can conclude that not every member of our Air Force is mentored actively by his or her leaders. We have some evidence of efforts to establish the importance of mentoring, but as of this writing, a visible endorsement of mentoring by uppermost leadership remains in its infancy. Fundamentally, the most important contribution leaders make to their units and the Air Force is to ensure that the mission can continue without them. Our culture has a tendency to reward individuals who publicly stand in the limelight and to overlook those who do the “heavy lifting” behind the scenes. For that reason, embracing this contribution as the baseline for mentoring and translating it to everyday practice will remain problematic. In this vein, one of the coauthors of this article tells an interesting story. As a second lieutenant, she encountered great difficulty with her supervisor, a first lieutenant, in aircraft maintenance. Their squadron commander—an “old school TAC” major—called them both into her office one day and conveyed this message: “Ollie, your job is to teach Vicki everything you know. If she fails when you leave the bomb dump, then you’ve failed. [Rast], your job is to learn. Dismissed!” That 45-second interaction, literally, was the end of that particular “mentoring” session (there would be many others!), but it had profound effects on both young officers in terms of the way they viewed their roles as leaders,
72 Followership 73 followers, teachers, and mentors. Dr. Schein would suggest that this transformation in conceptualizing the leader’s role as one of developing followers—in essence, working one’s way out of a job—is a prerequisite for mentoring to take root. Air Force Instruction (AFI) 36-3401, Air Force Mentoring, provides guidance to all Air Force members. It specifically charges all supervisors to serve asformal mentors to their subordinates. There is room for robust informal mentoring once the culture formally takes root. According to the instruction, “Air Force mentoring covers a wide range of areas, such as career guidance, technical and professional development, leadership, Air Force history and heritage, air and space power doctrine, strategic vision, and contribution to joint warfighting. It also includes knowledge of the ethics of our military and civil service professions and understanding of the Air Force’s core values of integrity first, service before self, and excellence in all we do.”12 In concert with General Creech’s observations, AFI 36-3401 states that mentoring is the responsibility of leaders, requiring them—through direct involvement in subordinate development—to provide their followers with realistic evaluations of their performance and potential and to create goals to realize that potential. Importantly, the instruction encourages informal mentors: “The immediate supervisor . . . is designated as the primary mentor. . . This designation in no way restricts the subordinate’s desire to seek additional counseling and professional development advice from other sources or mentors.”13 Therefore, mentoring relationships are vital to followers who seek to understand the substance behind their leaders’ actions. What were the leaders’ options? Why do bosses elect to do what they do and when they choose to do it? Asked how one could become a decision maker, Dwight D. Eisenhower responded, “Be around people making decisions. Those officers who achieved the top positions of leadership were around decision-makers, who served as their mentors.”14
Hands-on Follower Development
Let’s get more specific. Discussions ofleadership development tend to focus on acquiring key, separate competencies rather than imitating a leader’s style. We suggest that followers can develop themselves in much the same way.15 Traditional leader styles (e.g., autocratic, bureaucratic, democratic, laissez-faire, etc.) are inadequate in dynamic, changing environments. Can any organization really afford to have a bona fide laissez- faire manager at the helm when the head office or major command mandates an overnight overhaul? Developing leadership competencies gives up-and-coming leaders a tool kit from which to draw, no matter the situation they might encounter. Dr. Daniel Goleman, the leading advocate of emotional intelligence, identifies five categories of personal and social competence: (personal) self-awareness, self-regulation, motivation, (social) empathy, and social skills. Looking more closely into, say, empathy, one finds specific competencies: understanding others, developing others, acquiring service orientation, leveraging diversity, and cultivating political awareness.16 He makes the point that each of us has areas in which we are more or less naturally competent.
74 Some of us are more empathetic than others (because of early socialization, emotional disposition, etc.) and therefore more proficient in empathy’s specific competencies. But, the less empathetic individual is not a lost cause because mentoring by senior leaders can enhance areas that need improvement. If we use our hypothetical but plausible set of follower competencies as a template (leaders can adjust the competencies included here to meet their own cultural norms and values), we can extrapolate a follower-competencies development approach based on Goleman’s discovery work in leader-competencies development. He says that the follower requires behavior modification, monitored by the mentoring leader. Organizations must “help people break old behavioral habits and establish new ones. That not only takes much more time than conventional training programs, it also requires an individualized approach.”17 So, which follower competencies need deliberate development?
Plausible Follower Competencies and Components
After examining a variety of research, this article has distilled several follower competencies: • Displays loyalty (shows deep commitment to the organization, adheres to the boss’s vision and priorities, disagrees agreeably, aligns personal and organizational goals) • Functions well in change-oriented environments (serves as a change agent, demonstrates agility, moves fluidly between leading and following) • Functions well on teams (collaborates, shares credit, acts responsibly toward others) • Thinks independently and critically (dissents courageously, takes the initiative, practices self-management) • Considers integrity of paramount importance (remains trustworthy, tells the truth, maintains the highest performance standards, admits mistakes) Our research leads us to believe that followers learn most effectively by observing the actions (modeled behavior) of an organization’s leaders. As Goleman points out, however, impelling adults to adjust their behavior often requires an individualized approach. Whether it’s called coaching (skill-specific training) or mentoring (a longer-term relationship), in order for leaders to correct follower-competency deficits, they must pay deliberate attention to development opportunities for each individual. Tracking progress can occur through both formal and informal feedback. A mentor can ask the follower and his or her peer group how team-dependent things are going. How often is the suggestion box used? Are the suggestions well thought out? (Are they relevant to things on the boss’s mind?) One can use customer-satisfaction forms to measure some competencies . . . and the list goes on. Certainly, the most important check is the ongoing evaluation the boss makes throughout the developmental relationship with each follower.
74 Followership 75 Conclusion
We have explored followership, the one common denominator we all share as members of our culture, by briefly examining plausible competencies germane to effective following. We determined that these competencies should enable followers to become leaders almost effortlessly. By employing Schein’s discussion of the establishment of cultures, we made a case for leader involvement in the development of subordinates. Drawing on the followership studies by Kelley and others, we culled follower-specific competencies along the theoretical model of emotional intelligence suggested by Goleman’s competencies for leaders. Most importantly for further study, we established the need for Air Force mentoring—the vehicle by which our service can pass on its culture to new generations. In our look at the specifics for developing better followers, we discovered the existence of many overlapping requirements between effective leader competencies and dynamic follower competencies. By considering these thoughts about follower-unique opportunities to support the mission and by naming follower-specific traits and abilities, leaders may now focus on deliberate development plans for their subordinates. In the future, communication, appreciation, and efficiencies between leaders and followers should vastly improve as complementary and overlapping role requirements are articulated more effectively in terms of a competencies-based development approach for all.
Contributors
Lt Col Sharon M. Latour (BA, MA, University of California–Santa Barbara; MS, Troy State University; PhD, University of Southern California) serves on the faculty of the Department of Leadership, Command, and Communications Studies at Air Command and Staff College, Maxwell AFB, Alabama. She previously served as chief of protocol at RAF Mildenhall; assistant professor in the Behavioral Sciences Department at the US Air Force Academy; section commander in the 555th Fighter Squadron, Aviano, Italy; faculty member at Squadron Officer School, Maxwell AFB; and chief of professional military education policy at the Pentagon. Colonel Latour is a graduate of Squadron Officer School and Air Command and Staff College.
Lt Col Vicki J. Rast (USAFA; MPA, Troy State University; MMOAS, Air Command and Staff College; PhD, George Mason University) is an assistant professor of political science and chief of the Core Courses Division at the United States Air Force Academy, Colorado Springs, Colorado. She has served as director of operations, Joint Warfare Studies Department, Air Command and Staff College, Maxwell AFB, Alabama, and as aircraft maintenance and munitions officer, Shaw AFB, South Carolina. She led a munitions unit during Operations Desert Shield and Desert Storm and controlled planning and deployment of the 363d Fighter Wing during Operation Southern Watch. A distinguished graduate of Squadron Officer School and Air Command and Staff College, Colonel Rast is the author of Interagency Fratricide: Policy Failures in the Persian Gulf and Bosnia (Air University Press, 2004).
76 Disclaimer
The conclusions and opinions expressed in this document are those of the author cultivated in the freedom of expression, academic environment of Air University. They do not reflect the official position of the U.S. Government, Department of Defense, the United States Air Force or the Air University.
______Endnotes 1. “Talking Paper on Air Force Military Retention,” http://www.afpc.randolph.af.mil/ afretention/Retention Information/Pages/General.asp (accessed 4 March 2003). 2. Ibid. Special thanks to Col Chris Cain for offering this data and commentary. 3. Richard L. Hughes, Robert C. Ginnett, and Gordon J. Curphy, Leadership: Enhancing the Lessons of Experience, 3rd ed. (Boston: Irwin McGraw-Hill, 1999), 32–34, 39. 4. Robert E. Kelley, “In Praise of Followers,” in Military Leadership: In Pursuit of Excellence, 3rd ed., ed. Robert L. Taylor and William E. Rosenbach (Boulder, CO: Westview Press, 1996), 136–37. 5. Ibid., 138–41. 6. Ibid., 137. 7. Earl H. Potter, William E. Rosenbach, and Thane S. Pittman, Leading the New Professional, in Military Leadership, ed. Taylor and Rosenbach, 148. 8. Ibid., 149–50. 9. Edgar F. Puryear Jr., American Generalship: Character Is Everything: The Art of Command (Novato, CA: Presidio Press, 2000), 229. 10. Edgar H. Schein, Organizational Culture and Leadership, 2nd ed. (San Francisco: Jossey-Bass, 1992), 230, 241–42. 11. Puryear, American Generalship, 218–19. 12. Air Force Instruction (AFI) 36-3401, Air Force Mentoring, 1 June 2000, 2. 13. Ibid. 14. Quoted in Puryear, American Generalship, 188. 15. See Daniel Goleman, Working with Emotional Intelligence (New York: Bantam Books, 1998). 16. Ibid., 26–27. 17. Daniel Goleman, What Makes a Leader? Harvard Business Review, March–April 2000, 97.
76 Followership 77 Air Force Effective Writing
Student Preparation • Complete The Tongue and Quill Exercise prior to class. Cognitive Lesson Objective: • Comprehend effective writing in the Air Force according to AFH 33-337, The Tongue and Quill. Cognitive Samples of Behavior: • Describe the resources for writing available in The Tongue and Quill: - Seven steps to effective communication - Electronic communication - Air Force writing products and templates - Writing mechanics • Identify common problems in writing: - Active vs. passive voice - Subject-verb agreement - Pronoun-antecedent agreement - Punctuation
Affective Lesson Objective: • Respond to the elements of effective writing in the Air Force. Affective Samples of Behavior: • Actively participate in effective writing exercises. • Use AFH 33-37, The Tongue and Quill and other resources to communicate effectively.
78 AIR FORCE EFFECTIVE WRITING
Writing tells a lot about a person—people judge you by what and how well you write. In the Air Force, you may find yourself drafting letters that your commander will sign. For example, as a project officer you may want to let your unit know about your project by distributing an informational letter written by you (the project expert), but signed by your commander (for his/her support). Therefore, your writing may reflect not only on you, but also your commander and your organization. The best tool for helping you to write in the Air Force is AFH 33-337, The Tongue and Quill. This handbook provides most of the guidance you’ll ever need. The Tongue and Quill can likely provide you with answers to communication questions you may have, so take the time to do some research, write effectively, and represent yourself and your organization in a positive light. The following exercise will help you to become familiar with The Tongue and Quill and Air Force writing.
78 Air Force Effective Writing 79 Name: ______THE TONGUE AND QUILL EXERCISE
**Complete this exercise before class, using AFH 33-337, The Tongue and Quill, as a reference**
1. List the 7 steps to effective communication: ______2. In Step 1 of the communication process, we need to be smart about the “human factor;” therefore, effective communication requires us to analyze the audience. The journey into audience analysis actually involves knowing about three things: Know ______Know ______Know ______3. The Tongue and Quill refers to “logical arguments” as a series of statements to persuade others. We need to be smart about logical arguments because “if you understand how arguments are constructed and where they go wrong, you’re less likely to buy into somebody else’s muddy thinking.” Therefore, what four elements need attention when communicating to persuade others? ______Total Correct: ____/14
80 4. Identify 12 types of evidence to use in logical arguments:
5. “______appeals” try to persuade the heart, not the head. 6. False cause, also known as ______fallacy, occurs when you assume one event causes a second event merely because it precedes the second event. (Maybe a third factor caused the other two events.) 7. While the organization pattern, ______, discusses similarities and/or differences, the ______pattern shows how ideas/actions/conditions may lead to other ideas/actions/ conditions. • sequential; problem/solution • reasoning/logic; sequential • comparison/contrast; cause/effect • topical; chronological Total Correct: ____/15
80 Air Force Effective Writing 81 8. The draft for most papers and speeches has a three-part structure that includes these types of paragraphs: the ______, ______, and ______. 9. The ______statement in the introduction paragraph is the one sentence you’d keep if you had only one, while the ______statement is like a good roadmap by clearly identifying the main points. 10. Generally, ______transitions (e.g., first, next, finally) improve the flow of ideas within a paragraph, while the ______transitions (e.g., Now that we’ve covered X, let’s talk about Y.) link separate paragraphs or major sections of a paper. 11. By using mostly active voice, your writing is clear, concise, and alive. Rewrite the following passive sentence so that it reads in active voice. PASSIVE: Better sentences will be written by you. ACTIVE: ______12. When editing your work, the 3-step approach—1st pass, the Big Picture; 2nd pass, the Paragraph Structure/Clarity; and 3rd look, the Sentences/Phrases/Words—means you’ll need to read your papers at least three times to do a good job. Identify the editing technique that helps you catch errors because it requires you to slow down and uses two senses—seeing and hearing: ______Subjects and verbs must agree in number—one is, while two are. Mark whether each sentence below is correct (C) or not correct (NC): 13. C___NC___A drill team with 12 members is competing for base level recognition. 14. C___NC___The commander’s main concern are untrained Airmen. 15. C___NC___Everyone within the four squadrons participates in Field Day. A common error in pronoun use involves agreement in number. If the noun (the antecedent) is singular, the pronoun used to refer to the noun or antecedent must also be singular. Mark whether each sentence below is correct (C) or not correct (NC): 16. C___NC___Everyone needs to eat their meal while sitting at attention. 17. C___NC___The trainees need to eat their meal while sitting at attention. 18. C___NC___Three lieutenants arrived late; their supervisor was angry with them.
Total Correct: ____/15
82 19. On an Official Memorandum, the signature block starts on the ______line below the last line of text and 4.5 inches from the left edge of the page or three spaces to the right of page center. ___2nd ___3rd ___4th ___5th 20. The template for the Talking Paper (p. 209) indicates that the identification line at the bottom of the paper must include the following six items: ______21. The Tongue and Quill discusses two types of bullet statements, the ______bullet for talking papers and the ______bullet for performance reports and award submissions. In the following sentences, demonstrate where to put the commas for closed and open punctuation.
22. CLOSED—Will you go by car train or plane? 23. OPEN—Will you go by car train or plane? 24. How do you abbreviate “Second Lieutenant?” ______25. In titles and headings, all words are capitalized except articles (the, a, an), short prepositions (at, by, of), and ______
Total Correct: ____/16
TOTAL CORRECT: ____/60
______Bibliography: Air Force Handbook (AFH) 33-337. The Tongue & Quill, 27 May 2015.
82 Air Force Effective Writing 83 Writing Strategies
Cognitive Lesson Objective: • Apply “The Tongue & Quill” (T&Q) guidelines for effective communication in the Air Force.
Cognitive Samples of Behavior: • Write an effective memorandum. • Use the seven steps explained in the T&Q for effective writing. • Refer to the examples in the T&Q (e.g., personal letter, official memorandum, talking paper) for effective writing.
Affective Lesson Objective: • Respond to the importance of effective communication in the Air Force.
Affective Samples of Behavior: • Complete the exercise for this lesson (in SSG) before class. • Actively participate in discussion about the exercise (Voting memorandum) in class. • Refer to the T&Q to answer questions concerning Air Force communication.
84 Practice makes perfect! During this lesson, you’re going to get an opportunity to practice writing for your boss and apply the writing concepts you’ve learned. Your instructor will take you step-by-step through this lesson and provide feedback on your writing skills. Take advantage of this “hands-on” session to hone your writing skills and learn the principles of effective writing. Most people agree, the hardest portion of the Communication Skills curriculum is writing the official memorandum. Providing good, solid, concrete support isn’t easy—it’s a challenge. In this class, you’ll get the opportunity to practice writing the parts that make up the whole. You’ll work with your instructor to evaluate and correct your writing skills, in a building block approach. After this class, you’ll be ready to move to the editing class and practice editing your homework memorandum to prepare you for the graded official memorandum. Provided for you in this lesson is the programmed text for Writing Strategies. You will complete the exercise before class time and then discuss your answers with the instructor and class. As you do these exercises, be sure to incorporate all aspects of effective writing. Unit Voting Scenario
You are 2d Lt Jeremy F. Michaels, and you are the Unit Voting Officer for the 21st Training Squadron (TS). It’s nearly time for a general election. The personnel in your unit have traditionally waited until the last minute to find out what they need to do to vote. Consequently, many of them miss out on taking advantage of this important privilege. To encourage everyone and ensure they get the word about this year’s general election, your squadron commander (Lt Col Samantha C. Jones) wants you to write an official memorandum for her signature. The commander has asked you to focus on several areas concerning the benefits of voting. These areas include the good feeling that comes from voting, fulfilling obligations as a citizen, setting the example and expressing your opinion on major issues. She expects you to expand on the most important of these areas to enhance the readers’ understanding. She also wants you to stress the procedures for registering. She wants them to know that voting application forms are available, specific deadlines vary by state and both active duty and dependents may utilize your services. You’ll want to include all the details to ensure familiarity with the process. Your duty phone number is ext 3-4711 and your office symbol is 21 TS/CCE. BENEFITS (MP 1) VOTING PROCESS (MP 2) Good feeling by voting Registration deadlines vary state to state • Right as a citizen • Don’t delay in registering • Philosophy of country Procedures for registering (SI) • Role in military contributes • Orderly room Express opinion on major issues (SI) • Fill out absentee ballot form • Contribute to policy and programs • Mail application to proper state • Several important issues Set the example Military dependents may use voting service (S) • Involvement in neighborhood • Dependent procedures same as military
84 Writing Strategies 85 Sample Official Memorandum
Date (if signing that day) MEMORANDUM FORxxALL AFROTC PERSONNEL X (1 blank line) FROM: Holm Center/CRDC X (1 blank line) SUBJECT: Format of an Official Memorandum X (1 blank line) 1. Make sure all margins are one inch except for the top margin on the first page. If your official memorandum requires a second page, the top margin would be one inch. For AFROTC and most of your career, you need to keep your memorandum to one page in length. The date (if typed) will always be right justified and placed on line 10. The “MEMORANDUM FOR” line will be placed on line 11 for letters on plain paper and line 14 for letters on letterhead. 2. Do not justify your paragraphs within the official memorandum. All official memos should have hanging sentences, as you see here. The sentences within the paragraphs should be single spaced and the paragraphs themselves should be double-spaced (one blank line between each). 3. If you feel the need to break down your main ideas with additional subparagraphs, you must remember you can’t have an ‘a’ without a ‘b.’ a. The letter ‘a’ should line up with the first letter of the text in the preceding paragraph. For example, here the ‘a’ is lined with with the ‘I’ in If. b. If you don’t have enough information to effectively use the ‘b’ then combine all your information into the paragraph instead of breaking it out. 4. Always leave the reader the option to ask questions. The required POC statement is the most effective way of doing this. Although for AFROTC purposes you will only include rank, name, position and telephone extension in your POC statement, it is perfectly acceptable to also add an e-mail address. X X (4 blank lines, or 5 paragraph returns from text) X X (Signature block 3 “spaces” to the right from center) KATHLEEN C. DRAPEAUX, Capt, USAF Curriculum Area Manager X X (2 blank lines, or 3 paragraph returns from signature block) Attachment:
86 FORMAT
Remember, you always type the date on line 10 and only if you are signing the official memorandum or you know it will be signed that same day. Since this letter won’t be signed that day, don’t type the date. However, for practice, write today’s date in military format below. RULES:
HEADING a. Top Margin -- 11 lines from top for memo staying in unit- letter staying within the unit of person signing letter (i.e. a letter from a PAS or COC to his cadets, a letter from a group commander to his/her squadron commanders, from a wing commander to personnel within his/her wing) -- 14 lines from top for memorandum on letterhead or memo leaving unit- going out of the unit of the person signing the letter (i.e. From a squadron commander to a wing commander, from an specific project officer to all base project officers (when they are in different squadrons) b. MEMORANDUM FOR...all caps and two spaces after word, “FOR” -- Use appropriate abbreviated Organizational Symbol (e.g. 21 TS/CC), title, name or group name -- If attention is used, type “ATTENTION” or “ATTN” in all capital letter and align under addressee -- For outside AF or more than two addressees, follow guidance in AFM 33-326 c. FROM: Use Organizational Symbol (Unit/Office Symbol)…all caps -- The Organizational Symbol is written in all caps (i.e. 16 SOS/CCE) -- In rare instances where the Organizational Symbol is not used or is unknown, the signer’s duty title is spelled out with only the first letter of each word capitalized -- Use Office Symbol only or full Organizational Symbol for in-unit memos -- Type full Organizational Symbol for out-of-unit memos and Organizational Symbol plus return address for off-base memos d. SUBJECT: The word ‘subject’ is written in all caps—be general, yet specific to the memo -- Be brief and clear
86 Writing Strategies 87 -- Capitalize first letter of each word except for articles, prepositions and conjunctions
Create a heading for the voting scenario. MEMORANDUM FOR ______FROM: ______SUBJECT: ______BODY a. MARGINS -- Cover page: start MEMORANDUM FOR on line 11(plain paper) or line 14 (letterhead) -- margins - sides and bottom -- 1” top margin - second page only b. PARAGRAPHS -- Number or letter each (only if you have more than one) -- If you have a subparagraph ‘a,’ you must have at least a subparagraph ‘b’ -- When separating a paragraph to two pages, never put less than two lines on a page or divide a paragraph with less than four lines c. SPACING -- Single space text; double space between heading, paragraphs and subparagraphs -- Your instructor may ask you to provide a double-spaced copy for grading Terms
TR = Transition – Smooth the flow of the official memorandum (internal, external) PS = Purpose Statement – Overall point of the official memorandum OV = Overview – Lists main points of the official memorandum MP = Main Point – Specific area of discussion TS = Topic Sentence – Sets the stage for the paragraph SI = Supporting Ideas – Provides support for the topic sentence* *Answer the who, what, when, why and how questions; adds to the supporting ideas if more information is needed for the reader.
88 Purpose Statement (PS)
• A general statement about the entire letter. • Encourages the reader to act, or informs the reader of the letter’s intent. • Written in conversational tone. Use: a. Generally use 1st person (1P = I, we) or 2nd person (2P = you) pronouns b. Active voice c. Contractions Write a PS for the voting scenario. ______The Overview (OV)
• Includes all main points for your official memorandum. • Determines the order of the body paragraphs. • Written in conversational tone and may be potentially preceded by an internal transition. Write an OV sentence using your Key Words (transition is optional here). ______The Body Paragraphs
• Features: a. Unity: everything must relate to the topic sentence. b. Order: refers to internal logical and organizational pattern of main ideas and support. c. Coherence: using transitions and good conversational tone to create smooth flow. d. Completeness: you must answer the readers’ burning questions with any relevant support. Transitions (TR)
• Link ideas together. They can compare and contrast; show time or results; they can also add or relate ideas. • Use them to enhance organizational pattern (order) and to help words to flow smoothly (coherence). In one-page official memorandums, transitions are NOT always necessary.
88 Writing Strategies 89 a. Internal transitions logically tie supporting ideas together or point out the relationship between ideas (within a main point). b. External transitions lead the reader to the next main point or develop a relationship between main points. • You may use transitions in the introductory paragraph, between the main points, between the main points and supporting ideas, or within the supporting ideas. • Holm Center requirements: a minimum of one external transition at the end of paragraph two (links the two body paragraphs) and at least two internal transitions per main body paragraph. The Topic Sentence (TS)
• Introduces the paragraph. • Is a general statement about the contents of the paragraph (frames the paragraph). • Must contain one of the overview’s main points (use key words from overview). • Written in conversational tone. Write a TS for MP 1—the benefits of voting (paragraph 2). ______Supporting Ideas (SI)
• Provides key ideas to support the topic sentence. • Groups related items into paragraphs. • Include some transitions, usually as an introductory clause. • Answer the appropriate who, what, where, when, why and how questions. • Provide the reader with specific details when needed. Write one or more sentences for paragraph 2 using your first SI; anticipate questions your reader might have. (In paragraph 2, use at least 2 TRs to link the SIs--enhances a logical flow.) ______
90 Write one or more sentences for paragraph 2 supporting your next SI and answer all the questions the reader might have. Consider an internal TR to link the 1st and 2nd SIs. ______
Write one or more sentences for paragraph 2 supporting your next SI and answer all the questions the reader might have. Consider an internal TR to link the 2nd and 3rd SIs. IMPORTANT - write an external TR (a sentence) that indicates you’re moving on from MP 1 to MP2. ______
Write a TS for MP 2—the voting process (paragraph 3). ______
90 Writing Strategies 91 Write one or more sentences for paragraph 3 supporting your first SI. Consider an internal TR to enhance the “flow;” anticipate and answer questions your readers may have. ______
Write one or more sentences for paragraph 3 supporting your next SI and answer all the questions the reader might have. Consider an internal TR to like the SIs. ______
Write one or more sentences for paragraph 3. Support your next SI, anticipating reader questions. Consider an internal TR to link the last two SIs. ______
92 The Conclusion Paragraph
• Is persuasive and makes final pitch; ends on positive note—doesn’t summarize. • Should be “personable” (hint: use conversational tone). • Must have all point of contact (POC) information. • Includes the reason for the suspense, if needed. NOTE: POC information = rank/title, name, position, ext (phone number); depending on your audience, other information may be helpful, such as e-mail address.
Write your own conclusion paragraph for the voting scenario. ______Signature Block
• Line One -- Name: all caps, followed by comma -- Rank: lower and upper case, (abbreviated per Tongue and Quill), followed by comma -- USAF: upper case • Line Two -- Duty title: upper and lower case • Four point five (4.5) inches from left, five lines below last line of text in paragraph four. • For three-line signature block, see AFMAN 33-326, Preparing Official Communications. Write a signature block for the voting scenario. ______
The most important thing to remember when writing official memorandums is that each boss, secretary or executive officer you work for will have different ideas and styles when it comes writing. Being able to adapt to these individuals’ preferences and produce quality work is one indication of your effectiveness in military writing.
92 Writing Strategies 93 ______Bibliography: 1. AFH 33-337. The Tongue and Quill, 27 May 2015. 2. AFMAN 33-326. Preparing Official Communications, 25 November 2011. 3. USAFA Executive Writing Course. Colorado Springs: USAF Academy, undated. 4. AFI 36-2101. Classifying Military Personnel (Officer and Enlisted), 25 June 2013. 5. www.afrotc.com: -Click on Careers -Click on Careers in the Air Force and then choose Air Force Careers.
94 Basics of Briefing
Cognitive Lesson Objective: • Apply Tongue & Quill (T&Q) guidance to develop and deliver a professional military briefing. Cognitive Samples of Behavior: • Develop a military briefing using the Seven Steps to Effective Communication. • Practice techniques to overcome anxiety in speaking. • Describe the differences between Impromptu, Prepared (formerly Extemporaneous), and Manuscript briefings. • Develop slides for your briefings that include the following basic slides: Title/Name slide, Overview slide, slides for Main Points, and Summary slide. • Demonstrate the following elements for a successful briefing: content (introduction, body, conclusion), verbal expression, movement, gestures, eye contact, organization, transitions, personal appearance, and use of visual aids (e.g., slides). Affective Lesson Objective: • Respond to the importance of developing and delivering a professional military briefing. Affective Samples of Behavior: • Actively participate in class discussion. • Refer to the T&Q for guidance when preparing any type of Air Force communication, including military briefings.
95 Basics of Briefing 95 BASICS OF BRIEFING
Why study speech, or more specifically, the military briefing? Why attempt to improve your oral communication skills? If for no other reason, speech is important because we use speech more than any other medium of communication, except for listening. About 80 percent of language activity takes the form of speaking and listening. The fact that children may speak 30,000 words a day before they can write half a dozen words dramatizes a condition that prevails throughout most of life. The world is, for most people, a speaking and listening world. Most people agree—preparing a military briefing is time-consuming but relatively easy, as compared to actually giving a military briefing. However, no matter how well prepared or interesting your material is, you can’t be a successful briefer unless you can convey the message to your audience. The outcome of your presentation rests squarely on your delivery—making your verbals and nonverbals complement each other, rather than work against each other. An effective briefing must always be delivered with an “urge to communicate,” with directness and vigor. In an Air Force briefing, the emphasis is on a direct, conversational style of speaking rather than an artificial, oratorical style. Think of your delivery as “amplified conversation” spiced with military respect and bearing instead of “public speaking,” and you should find it easier to face your audience.
HOW TO GIVE A WINNING MILITARY BRIEFING
Dr. John A. Kline Commanders say that one of the most important skills officers need is the ability to brief effectively. The good news is that any officer can become an outstanding briefer. The disturbing news is that many never do. Here is what you need to know to be able to give winning briefings—the kind that communicate and get desired results. Before preparing a military briefing, you need a clear objective or idea of just what you expect the listeners to think, feel, or do after hearing your briefing. Next, you must decide if you are giving a briefing to inform or one that seeks to persuade or advocate. Finally, you must commit to adhere to the ABCs of briefing—accuracy, brevity, and clarity. Now, you are ready to begin. There are three things to know about preparing and presenting a military briefing. The acronym OSD (which also stands for Office of the Secretary of Defense) will help you remember them. They are Organization, Support, and Delivery.
96 Organization
Beginning. Here is where you tell them what you are going to tell them. Military briefings have a standard beginning. For example, if I were briefing you on how to give a military briefing here is how I would begin: “Good Morning, I am Dr. John Kine. Today I will brief you on ‘How to Give a Military Briefing.’ More specifically we will look at three things-- how to organize, how to support, and how to deliver a briefing.”
Body. Here is where you tell them. Main points in briefings are most often organized according to one of the standard patterns of organization: chronological, spatial, cause/ effect, problem/solution, pro/con, and topical. The bottom line of effectively organizing a briefing is to organize logically so that it helps you present the information and, above all, helps your audience listen and retain it.
Ending. Here, you tell them what you told them. I would end this way: “Sir/Ma’am, today I briefed on how to give a briefing. We looked at three things--how to organize, how to support, and how to deliver a briefing. Sir/Ma’am, this concludes my briefing. Are there any questions?”
Support
Verbal Support. Since a briefing is by definition, brief, support is generally limited to factual data carefully selected to accomplish the “need to know.” Still each of the standard types of verbal support is important. Definitions are often needed to explain new or unfamiliar terms or acronyms. Examples provide specific or concrete instances that help clarify general or abstract ideas. Comparisons and contrasts between the familiar and unfamiliar help audiences grasp new ideas more readily. Statistics and Testimony or quotations from expert and trustworthy sources help to prove the points you are making.
Visual Support. Somebody once said, “A picture is worth a thousand words.” Visual aids can dramatize, amplify, or clarify the points you are trying to get across to your audience. Most often you will use Power Point with your briefings. But whatever visual support you use, keep a few things in mind. Make it relevant, simple, and large enough to be seen by your audience. And don’t let it draw either your attention or the attention of the audience away from what you are saying.
Delivery
Although preparing the briefing can be laborious, delivery is the most difficult part for most people. But it doesn’t need to be. If you know your subject and have prepared well, then presenting briefings can be an exhilarating experience. The secret is to be well organized, have the right supporting information, and then practice-practice.
96 Basics of Briefing 97 Method. Most of your briefings will be delivered extemporaneously--p. 122 in the T&Q refers to this as a prepared briefing. You will plan them idea-by-idea rather than word- by-word. Then you will just carry a brief outline or a few notes to the lectern when you speak. This method requires you to prepare carefully, yet it will enable you to adjust to your audience and sound more spontaneous and conversational.
Eye Contact. You will want to look directly at people, clearly including all listeners. Effective eye contact will keep the audience’s interest, allow you to adjust to nonverbal feedback, and make you appear more credible to your listeners.
Body Movement. You will find yourself in a variety of situations (room types, equipment availability, etc.) that you’ll need to adapt your body movements. Oftentimes, military briefings are presented from behind the podium. Be careful not to lean on the lectern, sway, rock, or move out of the range of a microphone if there is one. Use body movement to compliment your briefings; therefore, avoid movements that distract your audience from your message.
Gestures. Use them. The hands, arms, shoulders, head, and face can reinforce what you are saying. Although gestures can be perfected with practice, they will be most effective if you make a conscious effort to have them appear natural and spontaneous rather than planned.
Voice. Three vocal characteristics are important. First is quality. Although you should strive to be pleasing to listen to and attempt to use your voice to its best advantage, rest easy in knowing that some of the very finest briefers anywhere have only average voices. Second is understandability. Your audience must be able to understand you. Give special attention to articulation--how you form sounds, pronunciation—how you say words, and avoidance of stock expressions such as “okay,” vocalized pauses such as “uh,” “um,” or “and uh,” and, above all, poor grammar. The third characteristic is variety. Effective briefers vary the rate, volume, force, pitch, and emphasis.
Transitions. One mark of a winning briefing is how well the parts are tied together. Effective transitions aid listening, provide a logical flow, and add a professional touch. In written documents such as the one you are reading now, bold print or space between sections lets you know that I am transitioning from one point to another. Briefers do the same thing with the words they use and the way they say them. For example, suppose I was briefing and wanted to transition from the first point, “Organization” to the second point, “Support.” I might say, “Not only is it important to organize our points effectively, it is also important that we choose the right kind of information to support the points we are making.” Notice how I led you from one point to another. Attention should be given toward supplying transitions between the beginning and the body, the body and the ending, between main points, from main points to sub points and even between sub points. Effective transitions help your listeners to follow your trail of ideas while adding polish and professionalism to your briefing.
98 Conclusion
Military briefings are commonly used in the Air Force to share information, promote positive behaviors, and accomplish the mission. Because we hear so much information through briefings, your audiences will appreciate the time and attention you commit to give a professional presentation. During training, you saw many briefings. During this course, you’ll have opportunities to practice briefing techniques. Whenever someone does a great job in delivering a briefing, try to analyze the techniques that he/she used to be successful. Military briefings is a skill; you’ll get better with practice!
______Bibliography: 1. AFH 33-337. The Tongue and Quill, 27 May 2015. 2. Kline, John A. Speaking Effectively: A Guide for AF Speakers, Maxwell AFB, AL: Air University Press, December 1989 (article in this lesson written specifically for Holm Center/CR use).
98 Basics of Briefing 99 Full-Range Leadership
Cognitive Lesson Objective: • Comprehend principles of Full-Range Leadership.
Cognitive Samples of Behavior: • Explain the concept of Full-Range Leadership. • Identify elements of the Full-Range Leadership Model. • Summarize the characteristics of laissez-faire, transactional, and transformational leadership.
Affective Lesson Objective: • Value the importance of Full-Range Leadership in mission accomplishment.
Affective Sample of Behavior: • Openly express acceptance of Full-Range Leadership principles.
100 THE FULL-RANGE LEADERSHIP MODEL:
A BRIEF PRIMER
(Adapted, with permission, from Squadron Officer School; article created by Dr. Matthew Stafford.) Note: The following article is based on the two books on Full-Range Leadership: Sosik, John J,. and Don I Jung, Full-Range Leadership Development (New York, Psychology Press, 2010) and Bass, Bernard M., and Ronald E. Riggio, Transformational Leadership, Second Edition (Mahwah, New Jersey, Erlbaum Associates, 2006). The tables under each FRLM behavior were contributed by Lt Col Alex Barelka, AFIT. The examples and applications are my own. If there are any factual errors, they are my own as well. Readers desiring additional information on FRLM concepts should reference the two works listed above. Matthew Stafford
BACKGROUND ON LEADERSHIP THEORY
ne could argue that leadership theory is nearly as old as humanity. Even before humans could read and write, they undoubtedly sat and wondered why some Omembers of their societies rose to leadership positions while others did not. As mankind’s curiosity increased, undoubtedly humans wondered what it was that made leaders “tick.” The earliest attempts to answer this question were the historical biographies written about great leaders. Whether intentionally or unintentionally, these biographies served as leadership texts of a sort. People could read these texts to discern basic characteristics and behaviors of leaders, potentially modeling their behavior and decisions similarly in hopes of rising to similar levels of success in their own lives. Interestingly, this approach to leadership study still exists in what is often referred to as “The Great Man (or Woman) Theories.” Adherents to these theories study biographies to discern leadership traits, encouraging students to adopt those traits determined to be the most successful.1 Trait-based leadership instruction is problematic, however. Perhaps most important is the question “how does one develop a trait?” Even when and where people have identical traits, however, outcomes differ widely varying on context and the way in which leaders interact with that context. Instead of teaching leadership, this trait- based approach only affords an analytical tool by which scholars can identify traits but not necessarily replicate them consistently and successfully in students. Even were that possible, however, how could students learn to employ those traits given the unlimited
100 Full-Range Leadership 101 variations in situations that are probable within a single leadership experience? There would have to be additional instruction on analyzing contextual variations to include situations, followers, levels of authority, etc. Trait-based theories address none of this. Those that subscribe to trait based leadership tend to favor the notion that leaders are born not made. Although it is true that leaders who have certain traits tend to excel, the evidence is equally clear that education and training can improve leadership effectiveness. This supports the notion that leaders can certainly be made so we move on.
The Full-Range Leadership Model (FRLM)
FRLM evolved directly from the work of James MacGregor Burns. In 1978, Burns argued that leadership was either transactional or transformational. Transactional leaders lead through social exchanges; transformational leaders develop their followers and motivate and/or inspire them to achieve extraordinary levels of success. This last offering was critical as it explained those situations in which followers exceeded all expectations— even their own—to achieve success. Of particular interest is the relationship between transformational leadership behaviors and military leadership challenges. Given the “unlimited liability” of military service— the chance that military personnel might lose their lives in the performance of assigned missions—is there any transaction that can explain continued sustained performance in the face of such a risk? Of course not; there is something more at work. Military personnel are not all mercenaries; they fight and take extraordinary risks for other reasons. They are driven by other motivations. Esprit, camaraderie, patriotism, pride… these are all qualities that do not fit neatly into leadership theories of the past but are afforded a place of honor in the transformational portion of the FRLM. Essentially, the entire FRLM appears as follows:
Laissez- Transactional Transformational Faire Hands-Off Management by Contingent Individual Intellectual Inspirational Idealized Leadership Exception (MBE) Reward Consideration Stimulation Motivation Influence (CR) (IC) (IS) (IM) (II) Passive Active Caring Thinking Charming Influencing MBE MBE
Figure 1. The Full-Range Leadership Model
TRANSFORMATIONAL LEADERSHIP
hat is a “transformational leader?” What are they “transforming?” Fair questions! And both can be addressed with a single answer: Transformational leaders Ware those who transform their followers. Through the use of inspiration and motivation, they motivate their followers to do more than was originally intended – often more than either the leader or follower thought was possible. In their book Transformational
102 Leadership, Bass and Riggio argue that, “Transformational leadership involves inspiring followers to commit to a shared vision and goals for an organization or unit, challenging them to be innovative problem solvers, and developing followers leadership capacity via coaching, mentoring, and provision of both challenges and support.”2 Transformational leaders achieve these superior results by employing one or more of the behaviors described below.
Idealized Influence (II)
One can conceive of II as role-modeling, or “walking the talk.” II often relates to morality and ethics. There are, however, two aspects of II to consider. First, is the leader’s actual behavior. Leaders with high levels of II behavior will emphasize shared values (unit, Service, or national), and the collective mission. They exhibit the Air Force value of service before self, sacrificing personal gain for the mission and their subordinates. They do the right thing. They are consistent rather than arbitrary and are willing to take risks for the greater good. In addition to II behaviors, II leaders exhibited attributes ascribed to them by their followers. The leader’s behavior will generate respect and admiration among followers. They are endowed by their followers with qualities such as persistence, determination and courage. The difference between behaviors and attributes might seem confusing at first, but it really makes a lot of sense. A few years ago, a wing commander noted that his executive officer had spent a large sum of money reserved for hosting distinguished visitors to the wing. The money had been provided to the wing by a local community group with the intention that it would be spent in support of an annual civilian-military event. The executive officer did not spend the money on himself, but used it to pay for wing personnel’s get-well gifts and cards, flowers, birthday cards and cakes, funeral flowers, celebratory lunches, etc. – those small expenses that arise constantly at our jobs. It was not until the annual celebration approached that the wing commander realized the allotted pot of money was nearly gone. At a senior staff meeting, the wing commander explained to his staff what had happened and asked each person present to contribute a sum of money to replace the “missing” funds. At the conclusion of the meeting, a single Colonel stayed behind to question the decision: “If any other officer in the wing had mishandled the money, there would have been an investigation.” He knew the investigation would embarrass the wing, but his conscience would not allow him to participate in such a blatant cover-up. Over his commander’s protests, he contacted the proper authorities and launched an investigation. The Colonel demonstrated II behavior by doing the right thing. He took a personal risk in terms of his career by challenging his boss. When word leaked of the Colonel’s behavior, his subordinates ascribed to him additional characteristics: boldness and courage, for instance. Was it the Colonel’s intent to be bold or courageous? No; he merely insisted that his boss “follow the rules.” This story demonstrates the behavioral and attributed nature of II behaviors.
102 Full-Range Leadership 103 General Characteristics Highly credible and trustworthy Actions of Leader Conveys a clear sense of integrity Reactions of the Associates A desire to emulate the leader A Behavioral Example Displays in actions and words a strong sense of purpose
Figure 2. Summary of “Idealized Influence” Inspirational Motivation (IM)
If II is “walking the talk,” one could argue that IM is “talking the talk.” Leaders with high levels of IM behaviors motivate and inspire their followers via the spoken word. They develop and clearly articulate a vision and the expectations for their follower’s performance. In doing so, they “raise the bar” for their organization, setting new standards and new targets for their followers efforts. Years ago, a maintenance flight commander was facing a particularly difficult leadership challenge. His maintenance group, and consequently the entire wing, had failed a nuclear surety inspection (NSI). The fault lay entirely with the flight he had recently inherited. They had inadvertently violated technical data in such a manner that the entire wing “busted” the inspection. A follow-on inspection had determined the wing was in compliance, but still an ominous cloud of self-doubt hung over the entire flight, and the inspection team was coming for another annual inspection in weeks. The entire flight had undergone massive retraining following the previous inspection debacle. Competence was not the obstacle. The flight commander also implemented a review schedule, to make sure that every aspect of the flight’s operations had received a “second look” prior to the inspection, however, that was not the “real problem” either. He realized it was the workers lack of self-confidence that was seriously hampering their ability to perform their mission, let alone to prepare themselves and their equipment for the scrutiny of another NSI. Positive meetings with his NCOs and encouraging words to his teams simply were not enough. He needed something more. The flight commander called a flight meeting and announced that he needed help planning the “post-IG victory celebration” for the flight. It would be an extravaganza – a night out with spouses invited, special recognition for the identified “outstanding performers,” etc. The NCOs were surprised. Planning a victory celebration for a victory that had not occurred yet was new to them, but the flight commander’s confidence and determination won their support. The flight commander hung banners congratulating his teams as being the best in the command and “counted down” the days to the big celebration. He talked as if the inspection was already complete and the scores already announced. His infectious enthusiasm prompted others within his leadership sphere to echo his sentiments. Soon he noted that his personnel were “walking taller,” with their chins up. They were thinking less of their past failure and looking forward to the opportunity to prove just how good they were.
104 The actual inspection was almost a let-down; the teams were so well prepared. They moved like well-oiled machines through their inspectable tasks. Checklists were run with the precision of drill teams. Even the maintainers who were not highly regarded for their professionalism or technical competence got into the act. The inspectors were effervescent in their praise for what they had seen. The flight received an “outstanding” rating and multiple personnel were singled out for special recognition as “outstanding performers.” Throughout the preparation period, the flight commander had repeatedly revisited his vision – his personnel basking in the glory of their combined achievement. He helped his followers understand both the desired outcome and the important milestones that had to be achieved on the way. His vision of a successful flight, celebrating their achievements managed to dissipate the cloud of self doubt that restrained the teams from reaching their full potential. Through his positive leadership and his demonstrated IM behavior, the flight commander transformed his entire flight. Creating and sharing a vision for the future, and spurring followers to achieve that vision is a phenomenal motivator. It lets people know where they are going and encourages them in the journey. People are more confident if they have a good feel for their future; they feel a sense of belonging and are more likely to commit to their organization’s efforts.
General Characteristic Clarifies “ideal” future state Actions of Leader Aligns individual and organizational goals Reactions of the Associates Willing to exert extra effort for the leader A Behavioral Example Arouses in associates emotional acceptance and identification with their challenges
Figure 3. Summary of “Inspirational Motivation” Intellectual Stimulation (IS)
There is an old saying that “none of us are as smart as all of us.” For many years “brainstorming” has been a proven technique for eliciting input to overcome challenges and solve problems. Yet how has brainstorming been inculcated into the Air Force? One can argue that the Air Force Smart Operations for the 21st Century (AFSO21) program is an attempt to inculcate brainstorming. It is certainly a proven approach for improving performance and processes. Leaders can use AFSO21 tools to identify and address weaknesses and waste in their processes. In terms of individual leaders, however, we typically do not think of AFSO21 tools. AFSO21 tools tend to be team-focused. Leaders accomplish similar outcomes, however, by employing IS. Through IS, leaders stimulate followers creativity. Leaders employing IS question assumptions, processes and existing paradigms, forcing their followers to rethink their solutions and create new approaches to problems. Such leaders include their followers in decision-making related
104 Full-Range Leadership 105 to such improvements. They support some risk-taking, allowing subordinates to try their ideas and not over-reacting to failure. If a leader is not accepting of occasional failures, their followers will be unwilling to take risks. A few years ago, when Hanta Virus was first detected in the Midwest, there was concern over military members who had to work in areas where the virus might be present. Although it was known that the virus was resident in rodent droppings, there was no immediate plan for how to deal with the virus in warehouses, garages and isolated buildings where rodents were often found. Except for “avoidance,” there were no instructions from either the Public Health Services or the Center for Disease Control. At one base, tensions were elevated when a civilian worker at a grain elevator just off base contracted the disease and died within a week of exhibiting symptoms. Work was postponed in those areas that might be harboring the virus. Higher headquarters was stymied by the problem. At one wing a team was formed to address the military members concerns. Spurred by the squadron commander, the team conducted research and offered a number of suggestions. Ultimately the team developed what looked to be a workable solution. A backpack-sprayer filled with highly chlorinated water would be used to soak down suspect rodent dwellings, droppings, etc. The liquid ensured the rodent materials would be sufficiently soaked so that the dust, in which the virus was transmitted, would not become airborne. Equipped with gloves and a face mask, the teams could then remove the potentially harmful materials. With the squadron commander’s backing, a sample kit was purchased and procedures developed. The kit was tested. The kit, procedures and test results were forwarded to higher headquarters. The kit and procedures were authorized for all affected wings a short time later. The commander, not a virologist himself, motivated his followers – also not experts in the field – to research and solve a problem that posed a major challenge to mission success. Ultimately, the experts concurred that the team’s recommendation was the right solution and adopted it force-wide. No military personnel using the approach contracted the virus and work that had been delayed until a solution could be found was resumed. IS cannot solve every problem. Sometimes the people do not possess the expertise or access to the expertise needed to solve a problem. In other instances, innovative efforts are stymied by external requirements. In most instances, however, people can and will innovate improvements in their jobs and the processes in which they are involved if only afforded opportunities. The results are improved job performance but also increased job satisfaction as people take ownership of their performance and realize that they are trusted and empowered to make improvements.
106 General Characteristic Challenge old ways and habits Actions of Leader Creates a readiness for changing one’s way of thinking Reactions of the Associates Displays a willingness to think and develop new perspectives A Behavioral Example Discusses new trends and ideas and offers examples to change associates’ perspective on a problem/ opportunity
Figure 4: Summary of “Intellectual Stimulation” Individual Consideration (IC)
J. M. Burns, in his 1978 book Leadership, noted that the ultimate aim of great leaders is to develop their followers into future leaders. IC is that transformational leadership trait focused on the development of followers. IC involves a range of behaviors, to include listening, coaching, mentoring and teaching and directly addresses followers need for achievement and growth. As people think back to the great leaders they have known in their lives, invariably they recall those leaders that helped them reach their full potential. Whether it was a coach, a favorite teacher, a commander, or even a parent or a grandparent, most people recall those leaders most favorably who invested time in getting to know and develop their followers. A former wing commander adopted the habit of having a company-grade officer (CGO) “shadow” him one afternoon each week. CGOs were nominated from their squadrons, selected by group commanders, with each group getting a “slot” one afternoon each month. The wing commander would meet with the CGO at lunch time; discuss what was happening in the wing and what the afternoon schedule would entail, and then talk about the CGO’s duties and career plans. At the end of each afternoon session, the wing commander would spend a few minutes with the CGO, answering any questions that might have arisen. At the end of the day, the wing commander and CGO spent as much as thirty minutes reviewing the day, discussing career goals and any concerns that the CGO wanted to raise. Importantly, the wing commander spent a lot of time talking about the CGO and listening intently to what the CGO had to say. These were extraordinary mentoring opportunities; however, they served other purposes as well. The fact that a busy wing commander would make so much time to mentor his junior officers helped increase loyalty and job satisfaction across the wing. This practice was repeatedly praised by unit personnel in their promotion and departure speeches and figured prominently in unit climate assessment feedback.
106 Full-Range Leadership 107 Often the mentored CGOs would elevate concerns from their workplaces that the wing commander could address at his level. In a less gifted leader’s hands, such an approach could have led to ill will among subordinate commanders. This wing commander, however, had a knack for bringing his subordinate commanders on board. They quickly realized that they were not “penalized” for recommendations, but praised for their quick responses in meeting their people’s needs. In this way, the wing commander was mentoring his subordinate commanders, too. Consequently, they were eager to send CGOs up for these opportunities often preparing the CGOs with issues they wanted raised. Another benefit of these sessions was the wing commander really came to know his people and their concerns. Not only that, but he could often link CGOs to others who had encountered and overcome similar challenges in their work centers. The result was this wing commander contributed to a network of top-flight, committed officers across his wing. The open communication and the genuine concern exhibited by this wing commander strengthened the wing’s camaraderie and tore down walls that separated levels of command and the various units within the wing. Everyone who worked for this commander knew that he cared about them and the challenges they faced. Clearly he demonstrated strong IC behavior.
General Characteristic Understanding and developmentally focused Actions of Leader Coaches individuals who need it Reactions of the Associates Willing to continuously improve and develop A Behavioral Example Continuously enlarges individual discretion commensurate with ability, needs and motivation
Figure 5. Summary of “Individual Consideration”
TRANSACTIONAL LEADERSHIP
ecause it is less focused on emotion and inspiration, transactional leadership is sometimes afforded less respect than transformational leadership. This Bis unfortunate, because most leadership positions require elements of both transactional and transformational leadership. Most commanders, for instance, not only lead people but are also responsible for managing resources – budgets, facilities, vehicles, etc. These kinds of responsibilities lend themselves well to the behaviors inherent in transactional leadership.
Contingent Reward (CR)
CR is an active form of management that is effective in a wide variety of situations. It recognizes the inherent transactional nature of most supervisor-subordinate situations and encourages leaders to “contract” with employees to achieve desired outcomes.
108 For CR to work properly, the leader needs to set goals for their subordinates, explain the expectations for the subordinate’s work, and define the roles, levels of authority and responsibility, and pertinent processes so the subordinates will understand what is expected of them. The subordinates will respond to these instructions by meeting the performance requirements levied upon them. In response, the subordinates will receive some agreed upon reward. Typically, we think of the CR as a factor of pay and benefits. This is true for most routine work, however, there are also CRs for non-routine work. For instance, it is common in many units for “of-the-quarter” award winners to receive a pass – time off from work for their outstanding work. If personnel are motivated to superior performance to get this pass – and the accompanying rewards (often a bag of gifts or even a check) that accompany the award – then they are working toward a CR; a reward contingent upon their outstanding work. CRs need not be positive. One can think of CR as a “carrot-and-stick approach” to management. In return for good performance, subordinates get a reward. In return for failing to achieve established performance objectives, the subordinates get a negative reward. For instance, if a parachute-packing line has as its goal 500 parachute packs in a given week, the supervisor might offer the line this deal: “We will pack and inspect 100 chutes a day. If we pack and inspect more, we can get off early on Friday. If we pack and inspect fewer, we will work Saturday and even Sunday until all of the chutes are packed and inspected.” Clearly the CRs for the chute-packing and inspecting are connected to time off. The supervisor has specified the performance standards in terms of quantity and quality and has set CRs to meet those standards. CR is entirely appropriate when dealing with committed, talented people who know the requirements of their jobs and need little additional encouragement to achieve success. This is not to say that leaders should not try to employ transformational leadership in those areas that are exceeding production goals, only that leaders can focus their attention on those groups, offices, or organizations within their span of control that need more time and attention. Some major shortcomings of CR are that it typically fails to inspire people to exceed the performance standards outline for them. In fact, in some work settings workers might actually ostracize co-workers who exceed standards arguing that they are “giving for free” work that should be compensated. This is not usually a factor for uniformed personnel, but is a common them in production-worker contract negotiations. Another potential shortcoming of CR, far more relevant to military personnel, is leadership’s failure to discern which CRs work and which do not. Military leaders need to understand their subordinates wants and needs in order to offer CRs that actually stimulate desired behaviors. A senior civilian employee earning 160 hours of annual leave each year and carrying a use-or-lose leave balance of over 100 hours is not going to be particularly stimulated by an end-of-year time-off reward. A captain whose wife is expecting next month may not appreciate a coveted TDY that would have him away on the due date.
108 Full-Range Leadership 109 Clearly, leaders need to understand both their people and the potential CRs that are available to them – both positive and negative - in order to employ transactional CR effectively. Failure to achieve this understanding seriously limits leaders ability to employ this highly effective leadership behavior.
General Characteristic Clarifies Goals and Expectations Actions of Leader Provides feedback on agreements Reactions of the Associates Achieves expected performance A Behavioral Example Provides support for associates in exchange for required effort
Figure 6. Summary of “Contingent Reward” Management by Exception (MBE)
Like CR, MBE is a recognized and often effective way of managing systems, processes, resources and in some circumstances, even people. Unlike CR, however, MBE focuses less on building that contractual relationship between leaders and followers and more on intervention when followers fail to achieve standards. In short, it is less proactive and more reactive in nature than CR. It is a form of transactional leadership because MBE is essentially a corrective transaction – an intervention by leadership to correct a situation. Also like CR, MBE can be positive or negative, however, most people typically think of a leader’s intervention into their work areas as a decidedly negative event. Because their intervention may be perceived negatively by their subordinates, MBE leaders may generate fear and stifle open communications with their followers. Further, because these leaders emphasis is so clearly on maintaining standards and performance objectives, it is likely that creativity will be stifled as well. Risk-taking might adversely affect desired outcomes, so such behavior will likely be discouraged in an organization run exclusively using MBE techniques. MBE takes two forms, active and passive. In active MBE (MBE-A), leaders constantly monitor the processes and subordinate performance for which they are responsible and intervene at the earliest sign of a problem. A leader exhibiting strong MBE-A behaviors focuses on mistakes, complaints, adverse trends, failures, deviations from standards, broken rules or regulations, etc. The passive form of MBE (MBE-P) is even more reactionary than MBE-A. Instead of monitoring processes and work performance of subordinates, MBE-P leaders simply wait for something to go wrong. Leaders exhibiting strong MBE-P tendencies will often claim, “if it’s not broken, don’t fix it.” They are not risk-takers. Leaders exhibiting strong MBE-P behaviors are unlikely to be perceived as role models by their subordinates. So is MBE bad? No, not always. MBE is entirely appropriate in those situations where a leader has talented followers who can be trusted to deliver expected results. When, for instance, Gen. Norman Schwarzkopf led the coalition forces for Operation DESERT STORM, he was not able to engage with every unit commander every day. His focus
110 was rightly placed on the cutting edge of his attack. When the Iraqis countered with their unexpected push South into Khafji, however, Gen. Schwarzkopf’s attention rightly turned to the small number of Marines remaining in the occupied city. Schwarzkopf had employed an MBE-A approach to those units not on the spear-point of his offensive, but adjusted as appropriate to counter the unanticipated threat – the “exception” to his plan of attack.
General Characteristics Reactionary: Monitors and corrects problems (MBE-A) or waits and responds to problems as they occur (MBE-P) Actions of Leader Avoids trying to change processes as long as they work. Alert to mistakes (MBE-A) Reactions of the Associates Maintain status quo and avoids making any mistakes. A Behavioral Example The leader will instruct associates on how to make improvements only when necessary and only teaches associates how to correct and avoid mistakes
Figure 7. Summary of “Management by Exception”
LAISSEZ-FAIRE LEADERSHIP
he final leadership behavior to address is laissez-faire (LF) leadership. It is difficult to describe LF leadership because it is essentially non-leadership. LF leaders do Tnot take stands on issues, they do not make decisions, they do not develop their people…in short, they do not lead. There is no exchange between leaders and followers simply because the leaders do not particularly care about their followers or the challenges they face. Some erroneously argue that LF leadership has a place in today’s leadership environment. They argue that teams can perform best with little or no intervention from leaders, except in extraordinary circumstances. Even if they are correct, they mistake LF leadership for MBE. In most cases, however, people perform best when they get inspiration and motivation from their leaders – transformational leadership. LF leadership is the absence of all such inspiration and motivation. It is the absence of caring and direction. So why are there such leaders? Clearly, very few people would ever set out to become LF leaders. They devolve to this leadership style because they are distracted by other events in their lives. Perhaps they are overwhelmed by personal problems or are experiencing physical or psychological problems that prevent them from being more effective.
110 Full-Range Leadership 111 Still, most FRLM experts agree that the majority of leaders demonstrate behaviors across the range of the FRLM model – to include LF leadership – in the performance of their duties. Is it possible that good leaders might demonstrate LF behaviors? Absolutely. Good leaders can become distracted and, consequently, fail to pay proper attention to areas under their control. Clearly LF leadership is not a goal; it is not a type of leadership leaders typically try to embrace. Instead, it is the result of being distracted; of failing to provide leadership when and where it is needed. Yet it is important for leaders to grasp LF, its signs and its consequences, if only to be aware of the tendency for LF behaviors to manifest themselves when leaders attention is diverted.
General Characteristic Delays Actions of Leader Diverts attention away from hard choices Reactions of the Associates Frustrated and may usurp the role of the leader A Behavioral Example The leader is not engaged in our work
Figure 8. Summary of “Laissez-faire”
FRLM: CONTINUUM OR CAFETERIA LINE?
uch of the literature on the FRLM argues that leadership is a continuum, stretching from laissez-faire leadership, at the lowest level of leadership, to idealized Minfluence at the highest level. This approach argues that transformational styles are better than transactional, and that individual styles within the major subsets are also ranked. Contingent reward, for instance, is thought by some researchers to be superior to management by exception. Such an approach is problematic, however. In the vast majority of situations, leaders will find themselves confronted with a wide variety of leadership challenges. Some can be handled appropriately and effectively employing transactional behaviors. Others will require transformational behaviors. The same leader will have to be able to apply both simultaneously in order to achieve success. Take for instance a maintenance squadron commander. One maintenance shop might be led by experienced, motivated NCOs who require minimal supervision and direction to achieve extraordinary results. MBE-A might be an entirely acceptable and successful approach for a squadron commander leading such a shop. In the same squadron, however, there might be a maintenance shop being led by newly promoted personnel in their first leadership position. The squadron commander would be wise to emphasize IC in such a situation, developing these followers to reach leadership levels commensurate with expectations and the performance level of the shop identified above.
112 A major problem, such as a recently detected problem in a major assembly for which the unit is responsible, might require emphasis on IS to encourage followers to develop innovative new solutions. An upcoming deployment might require more IM and II to aid members in preparing for and overcoming the challenges of a long deployment into a potentially hostile area. At the same time, however, the commander will also want to make sure his people have the training and equipment they need for the deployment. MBE-A, will be necessary even while IM and II efforts are continuing. In short, the best leaders develop their abilities in all of these areas and use them appropriately, individually and in concert with one another, as the situation dictates. Return to the example of Gen. Schwarzkopf in DESERT STORM. The Marines in Khafji were not the General’s top concern as his forces advanced into Kuwait. The General was applying MBE-A in dealing with such forces. Yet his reaction to the Iraqi threat was instantaneous. The General applied transformational leadership as he inspired the overrun Marines to continue their important intelligence-gathering work in the occupied town. There was no doubt in those Marines mind that there leader was aware of their peril and was vitally concerned about their safety. Clearly, the FRLM is not a continuum. The behaviors described by transactional and transformational leadership can be entirely appropriate, given the circumstances. It is also important to note that they can be used alone or in concert with one another.
Augmenting Behaviors
FRLM researchers call the mix of transactional and transformational behaviors “augmenting.” Research reveals that transformational leadership can augment transactional leadership approaches in ways that enhance follower satisfaction and performance.3 How does one augment? The squadron commanders who establish a three-day-pass award for his “of-the- quarter” winners are using CR to motivate their people to try for those awards. If the same commanders also ensure that their winners are praised publicly, get their names in the paper, etc., then they are augmenting the transactional CR with transformational behaviors. These commanders public praise is IM behavior. Their public use of their winners behavior as models for others is IC behavior for others in their units. Leaders who establish CRs for their followers should also exhibit transformational behaviors to elevate their followers to achieve beyond the performance standards that are a baseline in the CR approach. These leaders will also use IS to inspire their followers to develop new and better ways of approaching their work. Clearly, the FRLM is an adaptive approach to leadership. It is not a continuum, but a smorgasbord of behaviors that leaders can apply in varying situations. Further, like food from a smorgasbord, the contents can be blended to meet the specific needs of the user. Leaders can blend leadership behaviors as necessary to achieve results that exceed their and their followers expectations.
112 Full-Range Leadership 113 It is also important to note that the FRLM empowers leaders to achieve success. It does not negate individual leaders responsibility to properly analyze their individual leadership challenges and select and apply the appropriate FRLM behavior(s) to achieve success.
Conclusion
The concepts underpinning Full-Range Leadership are not particularly complicated. One can learn about and discern these behaviors in a relative short period of time. The more difficult task is applying these concepts to strengthen leadership behaviors – both in one’s self and in one’s subordinates – and to discern the situations in which these behaviors might be applied most effectively to achieve desired results. This constitutes the leadership-development journey that can and should last a lifetime.
______End Notes: 1. In studying leadership theory, it is important to grasp the meanings of the words “trait,” “behavior,” “personality,” and “leadership style.” Traits are distinguishing characteristics or qualities. Having large ears or being habitually late are both traits. They are observable aspects of personal nature. Behaviors are the ways in which humans conduct themselves. People can select and are therefore ultimately responsible for their behaviors. Personality refers to the sum total of a person’s physical, mental, emotional and social characteristics and the manner in which these affect others through interaction. In most people, personalities evolve over time from youth and do not change quickly or dramatically. Leadership styles are a collection of behaviors related to the act of leading others. 2. Bass and Riggio, 4. 3. Ibid., 10.
______Bibliography: 1. Bernard, M. Bass, and Ronald E. Riggio. Transformational Leadership. 2nd ed. Mahwah, NJ: Erlbaum Associates, 2006. 2. John J. Sosik., and Don I. Jung. Full-Range Leadership Development. New York: Psychology Press, 2010.
114 Introduction to Critical Thinking
Lesson Preparation: • Read “Critical Thinking for the Military Professional” (pp. 271-278) in Concepts for Air Force Leadership (AU-24).
Affective Lesson Objective: • Respond to the importance of critical thinking and its importance for Air Force leaders.
Affective Samples of Behavior: • Defend the importance of critical thinking for Air Force leaders. • Explain the importance of applying the intellectual standards to the elements of reasoning. • Justify the need for effective questioning.
115 Introduction to Critical Thinking 115 Continuous Process Improvement
Cognitive Lesson Objective: • Comprehend principles of Air Force Continuous Process Improvement (CPI)
Cognitive Samples of Behavior: • Explain the CPI principles. • Identify CPI roles and responsibilities. • Summarize methods of CPI. • Identify the purpose of the Airmen Powered by Innovation Program (API).
Affective Lesson Objective: • Value the importance of supporting ongoing commitments to improve processes, products, services, and people.
Affective Sample of Behavior: • Openly express acceptance of the principles of CPI.
116 AIR FORCE
CONTINUOUS PROCESS IMPROVEMENT (CPI)
Introduction
Today, our Air Force faces some of the greatest challenges we’ve seen in our 60 year history. In addition to the expected long-term fight of the War on Terror, we must be prepared to simultaneously fight another major theater conflict. If those two tasks aren’t daunting enough, we’re also faced with substantial personnel drawdowns, an extremely tight budget, and an aging aircraft fleet. Fortunately, one of the strongest weapons we have in our arsenal (strongly supported by our senior Air Force leadership) is the ability to adapt and change the processes that drive our Air Force, which will better enable us to face these considerable challenges. Adapting and strengthening our collective processes is the role of Air Force Continuous Process Improvement, CPI. CPI is what was formerly referred to as Air Force Smart Operations for the 21st Century or AFSO21.
CPI Executive Summary
Air Force Continuous Process Improvement encapsulates our intent to develop and institutionalize a comprehensive, service-wide, strategic-level continuous process improvement approach. The aim is to take our high-performing organization to the next level by reviewing how we maximize value and eliminate waste in all of our environments— operational, support, and otherwise; and, fully integrate CPI across the Total Air Force. There is a call to action reaching a critical “crescendo”: Our people and aircraft have been in combat environments for many years, asymmetric threat advantages challenge the cyber-integrity of our national defensive systems, and fiscal challenges combines with demographic changes in our nation make the adversary of today a real and present danger. This call to action is our burning platform. CPI is an improvement process which leverages improvement methods from various sources including Lean, Six Sigma, Theory of Constraints, and Business Process Reengineering. CPI is a transformational initiative empowering all Airmen to eliminate waste from every end-to-end process. It is about delivery of war-fighting capabilities today and tomorrow. It is about our warfighters successfully engaging and defeating the adversaries of today and beyond. CPI aligns our innovative Air Force with a world-class continuous process improvement culture to create a standardized, disciplined approach. CPI is applicable across organizational, functional, and capability boundaries with the ultimate objective of improving combat capability. This Concept of Operations (CONOPS) articulates the Air Force requirements to continue to assure asymmetric air, space, and cyberspace capability by focusing on our core governing and enabling processes. Fundamentally, CPI is a mindset to attack problems and identify opportunities for improvement. It emphasizes the use of our
116 Continuous Process Improvement 117 greatest resource—our innovative, dedicated Airmen. Guided by world-class leadership and unique core values, they address the Air Force’s physical system, its management infrastructure, and cultural mindsets and capabilities.
Philosophy: CPI Vision
The vision for CPI is to establish an environment whereby all Airmen actively eliminate waste and continuously improve processes. These improvements must be centered around the core missions we, as Airmen, are responsible for conducting. Specifically, to maintain the asymmetric advantages and capabilities the Air Force delivers in air, space, and cyberspace. We need to ensure we are also driving efficiencies and improvements across-the-board. Therefore, we must use the right tools and techniques to see and attack problems and leverage opportunities for improvement. The vision directly supports the Air Force’s mission statement. The desired effect is an increase in AF combat capability directly linked to the core AF mission. Operational View. The overarching intent of CPI is to effectively and efficiently deliver war-winning, expeditionary capabilities (deployed and in-place) to the joint commanders. Toward that end, we must have the methods and means to continually improve and eliminate waste across all Air Force processes. CPI provides the methods and the means. By achieving a CPI operating style, the Air Force will be better positioned to: • prepare for and participate in the joint fight—anywhere, anytime. • develop, maintain, and sustain the war-fighting edge. • provide motivated and accountable Air Force warriors. • continually improve our ability to meet the ever-changing demands of the world, our enemies, and inevitable fiscal constraints.
The CPI Process
Everything we do in the Air Force is a process, and the improvement of those processes will always be necessary as long as the world in which we operate continues to change. As we map out the new change processes, we must identify waste, identify new standard work processes, implement those processes throughout our Air Force, and assess the results. As we implement CPI, we must remain focused on several key areas: First, this cannot be just another program; it needs to become our operating style. In other words, this needs to be the way we see ourselves, how we think about our Air Force, and how we attempt to operate. Second, we need to retain our primary focus on mission effectiveness. Third, CPI requires commander involvement, participation, and leadership at all levels. The emphasis here is on leadership. Those that do the work every day have the best understanding of the processes that are needed to effectively operate their units, so they are in the position to know where the greatest opportunities for improvement in combat capability and return on investment are located. Leaders need to trust their people and listen to them.
118 CPI needs to be tied to measurable results. Improvements can come in many fashions— quality, cost, manpower, and equipment availability, to name just a few. The bottom line is that we need to understand what it is that we desire from any given CPI effort and then be able to measure and assess the results. Finally, there has to be a direct link to programming and resourcing activities. It’s not enough to simply do something better and then be able to measure the results. Given the enormous challenges we face in recapitalizing our aging equipment and infrastructure, along with the need to free up more people to support new missions, the Air Force is making tough decisions that will result in manpower reductions. CPI provides a way to provide leaders with better information to make those decisions. CPI is a mindset as well as a continuous process improvement plan. It is essential that our commanders and supervisors at all levels embrace this new mindset. We must openly support CPI, while actively minimizing and removing roadblocks preventing CPI from helping us achieve our goal of remaining the world’s premier air and space force. As we examine our requirements and capabilities for today and beyond, CPI focuses on these key areas: • CPI can align our Air Force to a culture of continuous process improvement with a standardized, disciplined approach to achieve world-class results. • CPI is applicable across organizational, functional, and capability boundaries with the ultimate objective of improving the combat capability we provide. If you can see the process then you can define it and apply CPI tools and methods to improve it.
Initial Steps
Implementing CPI effectively is not an overnight process; there are three initial steps that we should take. First, we must continue to use lessons learned from the Lean Six Sigma and continuous improvement programs. It is important to understand what the desired outcome is from any given CPI effort and then be able to measure and assess the results. This is where leadership needs to ensure there is a strategic plan for the organization. CPI is a great tool that can be used to improve processes. However, many organization are stuck in a rut of doing the same processes they have done for 20 years simply because that is what has always been done. CPI cannot decide whether a process is effective for the organization. This is where leadership needs use their strategic plan to look at all the processes to determine if they are necessary for the organization and identify gaps. A strategy, prioritized goals and measurable objectives provide a firm foundation on which to begin using CPI to improve processes.
Critical Success Factors
CPI program success is based on three factors: being results-oriented, involving the total Air Force, and implementing a sustained and deliberate application of CPI principles.
118 Continuous Process Improvement 119 • Results oriented. The results and outcomes of CPI efforts will be measured. Measures are tied to CPI and Air Force objectives to maintain alignment and provide focus. • Total Air Force involvement. The focus on war-fighting effectiveness, efficiency, and the elimination of waste applies to all Airmen. Many of our processes have evolved over time, often incrementally and in reaction to limited objectives or one- time problems. The Total Air Force must change its mindset from “that is the way we have always done things” to “what is best way we can accomplish our daily work.” • Sustained and deliberate application. CPI ideas and methodologies have gained momentum as various organizations achieve and verify results. However, to realize the gains required to meet our program goals, CPI efforts must be focused; deliberate; sustained over the long term; and ultimately, embedded in our culture.
CPI is Problem Solving
At the core of process improvement is solving problems that create waste in the day-to-day work of our Airmen. Waste and inefficiencies come in many forms and a significant amount of waste is a product of the processes and methods used. Many of these methods were never engineered in the first place. Instead, they evolved over time around organizational boundaries and business rules. Each of the different methods of process improvement are problem solving methodologies that help us organize work and outputs in synchrony with requirements. This, in turn, allows us to satisfy customer requirements more reliably, resolve constraints in our processes, and assure that the heart of CPI is the identification and resolution of problems, whether they are at the tactical or the strategic level. We can only fail in our improvement efforts if we hide problems instead of acknowledging them and tackling them head on. We must also insist that we take a nonblaming approach in identifying and resolving problems. Our people are in the best position to help identify barriers and inefficiencies in their everyday jobs. Many times the problems are derived from outdated and inefficient processes and not those doing the work.
Five Desired Effects
There are five desired effects associated with CPI. They are as follows: • Increase productivity of our most valued asset—our Airmen • Significantly increase critical asset availability • Improve response time and decision making agility • Sustain safe and reliable operations • Improve energy efficiency
120 Organizational Components of Continuous Improvement
The three major components of any enterprise include its operating system, management infrastructure, and mindset, and capabilities. It only makes sense that the greatest gains will come from actions involving all three components instead of limiting improvement activities to one. The three components are as follows: • Operating System: The physical tools and techniques to create value and minimize losses. • Management Infrastructure: The formal structures, processes and systems through which the operating system is managed to deliver warfighting capability. • Mindsets and Capability: The way people think, feel and conduct themselves in the workplace, both individually and collectively.
CPI Methods
The CPI methods and principles must become part of our culture. CPI problem solving incorporates the methodologies listed below. • Lean. A systematic approach to identify waste, Lean focuses activities on eliminating it and maximizing (or make available) resources to satisfy other requirements. Lean is about removing waste. The goal is to stop performing those activities and processes that do not add to a product or service’s value. Value is solely defined by the customer. Many experts estimate that before Lean is applied, processes are 90- 99% waste. The correct application of Lean tools and techniques will show how to peel away layer after layer of waste. When first taught beginning Lean tools, students may complain that it just seems like common sense; however, as understanding is deepened, conventional wisdom is questioned and students never look at the world the same way again. Lean is a journey of continuous improvement rather than a destination. There is no end point, only a never-ending journey of relentless waste elimination. • SixSigma. A disciplined, data-driven approach and methodology for eliminating defects in any process – from manufacturing to transactional and from product to service. The fundamental objective of the SixSigma methodology is the implementation of a measurement-based strategy that focuses on process improvement and the identification, reduction and control of process variation. The term SixSigma is a statistical term that measures how far a given process deviates from perfection. The central idea behind SixSigma is that if you can measure how many “defects” you have in a process, you can systematically figure out how to eliminate them and get as close to “zero defects” as possible.
120 Continuous Process Improvement 121 • Theory of Constraints. A philosophy and a methodology for addressing logical thinking, scheduling and controlling resources, and measuring performance. This philosophy emphasizes that a single constraint or bottleneck exists in any process and controls the output from the entire process. Therefore, the main focus of this method is to identify and mitigate the bottleneck to maximize throughput in the process. • Business Process Reengineering. Involves the radical redesign of core business processes to achieve dramatic improvements in productivity, cycle times and quality. In BPR, organizations start with a blank sheet of paper and rethink existing processes to deliver more value to the customer. They typically adopt a new value system that places increased emphasis on customer needs. Organizations reduce management layers and eliminate unproductive activities in two key areas. First, they redesign functional organizations into cross-functional teams. Second, they use technology to improve data driven decision making. Use of the CPI methods above will be dependent upon the type of improvement and problem being addressed with CPI tools. Regardless of the method, the Air Force has adopted an eight step Practical Problem Solving Method (PPSM) to progress from assessment of current operations to measuring results after improvements are made. The PPSM is discussed in more detail later on in this reading.
Roles and Responsibilities
CPI must be integrated into normal command and control chain responsibilities. Commanders are expected to organize and lead process improvement efforts within their command authority. Most effective CPI efforts will be aligned with strategies and goals outlined by commanders. This is to ensure CPI efforts are integrated and aligned with commander priorities and objectives. The Air Force-level office organizing and leading CPI efforts— The Director, Management Improvement, (SAF/MGM)—reports directly to the Under-Secretary of the Air Force and is the focal point for all CPI matters/issues. Each MAJCOM will appoint a Master Process Officer who will advise on CPI tools and methods for continuously improving mission effectiveness and efficiency. A Wing Process Manager will be appointed to present project status and impact, and provide information to commanders on upcoming CPI opportunities. Commanders will use CPI methodologies to fulfill requirements spelled out in guidance. The foundation for CPI will be laid by standardizing and stabilizing best practices that maximize value and minimize waste. CPI will be institutionalized across the Air Force by integrating it into workforce development programs with appropriate training and education from the newest Airmen to the most senior leaders. A standard training and education approach will establish and sustain CPI core concepts throughout Air Force organizations and among our Airmen. Below are general training tenets:
122 • Training for CPI event participants will be delivered just-in-time. • All training will use CPI standard material and approved trainers. • The general workforce does not require certification training. The communications strategy will be used to reach the general workforce as well as just-in-time training. CPI concepts will be taught by CPI trained instructors, Green Belt (GB) and Black Belt (BB) practitioners, through multiple education courses for officers, enlisted, and civilians.
Eight-Step Practical Problem Solving Model (PPSM)
The Eight-Step Practical Problem Solving Method provides a common and structured approach to problem solving, focusing on determining the root cause of the problem and developing countermeasures to provide a sustainable solution to the problem. This method provides structure to problem solving and ensures the correct problem is identified. Once the problem’s cause is established, countermeasures are developed, implemented and the improved process is standardized and sustained. Step 1 – Clarify & Validate the Problem Step 2 – Break Down the Problem/Identify Performance Gaps Step 3 – Set Improvement Targets Step 4 – Determine Root Causes Step 5 – Develop Countermeasures Step 6 – See Countermeasures Through Step 7 – Confirm Results & Process Step 8 – Standardize Successful Processes Consistent application of this process provides a concise and common format for the presentation of data, problem solving facts, and information. This eases benchmarking and sharing of best practices when similar problems arise in other areas. The common structure provides a common language, which more easily translates into a common understanding. Effective problem solving must follow the PPSM. Attempting to skip, reorder, or shortcut steps invariably leads to, at best, suboptimal solutions, and at worst outright failure. Following the eight steps will ensure that actions lead to the desired results with an absolute minimum of wasted effort. Following the steps will also ensure the results are aligned with the needs of the organization. All of this leads to a virtuous nesting of organizational purpose and activities and increased Air Force combat capability.
122 Continuous Process Improvement 123 Airmen Powered by Innovation Program
The Airmen Powered by Innovation (API) program was designed to harness Airmen’s ideas. This program replaced other Air Force “good idea” programs—including the Innovative Development through Employee Awareness, Productivity Enhancing Capital Investment, and Best Practices. API consolidates the benefits of each program and simplifies the process for submitting ideas, making it easier for Airmen at the lowest levels to effect change across the entire Air Force. API is a way for anyone in the Air Force to allow their good ideas to be replicated throughout the Air Force.
All Airmen Should:
• Elevate ideas that affect cost savings, quality, productivity, cycle time, process improvement, and morale. • Provide evaluation-ready ideas with sufficient detail describing the current method, proposed method, expected benefits, and cost of implementation to support the idea. • Seek assistance, as needed, from local talent to build idea proposal. • Search the “idea pool” for similar ideas previously processed to prevent unnecessary processing of an idea. • Use mutually exclusive, established improvements processes for Tech Order changes, Zero Overpricing proposals, and Patents/Inventions. • Use the chain of command and institutionalized processes (i.e. Inspector General, Equal Opportunity). Ideas can be submitted at any time by any Airman at the following website: https://ipds. afpc.randolph.af.mil.
Conclusion
For the Air Force to succeed in the face of new challenges we will encounter in the twenty-first century, we must implement and support CPI. This is critical as we continue to prosecute what is expected to be a long War on Terror. By implementing CPI, we identify waste, develop and implement a standard work process, ensure those processes add value, assess the results, and are prepared to start the improvement process over again as circumstances demand. This cycle is never-ending because we can always improve on how we do our mission. We are the world’s premier air force—powerful, respected, and even feared by our adversaries. If we fail to adapt and overcome the new challenges we face, we will lose our combat edge, possibly the Global War on Terrorism, and ultimately our freedom; we cannot fail! This is the right thing to do for our Air Force, our Airmen, and our country.
124 ______Bibliography: 1. Air Force Guidance Memorandum (AFGM) 2014-38-01, Airmen Powered by Innovation Program, 28 February 2014. 2. Air Force Instruction (AFI) 38-401, Continuous Process Improvement (CPI), 15 April 2016. 3. AFI 38-402, Airmen Powered by Innovation, 5 February 2015. 4. Continuous Process Improvement Portal. https://cs3.eis.af.mil/sites/OO-TR-AF-43/ cpi/Site%20Assets/Home.aspx (accessed 22 June 2016)
124 Continuous Process Improvement 125 Problem Solving
Cognitive Lesson Objective: • Comprehend the Practical Problem Solving Method.
Cognitive Samples of Behavior: • Summarize the objective of the Practical Problem Solving Method. • Explain the Practical Problem Solving Method. • Identify the steps in the Practical Problem Solving Method. • Differentiate between appropriate and inappropriate application of the steps in the Practical Problem Solving Method. • Determine appropriate courses of action in a Problem Solving scenario.
Affective Lesson Objective: • Respond to the importance of the Practical Problem Solving Method.
Affective Samples of Behavior: • Explain the benefits of utilizing the Practical Problem Solving Method. • Summarize the importance of systematic problem solving. • Actively participate in practical exercise.
126 Have you ever thought you solved a problem only to have the same problem return? That happens when we eliminate a symptom of a problem instead of identifying and solving the root cause of a problem. As future Air Force officers, solving problems is often an important part of your job. If you can quickly analyze problems and solve them correctly, you’ll be a more effective leader. Fixing symptoms instead of solving problems only creates more work later. Fortunately, for those of us who like to fix the problem not the symptoms then move on to other problems, the Air Force has adopted the Practical Problem Solving Method based on the OODA (Observe, Orient, Decide, Act) Loop. The Practical Problem Solving Method is what was formerly referred to as the Eight-Step Problem-Solving Process. The OODA Loop is an objective description of the decision-making process. Because of Col Boyd’s emphasis on the infinitely repeating nature of decision making, it is an excellent match for the principle of Continuous Process Improvement (CPI). Both principles are based on the concept that the decision-making process is never actually complete. The Air Force takes the four steps of the OODA Loop and further breaks it down into a Practical Problem Solving Method roadmap that is flexible enough to be effective at any level: Air Force, MAJCOM, wing, squadron, and the individual Airman.1 Consistent application of the Practical Problem Solving Method—via the OODA Loop— provides Air Force leaders with a common format for presenting data, problem-solving facts, and information. It also provides a common language, which will more easily translate into a common understanding throughout the Air Force. As Air Force leaders begin to hone their understanding of how they and their organizations solve problems and make decisions, they will learn to recognize the difference between time spent constructively solving problems at the root-cause level and wasting time spinning their wheels.2 Problem solving is one of the most important skills for Air Force leaders. As future Air Force officers, you’ll face situations every day where you have to make decisions and solve problems. Just to be clear, the objective of the Practical Problem Solving Method is to help Airmen focus their problem solving skills on big issues that affect our mission, our workcenters, and our people. It is a team-centered, systematic, common-sense approach aimed at increasing combat capability, making Air Force units more effective and efficient, and enhancing and enabling the war fighter. As monetary, human, and equipment resources continue to shrink, every Airman must be mindful to get the full effect from every effort. In other words, we cannot afford to waste our time on tasks, projects, or myriad other things that don’t add direct value or impact to our organization’s, or the Air Force’s, mission. As you read this study guide, do not get too wrapped up in memorizing which steps of the Practical Problem Solving Method correlate with steps within the OODA Loop. In its simplest form, the OODA Loop is a process where decision makers take a good look at the current situation and gather data and information about the problem (Observe), analyze the data and information to substantiate theories about the problem (Orient), develop solutions to address the problem (Decide), and then implement and evaluate their
126 Problem Solving 127 solutions (Act). The real takeaway from this lesson is your understanding that problem solving and decision making are never-ending processes aimed at constant, continuous improvement. Figure 1 provides a graphic representation of this process. Take a look at it now, then refer to it as necessary as you complete this reading assignment.
Figure 1. OODA Loop/Practical Problem Solving Method
Step 1: Clarify and Validate the Problem
As stated earlier, the Practical Problem Solving Method is designed to tackle issues that impede the organization’s mission, goals, or objectives. Therefore, there are a few questions a problem solving team should ask before tackling any problem: • Will resolving this problem directly contribute to organizational strategic goals? • Will resolving this problem directly address organizational level weaknesses? • Is there a performance gap (difference between what we should be doing versus what we are doing) that is preventing the organization from moving forward? • Has anyone actually observed the problem as it currently exists? If you answer no to all of these questions, then you can probably keep an eye on the situation and continue with business as usual. However, if you can answer yes to any, or especially all, of these questions, then it’s probably a good idea to press forward with your problem-solving efforts.
128 If your team hopes to succeed in its problem-solving endeavors, the first thing it must do is define the problem by stating the current condition in terms that are, when possible, clear, specific, objective, and measurable. A clearly defined problem allows teamsto focus on moving forward and resolving the problem with as little turmoil as possible. For many teams, nothing may be more important in the problem solving process than a clearly defined, objectively stated problem. When developing a problem statement, it’s crucial for problem-solving teams to develop one that accurately and clearly describes the current condition faced. It should be a short, written statement that is factual, objective, and agreed upon by all members of the team. A good problem statement should address what the problem truly is and not focus merely on symptoms of the problem. It should also highlight where and when the problem occurred, as well as why this problem is significant, because some problems are more critical than others. Don’t forget to ask the all-important question: “Will solving this problem further the strategic goals of my organization?”3 There are several tools you can use to clarify and validate organizational problems: Strategic Alignment and Deployment, Voice of the Customer, and Go and See. (NOTE: There are several tools available in the Practical Problem Solving Method. This lesson will only address a few. The tools discussed in this lesson are neither mandatory nor locked into their particular step. Any mechanic knows that you should always use the right tool for the job. Use these tools as, and when, you see fit in your problem-solving adventures). Strategic Alignment and Deployment (SA&D) is a systematic method used to ensure everyone in an organization is working effectively toward the same goals identified by senior leadership. It ensures resources and activities are linked to the key strategies, directives, and goals of the organization. It is built on the premise that individual and team problem solving-efforts will have greater impact if coordinated with the rest of the organization.4 Another tool you can use is the Voice of the Customer. Before you get all bent out of shape over the term customer in a military setting, keep in mind that we all have customers (end users if you prefer) who benefit from the products or services our organizations provide. If you work in finance, you consider anyone who files a travel voucher your customer. If you work in security forces, consider those you protect your customers. Regardless of what we do, or where we work, we all have someone who benefits from our work. These beneficiaries are our customers, and they tell us what they consider important and not important. They are the voices telling us which processes truly add value and those that are simply time wasters. Failing to properly identify customers and their needs can lead to big problems within our organizations. The third tool available in this step is called Go and See, and it means exactly what it says. The best way for leaders to spot problems is to get up and walk around their workcenters to observe firsthand what is actually taking place. In its simplest form, problem solving is a logical, common-sense, fact-based, step-by-step approach based on a “go and see” philosophy. It is a practical skill that requires leaders to visually capture and understand
128 Problem Solving 129 what is actually happening in their workcenters, versus what should be happening.5 By applying a go and see mentality, leaders can establish a true cause and effect relationship of problems based on fact, not assumptions.
Step 2: Break Down the Problem and Identify Performance Gap
Once the proper target is identified and the problem is clearly defined, information and data should be gathered about the problem area. This can be a frustrating step for Airmen who want to move directly into taking action and implementing solutions. However, it’s important for all Airmen to understand that the better they understand a problem, the better the solution will be. Only by thoroughly evaluating problems before implementing solutions are problem-solving teams able to judge the impact of the later solution implementation.6 You should be asking several key questions when gathering and analyzing problem data. • Does leadership have enough information to make a decision, or is more information needed? • Is there a performance gap? Should a Performance Gap Analysis be conducted? A performance gap is the difference between your organization’s current performance and what its performance should actually be. If customers are unhappy, or if a process is not performing well, you must decide how and where the process is deficient. Performance gap analysis will help you do this. • Does the data point to any specific areas of root cause? • Does the data indicate a bottleneck or constraint? If so, Bottleneck Analysis is the tool you want to use here. Every process has one step that is slower than the rest that controls the speed (throughput) of the entire process. Bottleneck Analysis is designed to help problem solvers speed up the slower process, slow other processes down relieve pressure on the slow process, or a combination of the two.7 A team’s first step in assessing a performance gap is to identify and review Key Performance Indicators (KPI) and metrics from workcenters. Whether or not you want to admit it, every organization in the Air Force uses some form of metric or key process indicator to indicate if goals and objectives are being met. For instance, flight-line maintainers are very well aware that mission capable rates, abort rates, and on time launch rates are just three of many measurements used to indicate how well the unit meets its flying mission. Many pharmacies in the Air Force use customer wait time to determine how well they are meeting customer requirements. Even the people who designed and developed this lesson use data to assess and improve the Holm Center curriculum. No, really! We look at test data and a host of surveys to determine how well the Holm Center curriculum meets the needs of our students and the Air Force.
130 It’s important to note that KPIs and metrics are not designed to create more work. On the contrary, well-designed KPIs and metrics should not only help organizations assess how well they meet mission requirements, but should do so without adding additional expense or burden to other organizational processes. Well-designed metrics should have six characteristics based on the acronym: B-SMART. • Balanced: Ensure goals are balanced across the multiple fronts of organizational output and multiple targets. In other words, ensure your metrics don’t create work for another unit or organization. • Specific: Have desirable outputs based on subject matter expert knowledge and experience, and applicable to the process-improvement activity. • Measurable: Include time frames and have data obtainable from specific sources. • Attainable: Resources are available. Some risk may be present, but success is possible. • Results Focused: Link to the mission, vision, and goals, and be meaningful to the user. • Timely: Provide step-by-step views versus giant leaps, and be measurable at interim milestones.8 Two other concepts to consider in this step of the problem solving process are value and waste analysis. As stated earlier, value in any product, service, or process is determined by your customer and by your customer only. Always look at your processes from your customer’s point of view. What do they want from your process? If you add something new to your process, is your customer willing to pay extra or wait longer? If you take something away from your process, will they miss it? If not, then they probably don’t consider your efforts as valued added. Waste is anything that uses resources but does not add real value to the products or services in your organization. It is anything that takes time, resources, or space, but does not add to the value of the products or service delivered to your customer.9 Once you’re tuned in to detecting waste in a process, you can’t help but see it everywhere. If you’ve ever waited in line at the Department of Motor Vehicles (DMV), you’ve experienced waste. If you’ve ever printed extra copies of a report “just to be sure we don’t run out,” you’ve experienced waste. If you feel like you’re being underutilized in your workcenter, then you know what waste is. The fact of the matter is that we’ve all experienced waste. In fact, up to 95% of our work processes are full of waste. Recognizing the different forms of waste is vital to helping problem solvers identify performance gaps. There are eight different types of waste discussed in the Practical Problem Solving Method. As you read these definitions, think about the different forms of waste in your own workcenter. The eight different types of waste are as follows:
130 Problem Solving 131 • Defects: Work that contains errors, rework, mistakes, or lacks something necessary. • Over Production: Gathering or creating more of something than is needed at that moment. • Waiting: Idle time created when material, information, people, or equipment is not ready. • Nonstandard Overprocessing: Efforts that create no value from the customer’s perspective. • Transportation: Movement of information, equipment, or resources that does not add value. • Intellect: Any failure to fully utilize the time and talents of people. • Motion: Movement of people that does not add value. • Excess Inventory: More information, equipment, or material on hand than is needed at the moment. Arguably, some waste is unavoidable. For instance, reports, aircraft, or information has to travel from one location to another. At times, safety concerns require repeating steps or being extra cautious when performing tasks. On the other hand, identifying and eliminating unnecessary waste in our workcenters is one of the core foundations to any CPI initiative, and is a vital step in the Practical Problem Solving Method. One way we can spot unnecessary waste is to transform our mindsets on how we complete tasks, constantly look for waste in our processes, and always, always remember that it is the customer, or end user, who determines value.
Step 3: Set Improvement Targets
In the first two steps, you clarified the problem and identified gaps in your process’s performance. In this step, your task is to set improvement targets for where you want to be. Setting improvement targets is completed on two levels simultaneously—strategic and tactical. Strategic targets are visions of what the organization should strive to become. This vision should be a view into the future that succinctly describes how your organization will conduct business. It implies a gap between your current state and a better, future state. Tactical-level targets define the performance level necessary to make your strategic vision a reality. Targets should be challenging, but achievable, and have B-SMART characteristics. Two tools that can help you set targets for improvement are Ideal-State Mapping and Future-State Mapping. Ideal-State Mapping is nothing more than thinking about how your process would operate in a perfect world with no constraints: no financial issues, no manning issues, no equipment issues…no waste! This is your chance to be king for a day and design the perfect process.
132 This is the time to use your imagination to innovatively generate ideas on how that perfect process would look. This stage requires more creative thinking than any other in the process. A team allowing its members the freedom to explore several wild, even crazy ideas stands a better chance of developing a better future-state map later in the problem- solving process. This is the fun part of problem solving. Now you get to “think outside the box,” “shift the paradigm,” “break the mold,” etc. For some, the thought of thinking creatively scares them half to death. Don’t worry—creative thinking is nothing more than changing old ideas to create brand new ones.10 To put it another way, creative thinking is nothing more than taking a different approach to a common situation. In case you still doubt the power of creative thinking, think about how creative thinkers have changed the world. Let’s face it, countless individuals have made a lot of money with their creativity, and some of it isn’t really that great! For instance, how many of you would agree that the pet rock is silly? Come on—it’s nothing more than a rock with eyes glued on it! However, somebody saw that rock for what it could be—not what it was—glued some eyes on it, and made a small fortune. Creative thinking. Want more? How about thunder sticks, beer hats, disposable cameras, and personal computers? Yes, just a few of thousands of examples where creativity resulted in products or solutions that made people’s lives better or more enjoyable. After you create your perfect world, it’s time to put as many of your wild ideas into practice by developing what your process will actually look like in the future. As stated earlier, some types of waste are required by organizational or safety needs, even though they have no role in fulfilling customer needs. A future-state map is a great balance between your ideal process and constraints required by outside forces. A future-state map allows the team to envision what it believes the process can practically be improved to look like. It provides the team with a practical road map of what improvements need to be made to the current state.11 The goal of the future state is to get as close to the ideal state as practically possible, while being realistically achievable in a reasonable amount of time. Future-state plans should always include those items valued by customers, and should include fewer steps than your current state.
Step 4: Determine Root Cause
Along with properly defining the problem, this is the most vital step in the problem-solving process. All too often, Air Force leaders find themselves addressing problems that have been “solved” many times before. This is usually due to problem-solving efforts that are directed toward symptoms of problems rather than root causes. In many cases, root-cause analysis is a trade off between digging as deeply as possible and finding the deepest point that is still within the team’s sphere of influence.12 There are three tools you can use to find root causes: Brainstorming, Cause and Effect Diagrams, and the Five Whys.
132 Problem Solving 133 The best way to identify potential causes is through brainstorming. Brainstorming is a very effective technique that helps generate a large number of ideas. It is a fast- moving process that is most effective in group situations, and can cause a very effective chain reaction as groups collaborate to identify a variety of ideas regarding a problem. Brainstorming is most effective when the following guidelines are followed: • Avoid criticism and “shooting down” ideas. The idea of brainstorming is to generate as many ideas as possible, regardless of their perceived value at that time. Criticism may restrict the free flow of ideas, and thus defeat the purpose of brainstorming altogether. • Be open to, and even actively looking for, wild/exaggerated ideas. Sometimes, what may seem like a crazy idea is actually the one you’re looking for, but you can’t/ don’t know it at that stage of the process. Be creative when generating possible causes of the problem • Aim for quantity, not quality. Generate as many ideas as possible. Later you will evaluate the quality of the ideas and flesh out those that don’t make sense. • Build on others’ ideas. “Piggybacking” facilitates development of new twists on ideas, problems, or solutions. Sometimes we can generate a new idea by combining two or more ideas together. • Make a list. Don’t forget to record all your ideas! How many times have you had a great idea that would seemingly revolutionize the world and make you rich, but you failed to write it down and then forgot what it was? Don’t let all your efforts be for naught simply because no one thought or bothered to take notes. Another way to identify potential causes is with a Cause and Effect Diagram. This tool, also known as the Ishikawa or fishbone diagram, is great for finding the real cause of a problem, and is often used in conjunction with brainstorming. It helps identify potential contributory causes of a problem, prior to planning, in an effort to remove the most powerful causes of the problem.13 When using the fishbone diagram, you could say that teams are fishing for clues as to the potential root cause(s) of a problem. To use the diagram, first condense the problem statements to a few words that effectively describe the problem. Write your condensed problem statement in the box serving as the fish’s head. Next, determine the major categories of the problem, and list those in the boxes making up the fish’s body. These categories can be tailored to each team’s specific situation or problem- solving needs, but the most popular are the 3 Ms and a P: Machines, Methods, Materials, and People.14 Don’t get caught up in defining the categories—remember, the goal in this step is to determine causes of the problem. Brainstorm to identify potential causes, and then list them under the appropriate category. Teams might discover that some potential causes can be listed under more than one category. In addition, as teams use the tool, they may even find there are secondary causes for primary causes already identified.
134 After identifying potential causes through brainstorming and using the cause and effect diagram, it’s time to determine the most likely or root cause(s). This can be done in one of two ways. First, look at your fishbone diagram. Are there any potential causes that are listed more than once? Do they appear in more than one category? If so, you may want to highlight those as potential root causes of the problem. The second way to pare down potential causes is through the 5 Whys technique. This technique identifies root causes by asking “Why?” until the question can no longer be answered.
Step 5: Develop Countermeasures
The decision-making and solution-development step is over halfway through the Practical Problem Solving Method. If the first four steps were done correctly, this should be the easiest step of all. As simple as this step should be, there are some very important guidelines Air Force leaders must follow to ensure the greatest likelihood of success. The key principal to remember in this step is that the impact of a solution is a combination of the quality of the solution and the acceptance of the solution by the people who must implement it. (Quality of Solution) x (Acceptance) = Impact15 You can work hard to come up with the best solution in the world; however, if it has no support, it will have zero impact. On the other hand, you can develop an average solution and achieve great impact with good support. The first half of the Practical Problem Solving Method is dedicated to developing a quality solution. In the second half, leaders are charged to present the solution in such a way as to gain its acceptance by those who must implement it.16 In the previous step, creative thinking played a vital role in generating ideas for possible solutions. This step requires more analytical thinking and focuses on selecting the best solution, or solutions, to the problem. Two tools to help your team develop countermeasures are Analysis of Alternatives and Action Plans. In team problem solving, different members of the group can use different criteria to assess the situation, which can often lead to confusion and unclear decision making. To avoid this problem, teams should analyze each alternative by assigning agreed-upon criteria when selecting solutions. Having common, agreed-upon criteria reduces the chances of people selecting solutions only important to them personally by focusing everyone on team-decided goals. When selecting criteria, it is important the team consider all the criteria each person is thinking about, and then allow the team to agree on the choice, and importance, of which criteria the team will use. While the choice of criteria to use is strictly up to the team, there are some factors to consider when analyzing alternatives: • Effectiveness: Can this countermeasure help the team achieve the target or goal? How well will this countermeasure work? Will this countermeasure prevent reoccurrence of the problem?
134 Problem Solving 135 • Feasibility: Is this countermeasure possible in this situation considering cost, safety, resources, management approval, and time? • Impact: Will this countermeasure create more problems than it will help solve? What effects will this countermeasure have on my job, team, other operations, and the Air Force?17 The object of this exercise is to identify strengths and weaknesses of all countermeasures so they can be compared for selection. Countermeasures that do not pass the analysis of alternatives test should be dropped from immediate consideration. Thorough evaluation is done by projecting the outcome of each countermeasure if it were implemented in the problem situation. Outcome is projected in terms of the three effectiveness evaluation criteria. An Alternative Analysis Rating Matrix (see Fig. 2 below) is used to evaluate and rate possible countermeasures on the basis of the three criteria and organize the information for comparison. Various questions are asked for each criterion to project and evaluate the outcome of a possible countermeasure. The specific questions used vary depending on the problem situation.
Possible High High High Impact Low Cost Total Countermeasures Effectiveness Feasibility
Countermeasure rating: 1=Low, 2=Medium, 3=High
Figure 2. Alternative Analysis Rating Matrix18 Well, you’ve weighed and selected the best solution(s), so your problem should be solved, right? Wrong. You’ve only solved the problem on paper at this point and still need to put the solution(s) into action to fully solve the problem. An action plan is perfect in this situation because it lets teams communicate what needs done for the solution to be put into action. The action plan is also an excellent tool for estimating what it will take to solve a problem.19 A well-developed action plan will tell teams… • what tasks or activities need to be carried out to implement the solution; • who will be responsible for each task or activity; and, • what the target dates are for completion of each task or activity When developing an action plan, always consider those who will be affected and the resources necessary to carry out the plan. Also, keep leadership informed on the status of the action plan. Providing the boss a courtesy copy of the action plan and any subsequent changes not only keeps him or her informed, but also demonstrates that the team has the situation under control and is using a systematic approach to resolving the problem. Keep in mind that coordination with outside agencies or personnel is an important step in the action plan. Some of the plan’s taskings may fall outside the responsibility or capability
136 of the team, so it’s vital that any agencies used in the action plan are well aware of their role(s) in the plan. As with most plans, flexibility is important. Be prepared to change the action plan to account for unexpected events. Being flexible toward circumstances or situations beyond the team’s control is key in completing the problem-solving process. Planning to implement a solution requires a combination of sheer hard work and creativity. Failure to use imagination here, leaving detail to chance, will lead to chaos and lack of credibility in the future.20
Action Step/Task/Activity Responsible Start End Estimated Cost Group/ Date Date Hours Person
Totals
Figure 3. Action Plan Matrix The last three steps of the problem-solving process give you the chance to plan, organize, control, and lead the changes implemented during your problem-solving adventures.
Step 6: See Countermeasures Through
No matter how well the team performs in the first four steps, and regardless of how well it draws up an action plan, no problem is truly solved unless someone monitors progress and ensures the plan is on track. Be prepared to modify the action plan when the unexpected happens. Don’t be so focused on carrying out the action plan that you lose the flexibility to deal with the unknown. By tracking the implementation of the action plan and evaluating its progress, teams will ensure solutions are being implemented even with those unexpected changes.22 During this step you need to be sure to accomplish three things: • Collect data according to the action plan. With an effective monitoring system, teams can determine whether specific tasks are being performed, or if short-term targets are being achieved as planned.
136 Problem Solving 137 • Implement contingency plans. As conditions change, implement necessary contingency plans to continue moving toward your desired goal. • Provide required training. There is always some form of training required to make the solution work. The training can often be linked to the communications plan developed in step five, “develop countermeasures.” The training is usually needed at several levels simultaneously. Implementers and front-line supervisors need the most intensive training with less detailed, but no less important, training at echelons above.23 There are numerous process improvement tools that improvement teams can select and use to help see countermeasures through; however, we’ll only discuss the following in this lesson: Visual Management, Six S, Material/Information Flow, and Standard Work. Visual Management is nothing more than using simple visual indicators throughout the workcenter that let people know if they are working within a standard or not. Visual displays used in the workcenter (color-coded files, production status boards, shadow boards, etc.) should make it easy for someone who knows nothing about a process to quickly assess the current situation. Visual management provides leaders with self-running, self- regulating organizations. A visual workplace stresses communication via bulletin boards, graphics, status boards, web portals, dashboards, etc., that makes performance of the process immediately visible to any one walking in the area. The purpose is to assure that everyone knows the current priorities, status, and upcoming events, with no filtering.24 When implementing countermeasures, the need for a stable foundation arises. The appropriate response is to establish the fundamental disciplines that will drive the implementation of problem solving forward. Six S is one of the most important disciplines in continuous process improvement. The ordering of a work area into a clearly visual managed area where there is a place for everything, everything is in its place, and the standard established is sustained, requires the use of Six S. The need for Six S is visually determined by asking three most basic questions: • Is the workplace standard or nonstandard? • Is the placement of materials, equipment, and work instructions aimed at reducing waste? • Can you determine what is important by the visual state or status of work? Six S is a structured process for bringing affirmative answers to the above questions and provides the foundation for visually managing the workplace. It is a basic, fundamental, systematic approach for productivity, quality, and safety improvement in all types of business. Each “S” stands for a step in achieving workplace order, focusing on achieving visual order, organization, cleanliness, and standardization.
138 • Sort: This is the first step in cleaning and organizing things. Sort through everything in the work area, keeping only what is necessary and discarding items that are already used/no longer needed. Everything not used frequently should be moved to a separate, common storage area. • Straighten: This involves organizing, identifying, and arranging everything in a work area. There should be a “place for everything and everything in its place,” with everything properly identified and labeled. • Shine: This is simply the regular, usually cleaning and maintenance. You’ll need to inspect everything while cleaning, including machines, tools, equipment, and supplies. • Standardize: This step calls on simplification and standardization, and once completed makes it easy to maintain your processes and procedures. Identify then standardize the fastest, safest, best quality, repeatable steps, but be sure to allow for individual creativity in improving the standards. • Sustain: Once established the focus shifts to continued training on, and adherence to, the standards. This is best accomplished by establishing a formal system for monitoring the results of Six S. Make needed changes in the standards and provide training that addresses those changes. • Safety: Make sure that no improvement to the workplace is operating in a way that decreases the level of safe operation in the area.25 Flow is the smooth movement of material, information, or service from one process to another. A good example of material flow is an assembly line where one worker performs a step and passes the work to the next step. The same theory applies to service and information. A well-run dining facility is a great example of service flow. In theory, individual customers should move from one section to another (e.g., meal to drinks to checkout) without holding up other customers. On the other hand, serving five customers in the snack line before sending them to the drink line is called batch and queue and is not flow. Passing on reports or information from one office to another without waiting is an example of information flow. On the other hand, waiting until there is a stack of five or six EPRs on your desk before passing them on to the next step in the process is considered batch and queue and is not flow. Another way to visualize flow is the absence of waste. Standard Work is the bedrock of continuous-improvement practices. It represents the best-known way to complete a task, and ensures the same work will yield the same results every time. For instance, all weapons load crews are taught to load munitions in a certain standardized way. Each person on a load crew—the team chief, the 2-man, or the 3-man—has the same responsibilities as team chiefs, 2-men, or 3-men on other load crews. This practice not only ensures that each load crew loads munitions in the same fashion, but also allows members to perform similar duties no matter what load crew they may be working with. If you’ve ever been on the flight line, you’ve probably watched crew chiefs launch and recover aircraft. Each crew chief, and each pilot for that matter, is taught one standard way to launch and recover aircraft. This ensures continuity and
138 Problem Solving 139 safety regardless of who is in the cockpit or who is on the ground. I’m sure that many of you have some form of standardized practices in your workcenters. Standard work is unique to each process, but it all shares certain characteristics: • should be the best, safest, easiest, most cost-effective and productive way to complete the task. • preserves the corporate knowledge of everyone who has done the process in the past for the benefit of everyone who will work the process in the future. • provides the basis for measurement against a standard. • provides the basis for training future team members on how to perform a task. • ensures meeting the customer Critical to Quality (CTQ) requirements. • minimizes variability between process operators.26
Step 7: Confirm Results and Process
This step should closely mirror the data-collection portion of Step 2, Breakdown Problem and Identify Performance Gaps. In fact, you had better be using the same KPIs and metrics used in Step 2 to evaluate your progress. Leadership should ensure the plan is producing the intended results. Has the problem been resolved? Has value been added to the process? Has waste been removed? Has the desired future state been reached? Are plans in place to ensure the problem won’t reoccur? Now is the time to answer all these questions. The project should be monitored for performance relative to… • the baseline developed in Steps 1 & 2 • the B-SMART targets established in step 3 • where you thought you would be at this stage of the solution implementation • meeting targets by the established deadline. If your team is not meeting the target, do you need to return to Step 4, Determine Root Cause? Incorrect root cause is the most common mistake made by process-improvement efforts.27
Step 8: Standardize Successful Processes
This is the most commonly skipped and under-completed step of the entire Practical Problem Solving Method. It is tempting to take newfound knowledge and skills and immediately move on to the next improvement initiative while skipping the effort of ensuring that the results stick.28 However, standardizing the successful countermeasures in your problem solving process greatly reduces the risk of the same problem returning in the future. In this step, teams should codify successful countermeasures such as visual
140 management, Six S, or standard work. For local changes this can be accomplished via local Operating Instructions or policy letters. Are there other requirements outside the team’s span of control, such as AFI or Technical Order requirements? If so, this is when the team should requests changes to such restrictions. Teams should also share their successes with other organizations that may be experiencing similar problems. Finally, this is the step where good problem solvers reload their guns and start the OODA Loop all over again to identify new problems in their workcenters.
Conclusion
Using hindsight, you can probably think of instances in your career where the Practical Problem Solving Method would have helped in solving organizational problems. Perhaps you can even identify which of the steps would have been the most critical to arriving at the most appropriate countermeasures. In many cases, properly defining the problem and uncovering the root cause(s) are key to problem-solving efforts. Making decisions and solving problems are tasks that Air Force officers complete every day. Using the OODA Loop and the Practical Problem Solving Method is a good start to helping you make the right decisions in solving problems. As Air Force leaders, we are responsible for creating an environment where continuous improvement is part of the daily lives of our Airmen. Identifying and eliminating wasteful processes, and creating value in everything we do, will increase combat capability; make our organizations more efficient and effective; and ultimately, enable and enhance the war fighter.
______End Notes: 1. Department of the Air Force, Air Force Smart Operations for the 21st Century Playbook, B-1. 2. Ibid., B-2. 3. Ibid., B-3. 4. Ibid., B-2. 5. Ibid., J-4. 6. Ibid., B-3. 7. Ibid., J-18 8. Ibid., B-4. 9. Ibid., J-12. 10. Ibid., B-4. 11. Ibid., J-20. 12. Ibid., B5. 13. Victor Newman, Problem Solving for Results, 67. 14. Richard Y. Chang, Step-By-Step Problem Solving, 97. 15. Department of the Air Force, Air Force Smart Operations for the 21st Century Playbook, B-6.
140 Problem Solving 141 16. Ibid. 17. Ibid., J-32. 18. Ibid., J-33. 19. Ibid., 105. 20. Newman, Problem Solving for Results, 107. 21. Chang, Step-By-Step Problem Solving, 60. 22. Ibid., 77. 23. Department of the Air Force, Air Force Smart Operations for the 21st Century Playbook, B-7. 24. Michael George, Lean Six Sigma for Service (McGraw-Hill, 2003), 302. 25. Department of the Air Force, Air Force Smart Operations for the 21st Century Playbook, J-45. 26. Ibid., J-67. 27. Ibid., B-8. 28. Ibid.
______Bibliography: 1. Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 February 2009, Incorporating Changes through 23 March 2012. 2. Air Force Instruction (AFI) 38-401, Continuous Process Improvement (CPI), 15 April 2016 3. Chang, Richard Y. Step-By-Step Problem Solving, Irvine, CA: Richard Chang Associates Inc., Publications Division, 1993. 4. Department of the Air Force. Air Force Smart Operations for the 21st (AFSO21) Century Playbook, 27 May 2008. 5. Department of the Air Force. United States Air Force Core Values, 1 January 1997. 6. George, Michael. Lean Six Sigma for Service. New York, NY: McGraw-Hill, 2003. 7. Kneeland, Steven. Effective Problem Solving: How to Understand and Process and Practice it Successfully. Oxford, UK: How to Books, 1999. NetLibrary e-book. 8. Mackall, Dandi D. Problem Solving. Chicago, IL: Ferguson Publishing Company, 1998. NetLibrary e-book. 9. Newman, Victor. Problem Solving for Results. Hampshire, UK: Gower Publishing Limited, 1995. 10. VanGundy, Arthur B. 101 Activities for Teaching Creativity and Problem Solving. San Francisco, CA: John Wiley and Sons, Inc., 2005. NetLibrary e-book.
142 Management Functions and Principles
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend management functions and principles.
Cognitive Samples of Behavior: • Explain the concepts of efficiency and effectiveness as they relate to management. • Identify the four basic management functions. • Differentiate between the three primary roles of managers. • Explain the universality of the manager’s job. • Identify examples of general and specific managerial skills.
Affective Lesson Objective: • Value the importance of understanding management functions and principles as they apply to Air Force officers.
Affective Sample of Behavior: • Defend the importance of management skills to mission accomplishment.
143 Management Functions and Principles 143 Change Management
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend the principles and concepts of change management.
Cognitive Samples of Behavior: • Explain the Change equals Effort over Time (CET) change management model. • Explain Lewin’s Force Field Analysis of change. • Identify barriers to change. • Identify five key strategies to achieve change.
Affective Lesson Objective: • Respond to the importance of understanding and using the principles and concepts of change management.
Affective Samples of Behavior: • Assert the importance of effective change management. • Actively participate in the practical exercises during the lesson.
144 Editing Your Draft
Student Preparation: • Read Study Guide and Chapter 8 in The Tongue and Quill.
Cognitive Lesson Objective: • Apply editing guidelines IAW Chapter 8 in the The Tongue and Quill (Step 6: Editing Your Draft).
Cognitive Samples of Behavior: • Explain the five editing fundamentals IAW the The Tongue and Quill. • Demonstrate a three-step approach for editing IAW the The Tongue and Quill. • Review documents for the effective flow of ideas. • Review paragraphs for formatting and clarity. • Identify any errors in the sentences, phrases, and wording (e.g., passive voice, grammar, and spelling).
Affective Lesson Objective: • Respond to the importance of editing any written communication.
Affective Samples of Behavior: • Participate in class discussion about editing. • Refer to the The Tongue and Quill for guidance about editing.
145 Editing Your Draft 145 EDITING YOUR DRAFT
s an officer, you’ll be asked to wear many hats in the writing arena—writer, editor, and reviewer. Not only will you be asked to write correspondence for others to Asign, you’ll also edit and review the work of your subordinates. As such, you must have sound writing skills to critique the work of others. Finally, you need to be able to critique your own writing for support and content, organization and flow of ideas, then mechanics and format. During class you’re going to edit a first and second draft of an official memorandum. Then your instructor will assign the official memorandum exercise, which is your practice for the official memorandum graded measurement. Editing your work and the work of others is a big responsibility—one you should not pass off to others. It’s true secretaries and executive officers review all correspondence with a fine-toothed comb; however, they shouldn’t be the ones to find errors in your work. When they have to send correspondence back to the organization for correction, it impacts mission effectiveness and makes you lose credibility. Credibility is essential when reviewing the work of others. That doesn’t mean you have to be an English professor; however, you do need to have a solid, working knowledge of grammar, punctuation, and effective writing. Although use of grammar and spell check on the computer is encouraged, you can’t rely on these features alone to catch your mistakes.
When You’re the Supervisor
When you’re reviewing or critiquing the written work of your subordinates, don’t try to turn them into “clones” of yourself! Your job is to help them turn out a strong product. You need to examine their work in a manner that’s:
CONSISTENT: There’s nothing more aggravating than an inconsistent boss!
OBJECTIVE: Just because you wouldn’t write that way doesn’t make it wrong. Evaluate whether the change is necessary, desirable, or unnecessary.
SENSITIVE: Don’t just tell them “fix it;” tell them how to fix it...tactfully! People generally don’t write poorly on purpose.
When You’re on the Receiving End
It’s to your benefit to ask others to review your work when the opportunity presents itself. Sometimes, even though we ask for a critique, we are resentful when it comes our way-- pride of authorship momentarily blinds us.
146 • When you receive objective feedback on your work: ◊ Accept whatever constructive criticism comes your way. Attitude is all- important—maintain a positive one. ◊ Don’t argue or defend your work; you won’t be able to do that when your readers receive your memorandum! ◊ Decide up front you can use the feedback to IMPROVE your work. Remember: To develop a clear, direct, technically correct writing style, you need to develop efficient editing techniques. The secret is to be objective, look at your writing through your reader’s eyes and pay attention to detail. • Don’t edit your writing immediately after you write your first draft! You’re still in the writer’s frame of mind. Put your draft away (overnight if possible) until you can look at it from a different light. You’ll be more objective and catch more mistakes! • Spend as much time editing as writing—both are equally important to a good solid memorandum. Editing is an essential part of writing--it comes with the territory! When you write, meet suspenses early so you have time to edit your work effectively. That makes a win-win-win situation: your boss wins, you win, and the organization wins!
EDITING CHECKLIST
• Edit the first time through for big picture and flow. Look for answers tothese questions: ◊ Have you given all the information the reader needs? ◊ Have you answered all the questions the reader might ask? (Remember completeness) ◊ Has the memorandum fulfilled its purpose--told the reader what you want? ◊ Will reader correctly interpret technical jargon and abstractions or is clarification needed? ◊ Have you included only essential information related to the purpose? (Remember unity) ◊ Have you followed a proper “pattern” for smooth flow of ideas? (Remember order) ◊ Is there logical movement within the memorandum?
146 Editing Your Draft 147 • Edit the second time through for paragraph structure. Look for: ◊ Accurate statement of purpose ◊ Overview in the introduction paragraph ◊ Main ideas stated in the topic sentences ◊ Proper paragraph development (supporting ideas) ◊ Transitions that bind thoughts together (Remember coherence) ◊ Conversational tone (Remember coherence again) • No “dead” words and phrases • Varied personal pronouns (1P or 2P in intro, TS, and closure; use 1P, 2P or 3P in body) • Contractions (they work best when followed by a verb) • Edit the final time for mechanics and format. Try reading it backwards. Look for: ◊ Correct spelling, word choice, and punctuation ◊ Grammatically correct sentence structure (e.g., subject-verb agreement, active voice, etc.) ◊ Correct memorandum format (margins, spacing, heading, signature block) We hope you’ve discovered how important the Tongue and Quill is for successful communication in the Air Force. The Holm Center provides all students an electronic copy.
______Bibliography: AFH 33-337. The Tongue and Quill, 27 May 2015.
148 Professional and Unprofessional Relationships
Cognitive Lesson Objective: • Comprehend that the negative impact of unprofessional relationships (UPRs) requires officers to inherently accept the responsibility for promoting and maintaining professional relationships.
Cognitive Samples of Behavior: • Define UPRs and fraternization. • State the Air Force policy on professional relationships, UPRs and fraternization. • List the elements of fraternization. • Explain the effects of UPRs on the unit.
Affective Lesson Objective: • Value the negative impact of UPRs.
Affective Sample of Behavior: • Conform to Air Force policy on professional and unprofessional relationships and fraternization.
149 Professional and Unprofessional Relationships 149 ne of the most troublesome problems confronting the Air Force is the issue of unprofessional relationships. The readings in this lesson will provide you with Oa better understanding of unprofessional relationships. You’ll learn exactly what the Air Force policy is regarding this subject, how UPRs affect mission accomplishment, and how to avoid unprofessional relationships. During this lesson, you will be provided information regarding the legalities of UPR, including fraternization. In order to ensure you understand UPRs, we’ll discuss what a professional relationship looks like. Air Force Instruction 36-2909, Professional and Unprofessional Relationships, dated 1 May 99, clearly states the policy on this subject. So you may know first hand what the Air Force policy is, we’ve printed it here for you.
Air Force Policy on Professional Relationships
Professional relationships are those that contribute to the effective operation of the Air Force. The Air Force encourages personnel to communicate freely with their superiors regarding their careers, performance, duties, and missions. This type of communication enhances morale and discipline and improves the operational environment, while preserving proper respect for authority and appropriate mission focus. Participation by members of all grades in organizational activities, unit-sponsored events, intramural sports, chapel activities, community welfare projects, youth programs, and the like enhances morale and contributes to unit cohesion. Relationships are unprofessional, whether pursued on or off-duty, when they detract from the authority of superiors or result in, or reasonably create the appearance of, favoritism, misuse of office or position, or the abandonment of organizational goals for personal interests. Unprofessional relationships can exist between officers, between enlisted members, between military personnel and members of the civilian employee work force and between officers and enlisted members. This final form of unprofessional relations is fraternization, an aggravated form of unprofessional relationship, and is recognized as a violation of Articles 92 or 134 of the Uniform Code of Military Justice (UCMJ). Fraternization is a personal relationship between an officer and an enlisted member which violates the customary bounds of acceptable behavior in the Air Force and prejudices good order and discipline, discredits the armed services, or operates to the personal disgrace or dishonor of the officer involved. The custom recognizes that officers will not form personal relationships with enlisted members on terms of military equality, whether on or off-duty. Although the custom originated in an all male military, it is gender neutral. Fraternization can occur between males, between females, and between males and females. Because of the potential damage fraternization can do to good order, discipline, morale, and unit cohesion, the President specifically provided for the offense of fraternization under the UCMJ. Consequently, disciplinary action can be initiated under the UCMJ against an officer for fraternization. (See Manual for Courts-Martial, 2012, Part IV, Paragraph 83 for a complete discussion of fraternization, and Paragraph 59 for the related offense of conduct unbecoming an officer.)
150 For UCMJ action to occur, the five elements of fraternization must be proven. The five elements of fraternization (MCM, Sec IV, Art 134, Para 83) are the following: • The accused must be an officer or warrant officer. • There must be an officer and enlisted involved (military equality). • The accused must have known the member is enlisted. • Must be specifically prohibited by the military service. • Must be service discrediting.
Discussion of Policy
Proper professional relationships are an essential element for building morale in any unit. Air Force policy on professional relationships is based on customs of the armed forces; these customs were derived from the need to maintain discipline. There are two important aspects of this policy you must be familiar with: fraternization and superior- subordinate relationships. A close review of AFI 36-2909 and the Manual for Courts-Martial (MCM), United States, 2012, reveals fraternization can only occur between an officer and an enlisted person. Fraternization, as a punishable offense, cannot occur between two officers or between two enlisted members. This type of relationship falls into the broad category of unprofessional relationships. Unprofessional relationships can also be punished under the UCMJ under Article 92, since that article allows prosecution for breaking known regulations. The Air Force has a long-standing and well-recognized custom that officers shall not fraternize with enlisted members (associate with them under circumstances that prejudice discipline of the US armed forces). If an officer knowingly fraternizes with one or more enlisted members, and it prejudices discipline or discredits the armed forces, it’s a punishable offense. Remember, the need to make a distinction between officers and enlisted members isn’t based on a difference in class or culture, but on discipline. It’s difficult for an officer to supervise an enlisted member who’s a close friend or with whom there’s a private relationship. Such a situation promotes favoritism, which can compromise the respect others have for an officer’s professionalism, integrity, and obligations. As an officer, it’s your responsibility to recognize the negative impact of fraternization, avoid it personally, and ensure your subordinates don’t fraternize. Allowing unprofessional relationships in your unit may cause morale problems, a reduction in productivity, and ultimately could cause mission failure.
150 Professional and Unprofessional Relationships 151 Proper superior-subordinate relationships are equally important for creating a productive work environment. Officers must ensure their personal relationships with subordinates, especially those they supervise, don’t give the appearance of favoritism or impropriety. Basically, members of different ranks are expected to maintain a professional relationship, governed by time essential elements of dignity and military courtesy. You’re expected to exhibit appropriate behavior both on and off-duty. Personal relationships between Air Force members become matters of official concern when they adversely affect duty performance, morale, and discipline. AFI 36-2909 doesn’t prohibit officer and enlisted personnel from socializing at formal or informal functions. Obviously, activities which contribute to unit cohesiveness are essential and encouraged. However, a proper balance must be maintained if a unit is to operate effectively. As an officer, you’re responsible for recognizing the difference between appropriate and inappropriate relationships and adhering to Air Force policies. The Air Force policy is clear! Fraternization is not allowed and is punishable under the UCMJ. Other relationships that may not fit the requirements of fraternization but are unprofessional are also prohibited because of the potential to affect duty performance, morale, discipline and ultimately the accomplishment of the mission.
MILITARY RELATIONSHIPS BREED CAUTION
By Colonel Dennis Kansala If your boss was your buddy, how would your environment be affected? Maybe you could get ahead of the pack a little faster, do the job your own way, and stay off the bad details. Maybe you could even get a super enlisted evaluation report or an officer effectiveness evaluation. This would be great for you, as long as you’re the boss’ buddy. But what if you’re not part of the “in crowd” and someone else is, or at least appears to be? How would you feel then? Do you respect and have confidence in a boss whose actions reflect a tight personal relationship with a select person or group you work with? If given an order that involved substantial risk or sacrifice, would you have any lingering doubts about this boss’ motives? What I’m driving at is called professional relations—a subject that applies to all of us— from Airman basic to general. You don’t have to be a colonel or chief master sergeant to understand the need for proper relationships between superiors and subordinates. Don’t like the terms superior and subordinate? Don’t confuse being equal under the law as an American with being equal in command or authority in a military unit.
152 You’ll never get away from the need for proper professional relations. Superiors are located at the top as well as at the action level, and so are subordinates. You don’t have to be in the Air Force long before it’s part of your duty to direct the actions of others. Yet, at the end of a 30-year career, there will still be superiors giving you orders. The Air Force policy on professional relations is simple: Members of different grades are expected to maintain a professional relationship governed by mutual respect, dignity, and military courtesy. We can all understand this--treat others the same as you want to be treated. The term “different grades” doesn’t just cover officer-enlisted relationships, but also senior-junior officer and senior-junior enlisted interaction. It’s the need for discipline in the Air Force that requires proper professional relations. We’re not business people answering to a group of stockholders. Our mission requires more. There’s nothing wrong with good management, but it’s not enough. In combat, there isn’t time to worry about compliance, loyalty, or the leader’s motives. To execute orders effectively, the superior’s integrity must be accepted without question. This won’t happen if there’s undue familiarity between superiors and subordinates. The key words are “undue familiarity...” What does this mean? It doesn’t mean you can’t socialize with your boss or, if you’re the leader, with those who are in your charge. In fact, activities and functions that contribute to unit cohesiveness, effectiveness, and esprit de corps are encouraged and are part of our tradition. However, those activities and personal relationships that undermine the mission and operational effectiveness of the Air Force must be avoided. These are situations where a superior, through a boss-buddy relationship, loses the respect of subordinates, or even worse, undermines the authority of others’ leadership positions. That’s right. When an officer steps out of his leadership position and becomes one of the guys, what does that do for the next officer who’s trying to maintain standards? Will the response from subordinates to his orders be a “yes, sir” or just a lot of mumbling, or worse? Also consider the noncommissioned officer who needs to get a job done, but nobody hears him because his predecessor found it easier and more fun to be part of the crowd rather than be the leader. If you suspect that senior officers and NCOs have set up an elite class based on a bigger paycheck or some social superiority, you’ve missed the point. This is not a philosophical question of someone being better. It’s a matter of military authority—who’s in charge. In a crunch, there can be no question who’s giving the orders and if they’ll be obeyed. Remember, even the appearance of a buddy-boss situation can create morale and discipline problems. It may not be fun to draw the line between friendship and supervisory responsibilities, so avoid popularity contests in the first place. Set up activities that contribute to your unit’s effectiveness, but, as a leader, avoid the undue familiarity trap.
152 Professional and Unprofessional Relationships 153 ______Bibliography: 1. AFI 36-2909. Professional and Unprofessional Relationships, 1 May 1999. 2. Kansala, Col Dennis. Military Relationships Breed Caution. Lackland AFB, Tailspinner, 9 February 1990. 3. Manual For Courts-Martial, Washington, DC: Government Printing Office, 2012.
154 Professional and Unprofessional Relationships Case Studies
Activity Statement: • Discuss the rules of professional and unprofessional relationships (UPRs) in relation to the case studies presented.
Affective Lesson Objective: • Value the positive impact professional relationships have on an organization.
Affective Samples of Behavior: • Actively participate in discussion of case studies. • Defend the importance of maintaining professional relationships.
Professional and Unprofessional Relationships Case Studies 155 he taboo against undue familiarity, or “fraternization,” has its roots in costly lessons learned on the field of battle. To maintain authority in a leadership role, an officer Tmust exercise impartial judgment and display an attitude that’s perceived as “fair.” Undue familiarity undermines respect, tends to breed contempt, and can be one of the most destructive forces to leadership. Uneven treatment, real or simply perceived, generates hostility and undermines an officer’s credibility. It can impair the mission, and lead to senseless waste or even combat fatalities. The maturity levels of both officer and enlisted personnel can contribute to the development of fraternization problems. Many newly-commissioned officers are near the same age as the junior enlisted Airmen they supervise; since many come from similar social and cultural backgrounds, they share common interests and lifestyles. This presents a subtle problem for a young officer because social encounters are more likely. These social conditions make it difficult for officers to maintain “professional distance.” Breaches of this custom, when determined to affect good order and discipline, have resulted in punishment under Articles 92 and 134 of the UCMJ. Certain actions have been specifically identified as being prejudicial to good order and discipline in AFI 36- 2909, Professional and Unprofessional Relationships. Outside of these specific acts, it is difficult to specify exactly which acts are prejudicial to good order and which aren’t. This is because many instances of off-duty involvement such as squadron picnics, etc., are well accepted and have a positive effect on morale. It’s when unwise, close personal relationships develop that socializing becomes fraternization. Each situation must be analyzed on its own merits, in view of all relevant circumstances. Disciplinary actions have been taken in numerous instances, and a number of officers have been either dismissed under other-than-honorable conditions, or sentenced to dismissal as a result of courts-martial convictions. Officership requires a strong sense of professionalism, high integrity, and exceptional adherence to standards of conduct. In all supervisory relationships, a degree of authority and respect must be present. Without these elements, a military officer loses the respect of those assigned and holds an “empty” commission but probably not for very long. Breaches of self-discipline will adversely affect not only the mission, but also individual careers.
156 CASE STUDIES
The following situations are presented for discussion during class. You should review and be prepared to discuss ALL of them.
Case Study #1
SMSgt John Miles is the NCOIC of a remote detachment located in England. The nearest military installation is 65 miles away. The tour is unaccompanied. Ten-hour duty days are routine and 14-hour days are not uncommon. Morale in the unit is generally good, but being isolated is a hardship for all assigned. SMSgt Miles supervises 14 technicians ranging in grade from Amn to TSgt. He finds he has little in common with most of his subordinates until he discovers that SrA James Payton shares his love of international soccer. Daily, they discuss the merits of various soccer players, talk about league standings, and analyze upcoming games. Only rarely does SMSgt Miles enter into casual conversation with others. It is known that SMSgt Miles and SrA Payton attend local soccer matches together and that they have traveled to neighboring countries, sharing the expenses of transportation and lodging. SMSgt Miles overhears a conversation about work schedules and is taken aback when he hears SrA Payton referred to as the “teacher’s pet” who “everyone knows” always pulls the “cushy” duty. In fact, SMSgt Miles has attempted to spread out the details and rotate the work schedule so that everyone pulls a fair share. Is SMSgt Miles’ relationship with SrA Payton professional or unprofessional? What is the impact of this relationship on the workcenter? What could SMSgt Miles have done differently?
Professional and Unprofessional Relationships Case Studies 157 Case Study #2
2d Lt Martin is the OIC of a section and supervises a staff sergeant who has just been notified that she’s been selected for promotion to technical sergeant. The enlisted staff has planned a small party to celebrate at the base club after work on a Friday. Everyone from the section has been invited to attend, including 2d Lt Martin, the only officer in the section. Should 2d Lt Martin attend? If she decides to attend, what considerations should she take into account to ensure her attendance doesn’t appear unprofessional? What, if any, are the benefits of her attendance?
158 Case Study #3
Lt Col Parker is unmarried and in command of a maintenance squadron when she meets Capt Davis, a recently divorced pilot. They discover they have many common interests, including skiing. After dating off and on, they plan to spend a Saturday at the beach. The flying wing is short of pilots and there have been complaints about the high operations tempo. On Friday, Capt Davis is notified of a short-notice weekend mission. Capt Davis calls Lt Col Parker and says, “I’d really rather go to the beach, but I’ve been assigned to a mission. Unless you can talk my commander out of this, the trip is off.” Lt Col Parker immediately calls Capt Davis’ commander, an old acquaintance, and makes a case for changing Capt Davis’ schedule. Capt Davis’ commander “blows up” at the suggestion and his rather loud conversation with Lt Col Parker is overheard by others. The story quickly spreads throughout the squadron. What aspects of a professional relationship have been violated in this scenario, if any? Explain.
Professional and Unprofessional Relationships Case Studies 159 Case Study #4
Maj Thompson and SSgt Wong live near each other in the suburbs of Washington, DC. They work in different organizations at the Pentagon. Carpooling is officially encouraged because it saves money, cuts the commute in half, and benefits everyone because parking near the Pentagon is a nightmare. Maj Thompson places an ad for riders on the bulletin board and SSgt Wong responds. The two begin to share rides to work. While they find they have a number of common interests, they confine their relationship to carpooling and chatting in the car. Is the relationship between Maj Thompson and SSgt Wong professional? Why or why not?
160 Case Study #5
Capt Monroe supervises several civilian employees, including Ms. Torres. Because Ms. Torres is new to her position, Capt Monroe spends considerable time with her. To save time in the office, the two have working lunches often. They both work long hours and are frequently the last to leave the office in the evening. Capt Monroe’s commander approaches Capt Monroe and states that there have been rumblings about the amount of time Capt Monroe spends with Ms. Torres. Capt Monroe assures the commander that there is nothing romantic to the relationship and blows off the rumors. Capt Monroe informs the commander that Ms. Torres has great potential and that she is a pleasure to work with. Their contact continues unabated. In fact, Ms. Torres is frequently seen off-duty with Capt Monroe and Capt Monroe’s spouse. Several months later at appraisal time, Capt Monroe rates Ms. Torres as the highest of all the employees. She is the only one who qualifies for a monetary bonus. Two employees file a complaint alleging that they were never asked to lunch and never benefited from Capt Monroe’s constant attention. One demands to be transferred to another section saying, “If Capt Monroe had spent as much time developing my talents, I’d have been the number one employee on the base.” Is the relationship between Capt Monroe and Ms. Torres professional? How is their relationship perceived by others? What is the impact of the perception?
Professional and Unprofessional Relationships Case Studies 161 Case Study #6
1st Lt Wilson and TSgt Campbell are both assigned to the Logistics Readiness Squadron (LRS). They do not work directly in the same chain of command, but they have worked with each other on a few small projects previously. 1st Lt Wilson and TSgt Campbell are both married and each of their spouses volunteers with the same on-base organization. Over time, the two spouses grow close and become good friends. The two spouses have a lot in common and decide that their spouses, the 1st Lt and the TSgt, would get along great. 1st Lt Wilson’s spouse arranges a dinner for the two couples to get to know each other better. Is the relationship between the two spouses professional? What, if any, are the issues with the two couples having dinner?
162 Case Study #7
1st Lt Brown is stationed at Ramstein Air Base, Germany, and is an avid skier. 1st Lt Brown joins the local ski and snowboard club, which regularly organizes weekend, overnight trips to the mountains throughout the ski season. The club is open to everyone: civilians, officers, enlisted Airmen, spouses, etc. 1st Lt Brown goes on the club-organized trips frequently and has developed friendships with many of the other trip-goers. He has developed particularly close relationships with a civilian, a major, and an enlisted Airman due to their similar skill-level and interest in skiing. During the trips, the four spend the vast majority of the weekend together, skiing during the day, dining and partying at night, and sharing a hotel room. 1st Lt Brown believes that the relationships he has with the three are fine because he doesn’t interact with them outside of the ski club when they are back at home or on duty. Are 1st Lt Brown’s relationships with the three individuals professional? Is 1st Lt Brown correct in thinking the relationships are fine because the relationships do not go outside of the ski club? Why or why not? Explain.
Professional and Unprofessional Relationships Case Studies 163 Case Study #8
2d Lt Lee is a member of the squadron intramural bowling team. The other members of the team are NCOs. Two of the NCOs have begun calling 2d Lt Lee by her first name while at the bowling alley, but continue to address her as 2d Lt Lee while on duty. Should 2d Lt Lee allow them to address her by her first name? How should she address the issue? Explain.
164 Case Study #9
As the officer in charge, Capt Griffin has both military and civilians under her supervision. The NCOIC is a master sergeant. Several junior enlisted Airmen have come to see her complaining that the NCOIC is giving special treatment and easy tasks to one particular staff sergeant in his chain of command. One of the Airmen complains that he was offended by the fact that the NCOIC and staff sergeant are having an off-duty relationship of a romantic nature and he personally thinks it reflects badly on the workcenter and the Air Force for these two males to be engaged in this sort of relationship. What aspects of professional/unprofessional relationships are being violated in this scenario, if any? Is the sexual orientation of the two an issue? Why or why not?
Professional and Unprofessional Relationships Case Studies 165 Case Study #10—Air National Guard/Air Force Reserve Scenario
SMSgt Drummond, a traditional Guardsman/Reservist, is the superintendent of the maintenance squadron. He is viewed as a hard worker and excellent supervisor. In a base parking lot on drill weekend, A1C Stewart, a new Airman, observes SMSgt Drummond not saluting 1st Lt Johnson, an officer in the communications squadron; SMSgt Drummond and 1st Lt Johnson simply embrace each other with a hug. Later that day, A1C Stewart overhears SMSgt Drummond referring to 1st Lt Johnson by her first name. A1C Stewart is curious about the relationship between SMSgt Drummond and 1st Lt Johnson and asks his peers what is going on. They inform him that 1st Lt Johnson and SMSgt Drummond got married a few weeks prior. What aspects of professional/unprofessional relationships were violated in this scenario, if any? What actions should be taken by SMSgt Drummond’s and 1st Lt Johnson’s supervisors?
166 Case Study #11—Air National Guard/Air Force Reserve Scenario Staff Sergeants Perry and Rodriguez serve in the same squadron in their Air National Guard/Reserve wing. The two grew up in the same small town, graduated from the same high school, enlisted together, and attended basic training and technical school together. They are best friends and a few years ago became roommates. The staff sergeants carpool to drill weekends and between the job, working out, and meal times, they spend the majority of the weekends together. Six years after enlisting, SSgt Perry completes his bachelor’s degree and applies to receive his commission through Officer Training School. SSgt Perry attends the course successfully and receives his commission. 2d Lt Perry returns to the same unit and assumes the flight commander job, a position in SSgt Rodriguez’s chain of command. 2d Lt Perry speaks with the squadron commander to see if it is possible for him or SSgt Rodriguez to take a position in another unit, but no moves are feasible. Now that 2d Lt Perry is an officer, what actions should he take to have the relationship with SSgt Rodriguez not be perceived as unprofessional? Explain.
Professional and Unprofessional Relationships Case Studies 167 Conflict Management
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend the principles and concepts of conflict management.
Cognitive Samples of Behavior: • Describe the five personal conflict management styles. • Assess a situation and decide whether a particular conflict management style is appropriate. • Given a scenario, identify the concepts of conflict management used to successfully accomplish the mission. • Identify sources of conflict.
Affective Lesson Objective: • Respond to the importance of understanding and using the principles and concepts of conflict management.
Affective Samples of Behavior: • Assert the importance of effective conflict management. • Actively participate in practical exercise during the lesson.
168 Power and Influence
Lesson Preparation: • None
Cognitive Lesson Objective: • Comprehend the ways leaders and followers use power and influence to accomplish tasks.
Cognitive Samples of Behavior: • Describe the eight sources of power. • Explain the three strategies of transforming power into influence. • Identify the relationship between power and influence.
Affective Lesson Objective: • Respond to the importance of understanding the use of power to influence others.
Affective Sample of Behavior: • Assert the importance of the proper use of power.
169 Power and Influence 169 The Caine Mutiny
Activity Statement: • View selected video clips from the movie The Caine Mutiny and discuss the concept of dynamic subordinancy and the proper role of dissent in a military organization.
Affective Lesson Objective: • Respond positively to the need for dynamic subordinancy among all followers.
Affective Samples of Behavior: • Actively participate in classroom discussion concerning the characters involved in The Caine Mutiny. • Explain the importance of dynamic subordinancy. • Explain how military dissent should be delivered.
170 DYNAMIC SUBORDINANCY William J. Crockett ur organizations are filled with subordinates, but few of us get much basic survival training for that role, not to mention on how we might make those roles dynamic, Osynergistic, and satisfying. But we spend a lot of time helping people to learn how to be effective leaders in learning how to fulfill their leadership roles. I believe that it’s important for our organizations to start giving some attention to the development of the concept and role of followership, because leadership is but one strand in the complex web of human relationships that holds our organizations together. Traditionally, we have accepted the assumption that it’s primarily the boss’ job and responsibility to cause the work group to function well—and to take care of the people’s needs so the group is turned on and productive. Bosses have born the chief responsibility in the past for the vitality of their relationships with their subordinates, and for the quantity and quality of their work. But the successful and effective boss/subordinate relationship not only demands some things of bosses, it also demands some things of followers as well. Therefore, subordinates can and should be more than passive robots to be manipulated and used by bosses. They have the responsibility—as well as the opportunity—for making the situation a good one, a win/win for themselves as well as for the boss. Another very pragmatic reason for our wishing to achieve excellence in followership is that we often get rewarded or punished as a result of our “followership” effectiveness. Our success in effectively filling our subordinancy roles is the key to our here-and-now security as well as to our future promotion and success. People get fired because they are ineffective subordinates. From this standpoint alone, the vitality and worth of the relationship is more important to the subordinate than it is to the boss—because it is the subordinate who has the most at stake! There are three overlapping areas or ways for looking at our followership role and for mapping strategies for making that role more fulfilling to us, as well as more effective. The first of these areas is the job itself. This includes how well we understand its mission and its accountabilities as well as its opportunities and the skills and attitudes this requires of us. The second way of looking at our jobs is in terms of our relationships and, most especially, our relationship with our bosses. The third area for review is our own feelings about our jobs, our bosses, and ourselves. Just what is our unit level and what we can we do to improve it? This article deals with each of these three areas and helps us to think through where we stand in each. It helps us to find the means of taking charge of our work lives rather than passively accepting what comes our way. Finally, it also helps us to formulate an action plan for doing something about each of these three areas, for it is only by taking action that we can start to become more dynamic in our followership.
170 The Caine Mutiny 171 The Job Itself
Being a subordinate is very much like being a steward, i.e., assuming the responsibility for the well-being of something that belongs to another. Like the biblical story of the good and bad stewards (Matthew 25:14-30), the stewardship role is not fulfilled when it is just passively done. The good steward is dynamic and risk-taking in attending to the work that he has been given to do. However, in order for us to be dynamic and risk-taking in our jobs, we must work through some things for ourselves and then with our bosses. To risk blindly is the action of a foolish person and it courts ruin as well as success. The dynamism I am talking about is that which has a high chance of ending with success for the subordinate as well as for the boss--a win/win situation for both. In order for us to be genuinely dynamic, we must have a strong launch pad of basic understanding about the job and our boss on which to base our actions. There are three ingredients that make up this basic launch pad. These are:
Know What the Job Is. In a survey, a group of top-level business people failed to agree upon the exact acts of subordinancy that would insure the success of their subordinates. But they did agree upon the point that the subordinate must know precisely what it is that his/her boss expects! Doing a number of things well will not suffice if the boss doesn’t care about those things. Therefore, no amount of effort in these areas will make the subordinate succeed if he/she fails to perform well in the one or two things that the boss holds dear. Another area of potential misunderstanding around the job comes from ambiguity about the job itself. The more ambiguity there is in a job, the greater the danger in terms of the subordinate not delivering what the boss really expects. The initiation of discussions with the boss about expectations for the tasks and responsibilities of the job is one of the first and most important responsibilities (and opportunities) of a subordinate. It is absolutely essential that the critical success factors of the task, i.e., the boss’ expectations, be known and understood by the subordinate. It is far too easy to overlook them in the first place, or to push them out of focus due to the multiplicity of non-essential tasks and loadings that the job (the subordinate) has acquired. It is the subordinate who has the best opportunity to know these loadings because they have the firsthand data. Therefore, it is the subordinate’s responsibility to initiate discussions with the boss to surface expectations about the job: its accountabilities, its goals, its content, its priorities, its methodology, its standards, etc. Boss/subordinate discussions around the context and meanings of the subordinate’s job, when they are initiated by the subordinate’s genuine concern for the boss and his/her best interest rather than from the subordinate’s dissatisfaction, can be a dynamic and exhilarating experience for a subordinate. If subordinates will take the pains to be objective in documenting their cases, and if they will present it in a genuine concern for the boss, then the subsequent discussion can be free from emotion, tension, and acrimony. One important piece of self-research we can do is to develop data about the job.
172 • The accountabilities...what end results am I accountable for? • The critical accountabilities...the ones that have the most leverage if accomplished and those that have the most risk if not accomplished. • The ways I now spend my time and how that relates to the two points mentioned above.
Know How to Do the Job. The value that the boss places upon a subordinate is in relationship to how well the subordinate enhances the effectiveness of the boss’ domain— how well the job is done. The shortsighted subordinate will conceive it to be the boss’ responsibility to discover deficiencies, for training, to promote, to look after his/her career, and to help in the subordinate’s success. And of course bosses do have some of these responsibilities. One unyielding requirement for us if we are to be successful subordinates is that we can objectively look at ourselves and our skills in relation to the skills that the job requires. If we can do this, and can see our own deficiencies, then we can, through training and development, acquire the needed skills. This aggressive self-examination of our needs and our taking charge of our own self-improvement is another way dynamic subordinates distinguish themselves from their more passive colleagues. The dynamic subordinate doesn’t wait. They soon take on that responsibility for their own professional development. They don’t own their territory, for their boss can fire them at will. But the one thing that every subordinate does own, and which no one can take away, is their expertise—their professionalism. This is the most personal, most valuable, and most absolute territory a person can have. No one can hold a capable person back. Their professionalism and talents will become known, will be needed, and will be requested—if not by their boss, then by others. The wise subordinate is the learning, developing, experience-seeking person who becomes independent because they are a professional! The wise subordinate never uses the maddening excuse—“That isn’t my job,” but will seize upon every opportunity for learning something new and having a new experience.
Do the Job. The end product that a boss expects from a subordinate is a job well-done— whatever it is that well-done means to the boss. A subordinate succeeds, gets rewarded, and receives accolades and promotions based mostly upon successful fulfillment of his/ her here-and-now duties.
172 The Caine Mutiny 173 Do the job! That’s what the boss expects and that’s what we are receiving our pay as subordinates to do. That’s what will lead us to success and a brighter future. It is said that there are three requirements for successful followership, i.e. for getting the job done. These are: • know what the job is • knowing how to do the job • doing the job Knowing what the job is and having the required skills to do it with will not get the job done if the person is not motivated to do it with zest. One of the most powerful drags to productivity in America is lack of motivation. To become demotivated is the emotional result of all that we see happening to us in the work place. When we are demotivated we don’t care whether or not we do the job or whether we do it well or badly, or maybe we are so turned off and angry that our hidden objective is to punish the organization and our boss! If we are in this frame of mind, then we have but two logical choices: to pull ourselves out of this pit and rekindle our positive drive or to leave. For the inevitable consequence of our staying in this negative frame of mind is sooner or later to be fired. One play of dynamic action that I can suggest for us if we are in this state is to make an objective (it’s hard to be objective now) analysis of our entire situation: • Search for and identify all of the negative emotional producers; • Search for and identify the positive emotional producers (there will surely be some of these); • Carefully analyze and examine the impact of each of these negatives and positives upon us; • Think through ways that we can unhook ourselves from our participation in the negative producers; • Think of ways that we can create other positive producers and enhance those that now exist; and • Make a plan of action. This whole analysis ideally should be shared with a trusted friend who will tell us honestly what their reactions are and not just what we would like to hear.
174 Another potential reason for our demotivation may be our feeling that we have been given little or no freedom by our boss to get our job done. Freedom of action in getting our job done has these components: • free to determine the substance (the what) • free to determine the timing of when things will be done (the when) • free to determine who will be responsible for doing the job (the who) • free to determine the cost of doing it (the cost) Sometimes bosses just don’t give their subordinates enough freedom to enable them to feel worthwhile, trusted, and turned on. We can analyze each of our major accountabilities on the preceding five dimensions to get an objective evaluation of our freedom. If our analysis demonstrates to us that we aren’t being given enough freedom around an accountability, or on one or more of the above dimensions, we then have objective data to take to our boss for discussion. If this is the case, we need to carefully devise an action plan of how we will confront the boss as well as what we plan to confront him/her with. The possibility exists that we subordinates can badly misread the realities about us and thereby we may have actively created our own demotivation out of nothing more than our own misperceptions. If this is the case, we’ll need a personal action plan. On the other hand, of course, the possibility also exists that our analysis and our subsequent discussions with our boss only serve to confirm our worst fears and suspicions--the situation is a lost cause! If this is the case, then it will require a different kind of an action plan from us—a plan to leave! One of the key dimensions to dynamic subordinancy is the psychological willingness and the professional capability of the subordinate to be independent of the boss and the job whenever I, the subordinate, want the end to come. When I find myself depressed and demotivated and I have done all that I could to change the conditions causing this then it’s time to think about leaving. Where it becomes apparent to me that I can’t respect my boss, don’t approve of my boss, can’t trust my boss, again, it’s time to think about leaving. When I find myself wanting to punish my boss, and am moved to bad-mouth and belittle my boss, then it’s far past time for me to move on. To stay under such conditions is to prostitute myself for money with little sense of commitment and loyalty. To stay is to lose my self-respect as a human being. To stay is to eventually fail. Perhaps our willingness to leave a situation whenever it no longer meets our needs, fulfills our values, turns us on, or challenges our expertise, is the most important single measure for insuring that we remain dynamic as a subordinate. This is the key to our own freedom and to our self-esteem.
174 The Caine Mutiny 175 Boss-Subordinate Relationships
Everyone knows that there is a lot more involved in a job than just getting the job done, no matter how well we do it from a substantive point of view. One critical factor for success in any job is the quality of the relationship we have been able to create with our boss. This relationship, like all relationships, is a mutual responsibility to develop and to nourish. But since it has so much significance for the future growth and success of the subordinate, we must go to extra lengths to try to cause the relationship to become a good one. Some of the things we can do are:
Challenge. We must obey the legal demands of our bosses, but in doing so we do not have to lose our self-esteem nor take on the hangdog-pose of the servant. We can become the trusted advisor to whom the boss comes to get the straight dope. No one, not even our boss, can be completely infallible. Humans at all levels will make mistakes occasionally. Most managers are thinly spread over wide stretches of important and diverse activities. As a result they can be caught in trivial efforts that take on more importance than they have in real substance. Wise subordinates will be alert to ways that they can rescue their boss from mistakes of commission and omission. Most good bosses don’t like subservience and don’t trust “yes” people. Most bosses want subordinates who will challenge their ideas, differ with their decisions, give them data, put forward new ideas for doing things, and who will care to be uniquely themselves. But to get away with this kind of behavior requires that the subordinate come from a base of absolute trust and not from competitive counter-dependency. To gain this preferred role, a subordinate must have: • Demonstrated absolute personal respect and loyalty to the boss in other situations; • Gained the boss’ admiration and respect for his/her profession, for the accuracy of his/her data, for the timeliness of his/her reports, and for his/her emotional maturity; • Never publicly played win/lose games at the boss’ expense; • Gotten the boss’ job done to the boss’ expectations when the decision was finally made. The role of loyal opposition or devil’s advocate is an important one for all subordinates to learn—if they can also learn to use it from a solid base of trust. They must learn, when practicing it to come across as caring rather than punishing, collaborative rather than competitive, probing rather than judging. The way this is done—how it is done—is often far more important than what the substance is.
Inform. Closely associated with the concept of subordinancy is the irksome chore of accounting for our activities. Like obedience, most of us stopped accounting to anyone when we left home. And now that we are at work, we must once more account to someone—our hierarchic superiors.
176 The reason for this accountability to the boss is that no subordinate, no matter if his/her title is dishwasher or president, has final accountability. We are not the full owner of the territory that we occupy. We may feel like an entrepreneur, act like a king, and be a saint. But in the final analysis, we are but a steward in the “master’s vineyard.” Through the process of delegation, each subordinate is given a job to do by the boss. Some bosses tell their subordinates little, and others tell them much—how, when, who, where, why, how much, how often, how deep, how wide, etc. But in the end, every subordinate must account to the leader for his/her stewardship of what was done with the thing the boss assigned. It is the subordinate’s duty to give and the boss’ right to request this accounting.
It is the boss’s territory. It is the boss’s right to know. The boss must be told because they are also a subordinate to another boss who is also looking for that same accountability. And so it works, forever upward! The effective subordinate will fully and cheerfully perform this function of accountability. This, in reality, gives the subordinate a chance to put the boss at ease and create the first stirrings of trust. A subordinate who, for whatever reason elects not to account to the boss fully and honestly, can’t win. Such actions on the part of the subordinate as withholding information, diverting data, giving half-truths, forgetting, falsely telling, etc., whatever the excuse or rationale are examples of no-win, non-professional subordinancy. The system doesn’t condone such subordinate behavior--no matter what kind of a boss a subordinate may have or what the private rationale may be. The dynamic subordinate will not only fully and cheerfully perform this function of accountability, but will initiate it! The subordinate’s challenge is to be able to account to the boss about the job honestly and factually and still regain the feeling of personal freedom and dignity.
Invite Him/Her In. All of us have a feeling of personal territory. My desk, my car, my coat, my home, my job, etc., are mine and are important to me. They are my territory and no one had better encroach uninvited into my domain. All of us seem to possess and exercise this “territorial imperative,” this is personal ownership of the things that are mine, including my job. There is one area, however, where a person cannot exercise such dominion with impunity- -the job that the boss has delegated. It is still the boss’ territory because the boss still has accountability upward for the success of the job. The subordinate has been given only a temporary lease. The subordinate is the steward for the boss and is working to fulfill the job in the best way possible on behalf of the boss. Some bosses, of course, for whatever reasons, will sometimes elect to respect the subordinate’s area and not intrude unasked into this domain. Other bosses make no bones about their right to tell the subordinate exactly how the boss wants the job to be done. Leaving out the psychological, motivational, and productive consequences of such dominant boss behavior, there seems to be little question of the boss’ right to do just that.
176 The Caine Mutiny 177 The reason for this rests upon the rule of accountability--the person who is accountable has the right! And since the subordinate’s boss is accountable upward, it is their right to have full access to the subordinate’s area of responsibility. So the dynamic subordinates will open wide the gates of their job to the boss. They will invite him/her in to visit frequently. They will proudly show him/her the situation, explain the improvements, ask for help on problems, and seek the boss’s ideas for change. The subordinate who can share his/her area of responsibility with the boss with unlimited and uninhibited trust, in turn, makes the boss his/her advocate—partner—and gains additional trust and freedom as a result. It’s the win/win way to go! The challenge to the subordinate is in fulfilling his stewardship responsibilities to the boss without falling into the trap of claiming ownership of the territory that the subordinate has so skillfully created and built.
Ask for Feedback. The job that a person does is always emotionally loaded by the subordinate’s perceived behavior of the boss—and most importantly, the subordinate’s interpretation of the meaning of that behavior. Whatever the boss does or does not do in the course of a relationship, day after day, has implied (and sometimes overt) meaning for the subordinate about the boss’s intentions and attitude. For example, if the boss seems to withhold important data that the subordinate believes is needed in order to do a job properly; if the boss doesn’t invite him/her to the meetings that he/she thinks are important; if the boss looks at him/her in certain ways; if the boss appears at unusual times; and on and on, the subordinate may wonder why. In such cases, the subordinate supplies the reasons and the motives for the boss’ behavior--and in many cases those reasons and motives, in the mind of the subordinate, may portray the boss’ dissatisfaction. This is the start of distrust, suspicion, ill will, disloyalty, and outright animosity on the part of the subordinate. Over time, these emotions can build to the point of causing the relationship to end. The sad thing in our human relationships is that very often the subordinate’s perception of the boss and the situation is entirely incorrect. And in such instances, subordinates again have the responsibility to act, because it is they who have the data i.e., their perception of the boss’ behavior and their inferences of the meanings of that behavior. So, it is the subordinate who has the burden of taking the matter up with the boss. In such cases, the wise subordinate will choose the time and place carefully. They will also take the responsibility for the feelings that they have and the way they express them to the boss. For example, don’t start out by saying “You do so and so,” but rather “I feel so and so.” Usually the boss will ask “why,” and then the subordinate can describe his/her inferences of the meaning (impact) of that behavior. This can be the beginning of a very fruitful building process that may become ongoing. This kind of dynamic behavior on the part of a subordinate will do much to keep the boss/ subordinate relationship vital and unspoiled by the pollution of unfounded suspicions.
178 Help Give Feedback. The boss, also being human, will play the same game of perceptions and implied meaning that the subordinate plays. The wise subordinate will be aware of two important facts: • That the boss does indeed look at the subordinate’s behavior and wonder at the implied meanings it may hold. • That the boss may not have the guts to openly and directly confront the subordinate about things the subordinate does that the boss doesn’t like. It may the boss’ tendency to “store up” resentments and irritations over little things without telling subordinates. And if this is so, this holds grave danger for the subordinate. The subordinate may be blissfully unaware of the deep resentment and irritation that some part of his/her behavior is stirring in the boss. The danger is that one little thing the subordinate does may inadvertently wipe out the boss’s perception of all the good things the subordinate has been doing. And in fact, these irritations may (can) result in the subordinate’s dismissal. The explosion of a boss’s pent-up emotions can be dangerous to all subordinates. The dynamic subordinate will take the initiative to probe with the boss for these hidden reservoirs of resentment. One of the best ways of doing this is for the subordinate to get the boss’ confidence, i.e. tell the boss of his/her hopes for success and to ask the boss for help—for coaching, for ideas, and for advice. This may ease the situation so that the boss can feel free to express his/her feelings. And once this general base of expectations has been laid, then the subordinate should take the initiative to discuss the results of any major activity that he/she has fulfilled as to what went right, what went wrong, how the boss felt, etc. The process becomes a critique, and not criticism. Only the most constricted boss can fail to respond to the sincere searching of a subordinate for positive and helpful critique.
Share Your Needs. Subordinates also have needs, and wise bosses, realizing this, will attempt to understand and fulfill those needs. But for whatever reasons—some bosses won’t do this or are unable to start the process. Dynamic subordinates will not elect to feel hurt when they find that the boss is not very aware of their needs. They won’t sulk in their corner. They won’t, first off, try to find another job. Instead, they will stop waiting to be chosen and will start letting the boss know what it is that they want. In reality, there is no way for another human being to actually know our needs unless and until we ourselves make them known. Often times our needs do make sense to others, do fit in with higher goals and objectives, and can indeed be met. But it’s the subordinate’s responsibility to take the risk of making them known. That’s part of being dynamic.
Build Trust. The only relationship that is tenable for a subordinate to have is a constant surging flow of two-way trust. Without such trust nothing works well and the relationship is flat, unexciting, and suspicious. There can be no real professionalism without trust.
178 The Caine Mutiny 179 Building trust is a mutual activity and is the responsibility of both the boss and the subordinate. But the subordinate must work at it harder, take the first initiative, and avoid the depletion of trust caused by ineffective behavior because the subordinate has so much to lose if the boss’ trust is lost. When the boss loses trust, the subordinate has lost all. Trust is built in tiny increments of positive behavior around the things that have already been mentioned: It is built by day-to-day evidence that the subordinate puts the boss’ interest first; does not upstage the boss; does not let the boss look bad; saves the boss from mistakes; rescues the boss from errors; and makes the boss believe that he/she is truly happy in second place. But getting the here and now job done on time, fully up to its standards and fully meeting the expectation that the boss has for it, is the single most powerful producer for trust. If a subordinate will do these things, one day his/her bank will overflow with trust!
Responsibility for Ourselves
Perhaps the greatest challenge of all for us is the opportunity we have for managing ourselves in ways that enable us to be proactive in our jobs and in our critical relationships. In my own experience, it has been neither an easy task nor a quick one. But it surely is one that is worthy of our consideration and hopefully, of our effort. Self-management is taking charge of both our emotions and our behavior so that we are not just reactive robots to every emotional stimulus that becomes activated within us. Since our emotions are, potentially, powerful motivators of our behavior, then it seems to be that we need to learn a system that puts us in charge. But the fact that I may choose self-management as an option and the actual act of fulfilling that choice (i.e., making self- management an actuality in my life) are miles apart! There follows some ideas on how we can make a start toward self-management.
Acquire Self-Awareness. Our first challenge is to be aware of our own behavior and the feelings it may trigger in others. Do we behave in ways that arouse feelings of anger, hatred, frustration, fear, insecurity, and distrust in others toward us? To the extent that we generate these feelings in others by our own behavior—and since feelings generally cause (motivate) dysfunctional or inappropriate behavior—then we are sometimes a direct catalyst of such behavior in others. Thus, in this sense our behavior is ineffective. Since we each “own” our feelings and are responsible for our reactions, and when we hit someone’s hot button (either deliberately or by accident), we are participating in and contributing to their inappropriate behavior, whatever it is. Therefore, our challenge is to become aware of the impact of our own behavior and to behave in such ways that we do not set in motion destructive and inappropriate chains of behavior in others—and most especially our bosses.
180 One important aspect of self-awareness is to examine our habit patterns of dress, of facial expression, of body language, and of speech. Have we fallen into a trap of “you knowing” the end of every sentence? Do we interrupt? Do we listen? Are we cynical? Self- awareness requires eternal vigilance of ourselves by ourselves and, if possible, a trusted friend to insure that we are indeed fully positive.
Managing Our Feelings and Our Behavior
Managing the Way I Behave. One way we can cope with our feelings is through a process of self-disciplined control of our behavior. This requires that we remind ourselves that we are responsible for our own behavior and can shape it in a variety of ways. We can each develop a range of ways of behaving to different persons, in different situations, and for different results. However, it is well to remind us that certain roles “call for” certain behavior (and control). Thus, parents have an obligation for restraint toward their children, or a boss needs to consider what responsibilities are for the well being of his/her subordinates who have been entrusted to him/her by the organization, and subordinates must consider the boss’ need for respect and loyalty. This kind of self-restraint is not a denial of the feeling; it is an optional kind of behavior that we have selected for that person in that situation. Emotionally responsive behavior is not the only choice I have for coping with the way I feel. It’s just one way, and all too often it’s not the best way! I believe that it’s worth my effort to manage my behavior for two reasons. First, because it does save us from many a behavioral blunder; our perceptions aren’t always accurate enough in sensing the true feelings or motives of others, despite their overt behavior, for us to risk basing all of our behavior upon them. We cannot assume that we always make the correct evaluation of their intentions and interests toward us. And second, when we do succeed, it is a great psychic reward to us because of the increased “self-esteem” that flows to us from a successful encounter with ourselves. We can be responsible for our own behavior!
Managing the Way I Feel. My second option of self-management is harder even than the first. This is to embrace the concept that my emotions are also my own to deal with in just the same way as my behavior. I know and accept the fact that no one can make me “feel love,” “feel happy,” and so on, unless I too, am a willing party to that process with another person. This does not mean a denial of the feeling once it is in being, but it does mean that I don’t need to have the feeling in the first place unless I lay the feeling upon myself. For example, someone does something which I interpret in a way that means to me that I have been snubbed. The frequent “human” emotional response to that would be either anger or hurt—or maybe some of both (in my case, I probably would feel both). A common rejoinder is that other person made me feel these ways, and the behavioral response might be to get even in some way or other- -to punish the person either by an overt act or by withdrawal.
180 The Caine Mutiny 181 But my feelings (emotions) are not necessarily an automatic reaction to the behavior of another, unless I myself let them be (maybe even want them to be!). It’s like turning on a light bulb. There is power in the line, but the bulb won’t shine unless I turn it on. There is behavior (power) in the system (the way the person acted), but my emotions (the light bulb) needn’t be (won’t be) activated—turned on—unless I want them to be. I like this view, and have experimented with it enough myself to know that it is viable—though it is not easy, and I fail about as much as I succeed.
Our Response to Personally Hurtful Behavior. If I do what others demand of me just because of their behavior towards me (i.e. threatening behavior, tantrums, etc.), then I have become a participant to their process. I am partially responsible for what they are doing to me. Their behavior is effective for them because it does achieve their objectives with me! The most telling (best) response to the personally hurtful behavior of anyone is to deny that person the achievement of his/her objective when he/she uses hurtful and inappropriate behavior toward us. (Workers in business and industry all over America are in reality doing this by their uncaring attitude about the job.) We all learn from our experience, and if our behavior doesn’t get the results that we want, then we will change it pretty quickly!
Our Responsibility to Confront. We subordinates are enmeshed in a web of intricate and conflicting human relationships. We often feel that we are the pawns of powerful forces that use us, direct us, and sometimes discard us, at will. Perhaps the thing that is the most important for us to learn, to accept and to practice, is to assume full responsibility for ourselves, for our professional growth, and for our behavior. This means that we must learn to attain a high degree of self-management. This means that we do not delude ourselves as to what we wish for any situation, and that we know what we want to have happen for ourselves as well as for our bosses. This means that we keep ourselves close to the realities of our relationship and not let ourselves be carried away by our emotional fantasies. Finally, this means that we have the internal personal security to take whatever risks there may be for insuring that all facets of our jobs and relationships are indeed dynamic. Perhaps the greater risk is not risking. The status quo may be the ultimate indignity. Thus, our own self-discipline, self-management and professionalism become the underlying forces that fuel our dynamic subordinancy. We are indeed responsible for ourselves and for our own behavior. To me, this means that if I honestly have done all of the foregoing, then I take the risk telling the boss my perceptions of the situation—my degree of psychological pain and my solutions for changing the situation. If the boss, for whatever reason, can’t change either his/her own behavior or the situation, then I can exercise my final and ultimate freedom—leave! I owe it to me to do exactly this—not as a threat and not in anger, but for my own long-run self-esteem. Edgar Fiedenberg has said, “All weakness corrupts, and impotence corrupts absolutely.” The traditional state of subordinancy is powerlessness and dependent. But as we make people dependent we increase their capacity to hate. As we make people powerless, we promote their capacity to violence. The thing we must learn as bosses is how we can
182 grant people freedom despite all of the demands that the work situation puts upon us. The challenge we have as subordinates is to secure for ourselves an enhanced self-image, a sense of potency, and a feeling of significance without resorting to the ultimate power-- violence! If all of us don’t learn how to achieve this for ourselves, and learn how to teach others to achieve it for themselves, then our organizations are in for a continuing era of violence--not so much because people have a tendency to struggle with relationships, but because they hurt so much over the deprived condition of their human needs.
CAST OF CHARACTERS “THE CAINE MUTINY”
Lt Commander Philip Queeg: Captain of the USS Caine Lt Stephen Maryk: Executive Officer and Second in Command Lt Thomas Keefer: Communications Officer Ensign Willis Keith: Assistant Communications Officer Lt Commander DeVriess: Former Captain of the USS Caine Lt Barney Greenwald: Defense Counsel for Lt Maryk USS Caine: World War II destroyer equipped with minesweeping gear. Officially designated a high-speed minesweeper or DMS. Performed additional duties of anti- submarine screening, escort, transport, and target towing.
______Bibliography: 1. Crockett, William J. Dynamic Subordinancy. Training and Development. American Society for Training and Development, 1981. 2. Dmytryk, Edward. (Director). (1954). The Caine Mutiny [Film]. Los Angeles: Stanley Kramer Productions.
182 The Caine Mutiny 183 Air Force Equal Opportunity Program
Cognitive Lesson Objective: • Know selected concepts of the Air Force Equal Opportunity Program.
Cognitive Samples of Behavior: • Describe the AF Equal Opportunity Program. • Describe the Air Force and Air National Guard policies on Equal Opportunity. • State the objective of the Military Equal Opportunity Program. • Identify the five key services of the AF Equal Opportunity Program. • State the difference between discrimination and prejudice. • Identify ways a supervisor can diminish the impact of prejudice and discrimination in the Air Force.
Affective Lesson Objectives: • Respond positively to the role of the Military Equal Opportunity Program. • Value the supervisor’s role of diminishing discrimination in the Air Force.
Affective Samples of Behavior: • Explain the importance of the Military Equal Opportunity Program. • Assert why discriminatory practices cannot be tolerated in the Air Force.
184 AIR FORCE EQUAL OPPORTUNITY PROGRAM
he Department of Defense and the United States Air Force exist to keep the nation secure and at peace. We must always be guided by the principle that each T individual has infinite dignity and worth. Since the military is a reflection of society, many of the social issues and problems faced in the civilian sector are reflected in the military. To confront these issues, the Air Force developed an Equal Opportunity (EO) Program. The instructional guidance (AFI 36-2706) for the program implements Air Force policy on Military Equal Opportunity (MEO) and Civilian Equal Employment Opportunity (EEO) and integrates EO Program management for military and civilian personnel. Each Air Force installation has a base EO office which administers and manages the program. The AF EO program has been developed to foster and support equal opportunity, the AF Core Values and Airman’s Creed, and must be carried out in the day-to-day actions of all personnel. The AF will not tolerate unlawful discrimination and sexual harassment or reprisal against individuals who engage in protected activity. Airmen must actively make workplace professionalism a top priority and take proactive steps to prevent, correct and eliminate unlawful discriminatory behavior. This lesson focuses on the MEO aspects of the program, but will reference some of the overall functions of the EO office. In the Air National Guard, the EO Program relates specifically to military members in military status. Civilians (including Military Technicians in civil service status) fall under the jurisdiction of the State Equal Employment Office (EEO). This is in part because of different regulations relating to civilians, including additional protected categories that do not apply to military members. However, understand this division is primarily administrative; there is zero tolerance in the Air National Guard for unlawful discrimination or sexual harassment regardless of who manages the complaint process, and the EO and EEO offices work hand-in-hand to educate and create a positive climate for all Air National Guard members regardless of status.
MILITARY EQUAL OPPORTUNITY
The primary objective of the Military Equal Opportunity Program is to improve mission effectiveness by providing an environment in which service members are ensured an opportunity to rise to the highest level of responsibility possible in the military profession, dependent only on merit, fitness and capability. The MEO program is designed to counter contemporary problems in society and the military. The scope of MEO includes informing commanders when they become aware of problems that may adversely affect behavior, health, duty performance, or mission.
184 Air Force Equal Opportunity Program 185 Although overall program management falls on the commander and MEO personnel, you, as an officer, have a responsibility to abide by and to enforce the provisions of this critical program. We all must be concerned about people problems because we accomplish the mission through our people. MEO isn’t just an Air Force program. The scope of MEO is Department of Defense (DoD) wide, even if you’re located on an Army post, Marine camp, or Naval station.
Need for MEO
In the late 1960s and early 1970s, the United States went through a very disturbing time in social history. The military went through the same growing pains as the rest of our country and had to adjust as well. • Specific racial disturbances at Minot AFB, Travis AFB, and Laredo AFB caused military leaders to realize a larger problem existed than earlier thought. • During and after the Vietnam War, drug and alcohol abuse grew to a service-wide problem. (The Mental Health Clinic at the base hospital is now responsible for the Substance Abuse Control Program.) • Supervisors failed to take corrective action or simply ignored these problems, and as a result, supervisors became a problem in and of themselves. Although the country survived those turbulent times, problems in society still persist. Drug and alcohol abuse has risen, and personal prejudicial attitudes will probably always be with us. These societal problems still exist, and we populate our forces from that same society. We must realize people are our most important resource. The mission is only as good as the people--their welfare is essential to mission accomplishment.
Key Services (EO in general)
EO services must include, but are not limited to the following: • MEO formal/informal complaint processing • Civilian EO informal complaint processing • Out and about assessments (process used to gather additional EO/human relations information that may impact installation personnel) • Human relations education (as specifically requested by commanders) • Quarterly statistical reporting
186 Equal Opportunity (EO) and Human Relations Education (HRE) Program
The Air Force EO/HRE program is designed to ensure equal opportunity in support of mission readiness for all Air Force personnel. Two elements essential to maintaining the highest degree of mission readiness are the development and use of our people in the most effective manner possible and the promotion of harmonious relations among them. When there are shortcomings in either of these areas, our ability to complete the mission efficiently is diminished. The purpose of the EO/HRE program is to support mission readiness by ensuring individuals are provided an equal opportunity to fully use their abilities and talents toward mission accomplishment and enhance morale through fair and just treatment of personnel. Additionally, the EO/HRE program endeavors to ensure harmonious relations among Airmen by promoting open communication, cross-cultural awareness, understanding, and respect. To reach this goal, the EO/HRE program works to identify human relations factors within the organizational and social climate that detract from harmonious relations and helps commanders prevent, eliminate, or neutralize those factors.
IMPACT OF SOCIAL CHANGE/EVENTS ON THE
AIR FORCE CLIMATE
The military environment is, in general, a reflection of society. Simply stated, our military is made up of individuals from different cultural backgrounds, different races, and different religious convictions. Despite all of the differences, these individuals have two things in common: they’re volunteers, and they take an oath to defend the rights and treatment of each other as well as the rights and treatment of people in the United States of America. Furthermore, these individuals represent a “military model” set apart by a strict set of rules and responsibilities--rules obeyed by each and every member and responsibilities carried out to the best of their abilities. Despite our success in achieving total integration within the military, the daily turmoil in the society at large affects the social contract among service members and between service members and that society. As future Air Force leaders, your responsibility is to be aware of the conflicts which exist in society at large, between the civilian community and the military, and among the diverse personal feelings and attitudes of service members.
Discrimination and Prejudice
When we discuss the subject of prejudice, the word “discrimination” is frequently used in this context. Discrimination and prejudice are not the same.
186 Air Force Equal Opportunity Program 187 Discrimination is a type of behavior in which people are treated according to a category rather than individual prejudices. For example, “military people can’t be trusted--they’re always moving from place to place, and they don’t pay their bills so they’re not going to live in my apartment complex.” The law can put an end to such discrimination--to how we act--but combating prejudice is another matter.
Prejudice is what we feel or believe, and no amount of laws can change this. It’s a judgment formed before due examination of the facts and can be favorable or unfavorable towards a person or set of circumstances.
Effects of Discrimination and Prejudice in the Air Force
In the Air Force, disruptions can lead to decreased effectiveness of our fighting forces and endanger our national security. Therefore, discipline is necessary, but it must be backed by just treatment of everyone. Airmen who feel their dignity isn’t respected or feel they can’t progress professionally because of their race, color, origin, ethnic group, religion, or sex will more than likely do marginal work with limited quality or no work at all. Our defense capability is weakened anytime we fail to take full advantage of the talents and abilities of each member of the Air Force team.
Air Force Policy
It is the policy of the United States Government, the Department of Defense, and the Air Force, not to condone or tolerate unlawful discrimination, to include sexual harassment, of any kind. This Zero Tolerance policy ensures that once unlawful discrimination or sexual harassment is alleged, immediate and appropriate action will be taken to investigate/ resolve the allegations and ensure any proven unlawful behavior stops. Further, appropriate disciplinary action will be taken against any Airman, military or civilian, who engages in unlawful discriminatory practices. Air Force EO policy compliance is a function of leadership. It is against Air Force policy for any Airman, military or civilian, to unlawfully discriminate against, harass, intimidate or threaten another Airman on the basis of race, color, religion, sex, national origin, age, disability, reprisal, genetic information or sexual orientation. The use of disparaging terms with respect to a person’s race, color, religion, sex, national origin, age, disability, genetic information or sexual orientation contributes to a hostile work environment and must not be tolerated. Unlawful harassment also includes unwelcome sexual advances, requests for sexual favors or other verbal or physical conduct of a sexual nature particularly when submission to such conduct is made directly or indirectly as a term or condition of employment, and/ or when submission to or rejection of such conduct is used as a basis for an employment decision affecting the person. Commanders and supervisors should ensure all types of harassment are corrected as soon as possible once they are made aware.
188 Equal Opportunity is the condition under which the participation, treatment, and potential for success of Air Force members in all facets of Air Force life are governed only by individual merit, fitness, and capability. To sum this up--EO is the right of all Airmen, military or civilian, to equal opportunity in employment, free from discrimination. Among the mission-degrading factors the EO/HRE program strives to eliminate is discrimination. Discrimination is any action that unlawfully or unjustly results in unequal treatment of persons or groups based on age, color, national origin, race, ethnic group, religion, or sex, and for which distinctions aren’t supported by legal or rational considerations. There are four basic types of discrimination: • Disparaging Terms. Disparaging terms are terms used to degrade or infer negative statements pertaining to age, color, national origin, race, ethnic group, religion, or gender. Such terms include insults, printed material, visual material, signs, symbols, posters, or insignia. • Personal Discrimination. This is action taken by an individual to deprive a person or group of a right because of age, color, national origin, race, ethnic group, religion or sex. Such discrimination can occur overtly, covertly, intentionally, or unintentionally. • Sexual Harassment. We will define this for you in “Sexual Harassment Awareness.” This is a form of sex discrimination. • Institutional (Systematic) Discrimination. This is action by an institution (or system), through its policies and procedures that deprives a person or group of a right contrary to Air Force policy. Such discrimination can occur overtly, covertly, intentionally, or unintentionally. Your Responsibilities. As a supervisor, you must detect and prevent situations which deny equal opportunity and treatment. Critically examine the following in terms of your own supervisory responsibilities: • Review your supervisory role. -- Promote an environment free from hostility and intimidation. -- Encourage social interactions that don’t interfere with mission accomplishment. -- Take preventive or corrective action when required, or implement directed corrective action. -- Actively support and enforce the standards. • Examine your own behavior.
188 Air Force Equal Opportunity Program 189 -- Do you contribute to mission accomplishment? -- Do you offend or hurt others through your comments or actions? -- Are you occasionally misinterpreted as intentionally harmful? -- Do you appear to accept harassing behavior from others? • Develop an awareness of cues in the environment. -- Be aware of environmental behaviors that may be offensive to others such as inappropriate jokes, language, comments, clothes, posters, magazines, or social behaviors. • Identify behaviors which require preventive action. -- Customary and accepted behavior may be offensive to others and therefore become unacceptable. -- Take preventive measures before the situation deteriorates.
Reporting Violations
Should you or your subordinates want to report an EO violation, your first avenue should be through the normal chain-of-command. Unfortunately, this isn’t always possible because a complaint could be against someone in that chain. Each EO office has an EO Director and Specialist who are trained in dealing with these issues, and Air Force members can go directly to them. For additional guidance, consult AFI 36-2706, Equal Opportunity Program. “The leadership required to set and maintain the standards today must be a leadership of firm but sensitive awareness, one that recognizes the individual’s essential personal identity within a necessarily impersonal hierarchy.” General David C. Jones Former Chief of Staff, USAF and former Chairman, JCS
______Bibliography: 1. AFI 36-2706. Equal Opportunity and Treatment Program, 5 October 2010, Incorporating Change 1, 5 October 2011. 2. AFI 52-101. Planning and Organizing, 5 December 2013. 3. ANGI 36-7. Air National Guard Military Equal Opportunity Program, 25 April 2003.
190 CASE STUDIES
Your ability to handle “people” problems will be one of the keys to your success as an Air Force officer. You may become involved in a multitude of situations which will require a cool head and quick reactions. The problems that are presented during this lesson will give you a chance to express your feelings and listen to the views of others concerning various approaches to recognizing and solving group problems. The cases which follow all come from actual EO case files, however all names have been changed.
190 Air Force Equal Opportunity Program 191 CASE #1
MSgt Jackson is NCOIC of the Quality Control Section. He has a staff of five people: three white males, one black male, and a white female, SSgt Smiley. Captain Gibley is the OIC of Quality Control. SSgt Smiley’s job performance has declined to subpar standards. Her appearance is poor, and her attitude is anti-Air Force. She’s been late twice in one week. She rides to work with Captain Gibley, and rumor has it that they’re living together. SSgt Smiley’s last EPR was an overall 5, influenced by Captain Gibley. Airman Jones, a black Airman who works in the same section, was 15 minutes late yesterday. MSgt Jackson calls him in, counsels him, and states that repeated tardiness will warrant an Article 15. Through casual conversation, Airman Jones finds out that nothing was done when SSgt Smiley was late. He approaches MSgt Jackson and asked why he didn’t give the female an Article 15. MSgt Jackson states that “The captain wouldn’t like his girlfriend getting an Article 15, and it might affect my EPR.” 1. What action should Airman Jones take to identify MSgt Jackson’s actions and statement? 2. Should he go to the OIC, Capt Gibley? 3. Would you consider this discrimination in the execution of supervisory responsibilities? Why? 4. What referral agency(ies) would you recommend to Airman Jones? NOTES:
192 CASE #2
TSgt Jones is assigned as the chief Military Training Leader (MTL) in a training school squadron. His assistant is a female, junior staff sergeant. He is new to the career field and told his assistant that no changes would be made until he became familiar with the duties of his position. He noticed that when any problems arose with the students, his assistant confided directly with the First Sergeant. TSgt Jones confronted the First Sergeant and asked that he be given the courtesy to handle the problems within his section. The First Sergeant was not in TSgt Jones’ chain of command, but it appeared he ran the standardization/evaluation program. The First Sergeant was overheard making prejudicial comments about TSgt Jones. The class that TSgt Jones monitored failed a major standardization evaluation. The commander stated that they had never failed a major evaluation until TSgt Jones arrived. TSgt Jones received an EPR of an overall 4 with a 3 in the human relations area, which he feels is not indicative of his performance. 1. What action should TSgt Jones take to identify the alleged discrimination by the First Sergeant? 2. What action should the commander take when he’s informed of the First Sergeant’s behavior? What about the EPR? 3. Does the commander have managerial problems within his squadron? How can they be corrected? NOTES:
192 Air Force Equal Opportunity Program 193 CASE #3
A young female Airman is assigned to a transportation unit. She and her NCOIC are the only females assigned to the unit. The unit’s work force is comprised of both military and civilian personnel. The vehicle maintenance crews consist of two crewmembers and a driver. Sometimes the crew size is cut to one driver and one crewmember. One evening the female Airman received her assignment, picked up her tools, and proceeded to the assigned vehicle. When she found out she was teamed with a civilian male driver (Mr. Wright) she refused to go. The on-duty supervisor verbally reprimanded the Airman and told her he was going to recommend disciplinary action be taken by the commander. When questioned, the female Airman said Mr. Wright had made numerous sexual comments about women in her presence. She was made to feel very uncomfortable with Mr. Wright standing around while she was working in the tool room. One of the guys on her shift pulled her aside and explained that Mr. Wright was making sexual motions behind her back as she leaned over a table. In the past, Mr. Wright had been heard to say, “women are like spare tires, you wear one out and pick up another.” 1. What could the commander do to prevent this problem from happening? 2. What do you do about the female Airman? 3. What can you do with Mr. Wright? 4. How do you gain control of the situation? NOTES:
194 CASE #4
Airman Hurray is a female aircraft mechanic assigned to the Maintenance Squadron. Airman Hurray is a tech school honor graduate. Upon arrival at the new duty station, the NCOIC assigned Airman Hurray to Tech Order Maintenance. Airman Hurray has been working in this section for 12 months and is now a bit depressed with the routine of filing publications, answering the phone, and making coffee. Airman Hurray has failed the five level end-of-course test twice. The NCOIC offers no assistance or time for OJT. Airman Hurray asked the NCOIC to allow time daily to work on the aircraft as a means of familiarization. The NCOIC became irate and stated that “As long as I’m NCOIC of this shop, no female will ever turn a wrench on one of my planes.” Airman Hurray reports the incident to the OIC, Captain Evans. 1. How is sex discrimination displayed in this incident? 2. What should Captain Evans do to resolve the matter? 3. Would you record this incident in the NCOIC’s Enlisted Performance Report (EPR)? NOTES:
194 Air Force Equal Opportunity Program 195 CASE #5
SSgt Juarez is a new arrival to the base and assigned to the Civil Engineering Squadron. He has a wife and two young children. He finds out from his sponsor that the NCOIC, MSgt Otis rents apartments. SSgt Juarez calls the NCOIC and inquires about possible vacancies. MSgt Otis states that all of his apartments are occupied and he doesn’t anticipate any vacancies for 6 months. SSgt Juarez finds a house through the base housing referral office. MSgt Otis has about twelve apartments and has stated publicly that he will not rent to Blacks or Spanish surname Americans. SSgt Juarez is told by his white coworkers that MSgt Otis raises rent prices to discourage minorities from attempting to lease an apartment. 1. What action should SSgt Juarez take to identify MSgt Otis’ rental practice? 2. Is this racial discrimination? 3. Upon being informed, what action should the commander take? 4. What agency is responsible for investigating complaints of discrimination in off-base housing? NOTES:
196 CASE #6
Centerville AFS is located near a small town of approximately 18,000 people. The community has a limited number of recreational business establishments, one of them a recreational club. The mayor is the owner of the club and also your friend. You are the station commander. In the past few months, your Equal Opportunity Specialist has received numerous complaints that minority Airmen are having their requests for membership denied, but at the same time, applications from majority Airmen are being accepted. 1. What action would you take regarding these complaints? 2. How do you reconcile your responsibility to maintain equal opportunity and treatment of all personnel with your responsibility to maintain cordial relations with the civilian community? NOTES:
196 Air Force Equal Opportunity Program 197 CASE #7
SSgt Solomon has asked for the upcoming Monday off work since that day is Yom Kippur. His supervisor, MSgt Garland, tells SSgt Solomon that he’ll have to take leave. SSgt Solomon claims he doesn’t have to take leave since it’s a religious holiday. MSgt Garland’s response is: “You know the shop closes for Christmas Day. I don’t think it’s fair that you get 2 days off without having to take leave. The only way I’ll let you go is if you take leave.” 1. Does SSgt Solomon have any legal basis for his argument? If so, what? 2. What are possible approaches to reconciling the differences between SSgt Solomon and MSgt Garland? 3. How would you, as the supervisor of both NCOs, handle this situation? NOTES:
198 CASE #8
Lt Goodrich goes to her boss, a major, to tell him she’ll be gone for an hour the next day getting her hair cut, since it’s getting long in the back and is close to noncompliance with AFI 36-2903 standards. He tells her she may not take “company time for such frivolous female primping,” and she should reschedule the appointment on off-duty time. Later that day, Lt Goodrich is looking for a sergeant who’s helping her with a project and is told he’s over at the base barber shop getting his hair cut. 1. What do you suppose Lt Goodrich’s reaction might be to this news? 2. Do you agree with the major’s reasoning for denying her time-off request? Why? 3. How would you respond to Lt Goodrich if she came to you for advice on what to do next? 4. Where might Lt Goodrich go if she feels she’s been treated unfairly by the major? What would be the basis of her complaint? NOTES:
198 Air Force Equal Opportunity Program 199 Mentoring
Lesson Preparation: • Read attached memorandum from The Secretary of the Air Force.
Cognitive Lesson Objective: • Comprehend the concept of Air Force mentoring.
Cognitive Samples of Behavior: • Explain the concept of Air Force mentoring. • Summarize the attributes of a mentor. • Summarize the attributes of a mentee. • Explain the benefits of the mentoring process.
Affective Lesson Objective: • Respond to the importance of the Air Force mentoring program.
Affective Samples of Behavior: • Assert the importance of the Air Force mentoring program. • Actively participate in class discussion concerning Air Force mentoring.
200 SECRETARY OF THE AIR FORCE WASHINGTON
12 Aug 2015 MEMORANDUM FOR ALL AIRMEN
SUBJECT: MyVector
Airmen are the Air Force’s most important asset. Over my 30 years in defense and industry, I’ve learned the importance of mentorship. Leaders at all levels should be actively involved in their Airmen’s development, and all Airmen should actively seek direction and mentorship throughout their careers. We have developed an innovative Total Force platform to support your continued professional growth—MyVector.
MyVector is available to all Airmen as a place for mentors and mentees to come together and develop positive, professional relationships; give helpful, honest guidance; and find sound advice. The new application allows you to request a specific mentor via “Direct Connect.” If you don’t have a specific mentor in mind, MyVector has a mentor-matching capability based on characteristics you choose via “Find a Mentor.” The system has a real-time Mentoring Plan. Every officer, enlisted, and civilian Airman has a career field pyramid available to start discussions. Users can document achievements and share information with their mentor. You can find answers to mentoring questions on the resource page. Individuals interested in sharing knowledge can access public and private forums to discuss with their peers, leaders, and subordinates. Forums generate a wide variety of input and feedback on trending topics, important policies, and Air Force life. I built my mentor profile and look forward to personally mentoring four Airmen—please come join me at https://afvec.langley.af.mil/myvector/.
If you have any questions or need further information, please contact the MyVector POCs in AF/A1D, Maj Holly Chadwick, [email protected] or Capt T.C. McNitt, [email protected], Comm: (703) 695-3594 or DSN: 225-3594.
Deborah Lee James
200 Mentoring 201 Leadership Authority and Responsibility
Cognitive Lesson Objective: • Comprehend the concepts of leadership authority and responsibility.
Cognitive Samples of Behavior: • Identify the “ultimate” and “direct” sources of an officer’s authority. • Identify the types of officer authority. • Explain the guidelines that must be met for an order to be enforceable. • Given a scenario, distinguish between properly and improperly applied military authority. • Identify an officer’s responsibilities. • Given a scenario, correctly prioritize tasks with respect to an officer’s responsibility.
Affective Lesson Objective: • Respond to the importance of understanding the concepts of leadership authority and responsibility.
Affective Samples of Behavior: • Assert the importance of properly applied leadership authority and responsibility. • Actively participate in discussion of case studies.
202 n accepting your commission, you gain a position of “special trust and confidence” in the eyes of the President – trust and confidence in your “patriotism, valor, fidelity, Iand abilities.” By virtue of your commission you are placed in a position of authority and responsibility over “personnel of lessor rank.” You are also charged with obeying the lawful orders of those appointed over you. Before you can function as an officer, you take an oath of office in which you swear to “support and defend the Constitution,” to “bear faith and allegiance to the same,” and “to well and faithfully discharge the duties of the office” upon which you are entering. You, the Air Force officer, are charged with the defense of our nation. At one time it was enough for a military leader to excel in strength, stamina, and courage. Today, however, the range of talents required is infinitely broader, with the emphasis on brainpower and character. We need military leaders who understand the complexities of the world in which we live, the philosophies we live by, the leaders and people of other nations, their history, their customs, their aspirations, and their problems. We need military leaders who understand the scientific revolution of recent years, the physics and mathematics and other sciences that have given us the power to relieve human misery or to destroy one another. We need military leaders who understand the techniques of managing complex organizations. But no intellectual brilliance and no technical capacity is enough to qualify for military leadership, unless it is combined with qualities of character that inspire other people to give forth their best effort in common cause. In 1962, President John F. Kennedy, in addressing the United States Military Academy, emphasized the nation’s dependence upon the military officer for both military and non- military responsibilities. His discussion of the role of the Air Force officer were paraphrased in The Inspector General Brief, August 1962, as follows: ...He must broaden his knowledge to cope with these added responsibilities [responsibility to complement U.S. diplomacy, act as a diplomatic arm, deter our adversaries, and symbolize our determination to support our allies]. This includes having a clear understanding of our foreign policy; being familiar with the policies and general structure of other countries where he may help to keep peace, deter, or roll back insurgency; and knowing what is going on in all corners of the world. He must know military, economic, and political backgrounds to be able to make wise, mature recommendations and decisions that any occasion may demand. Every USAF officer should be encouraged to expand considerably the breadth of his education, training, and skills to meet broadening responsibilities. These are but some of the obligations and responsibilities required of you and every other Air Force officer. If you are to discharge these responsibilities, you must have the authority to do so. For that reason, you must understand the sources of an officer’s authority, the limits of that authority, the legal force of an order, and the responsibility to properly prioritize courses of action.
202 Leadership Authority and Responsibility 203 SOURCES OF OFFICER AUTHORITY
fficers with any degree of responsibility for the actions of others must be delegated sufficient authority to control and direct their subordinates. The commissioned Oofficer’s ultimate source of authority stems from the Constitution. But an officer’s authority is not clearly spelled out in the Constitution. An officer’s authority to act is derived from the powers specifically given to Congress and to the President. Article I, Section 8, of the Constitution provides that, insofar as the Armed Forces are concerned, “Congress shall have the power to declare war, to raise and support armies, to provide and maintain a navy; to make rules for the government and regulations of the land and naval forces” and to “make all laws which shall be necessary and proper for carrying into execution the foregoing powers.” Congress, pursuant to this authority, enacts legislation pertaining to the armed forces, to include laws establishing the Uniform Code of Military Justice (UCMJ) and the grade structure, pay, and leave for military personnel. It also includes provisions for management of the state militias and reserves the right to appoint officers of the state militias to the states. Article II, Section 2, provides that the President “shall be Commander in Chief of the Army and Navy of the United States” and “shall commission all the officers of the United States.” In exercising his power to commission, the President gives to each officer a direct grant of authority commensurate with that officer’s rank, and in effect is the direct source of the officer’s federal authority. The officer exercises two types of authority. The first is legal authority. This type of authority is passed from the President through the Secretary of Defense, the Secretary of the Air Force, and so on down to the lowest levels of command, and is clearly expressed in hundreds of instructions, regulations, manuals, and other directives. Although much of the authority officers need is spelled out in directives and instructions, their commission also grants them broad authority to use discretion and judgment to conform to our national moral values. Officers are expected to do what is right under all circumstances even if no directive specifically authorizes the actions they take. This type of authority is known as moral authority. There may be rare occasions when officers, basing their decisions upon a judgment of circumstances, will find it necessary to act contrary to instruction. These instances should be kept to a minimum and must be fully justified by unforeseen circumstances. When officer’s deviate from instructions they are acting on moral authority.
204 LIMITS OF AUTHORITY
In defining an officer’s authority, we must also define its limits.
An officer doesn’t have the authority to order any person to perform an act that is unlawful. If a person receiving an unlawful order knows the act is illegal and performs it anyway, the fact that the person was carrying out the orders of a superior doesn’t constitute a valid defense. Both individuals can be found guilty of the wrongful act. Likewise, the fact that the person issuing the order wasn’t near the scene of its execution doesn’t constitute a valid defense for the individual issuing the order.
An officer may not deprive subordinates of life or property without due process of law. If an officer is to give a valid and enforceable order to perform an act that might result in loss of life or in serious injury, there must exist compelling military necessity to act or some duty to act growing out of law, regulations, or customs. Subordinates can only be deprived of their property through established procedures such as a courts-martial sentence, punishment under Article 15 of the UCMJ, or a report of survey. Arbitrary orders to pay for loss of government property aren’t enforceable. Regulations often specify personal property that may not be kept in the barracks. These prohibitions are made because retention of the property is considered detrimental to good order and discipline or hazardous to the occupants’ personal safety. An officer may not arbitrarily order the confiscation or destruction of subordinates’ personal property.
An officer may not deprive a subordinate of liberty as punitive measure without due process of law. It’s commonly recognized that a person surrenders a certain amount of personal freedom when entering military service. However, a person may be deprived of personal liberty as a punitive measure only in accordance with the UCMJ. Mass punishment of subordinates for faults of a few isn’t condoned either. Do not confuse mass punishment with restrictive authority. Restrictive authority allows commanders to restrict the use of unit property (examples: dormitory dayrooms, snack bars to include vending machines, picnic areas, athletic fields and courts, etc.).
An officer may not deny a military subordinate the right to pursue a private life, as the subordinate chooses unless military necessity requires otherwise. The concept that a person, even though a member of the military forces, is entitled to pursue private life, as the individual chooses, unless military necessity requires otherwise imposes other limitations. For example, a subordinate may not be ordered to pay a private debt, forced to live in a certain house off base, or prohibited from purchasing private property. An officer may not exercise moral authority indiscriminately. An officer is expected to do what’s right and proper whenever exercising moral authority. Only in rare instances where there’s strong justification, and the situation demands it, should an officer deviate from directives, instructions, and orders. The assumption of authority and display of initiative in disobeying an order may be a proper use of moral authority only when the person who had authority for directing your efforts can’t possibly be aware of the changed conditions that compel you to usurp that authority.
204 Leadership Authority and Responsibility 205 Disobedience in the armed forces is hazardous. An individual who decides to disobey does so at personal risk. An officer must be extremely careful when invoking moral authority, the officer must be right. Officers have the responsibility to exercise this authority and do what’s proper in situations where the conduct or behavior of military personnel of lower rank may be prejudicial to good order and discipline. Furthermore, it’s their duty to enforce observance of military customs and courtesies and to act in situations where the safety or health of personnel, the interests of the Air Force, and violations of laws and regulations are involved. Additionally, this authority, and the duty to act, extends to situations even when military personnel aren’t directly under the chain of command of those officers, when officers are off duty, in or out of uniform, or on or off base.
LEGAL FORCE OF AN ORDER
To be enforceable, an order must be: • within the authority of the issuing officer • related to military duty, morale, or discipline • clear and unequivocal • received and understood An officer shouldn’t issue an order to settle personal and private disputes. The officer must at all times refrain from issuing an order as a matter of personal convenience. Additionally, since no person can execute an order that one doesn’t understand, the officer must ensure that the order states clearly and exactly what is or is not to be done. If necessary, the officer should also state who will accomplish the action, what is required, when it is to be accomplished. Furthermore, an officer must make certain any order issued is received. For example, an order posted on an official bulletin board is assumed received if the individual has initialed the order. However, it’s not necessary for the receiver to always acknowledge orders. When a procedure, like reading an official bulletin board, is established and acknowledged by an individual, it becomes his/her responsibility to read and respond to all orders posted on the board. In either of these cases, there’s sufficient evidence for disciplinary action to be taken against the person who fails to obey the order.
206 RESPONSIBILITY FOR PRIORITIZATION
trictly speaking, the responsibilities of command are the responsibilities of the commander. The commander obviously can’t do all the things for which he/she is Sresponsible. The commander must, therefore, give orders to subordinate officers to perform a wide range of duties to accomplish the mission of the unit. When you direct, manage, supervise, or lead an activity in accomplishing duties assigned by your commander, you’re exercising the functions of command. You’re sharing the commander’s responsibilities for accomplishment of the unit’s mission. The responsibilities of command, then, are also your responsibilities. Frequently, these responsibilities will appear to conflict, and this problem of divided responsibility may be difficult to solve. Youmust continually choose one line of action from amongst several apparently correct lines of action. The following guidelines should help you ascertain the correct course of action when confronted with the problem of conflicting responsibilities.
• Responsibility to the Mission. The successful accomplishment of the mission is your primary responsibility, as an officer. Mission accomplishment is the only reason for the existence of the military instrument. Your attitude toward the Air Force, your approach to the task at hand, the way you think, your philosophy--all will have a great effect upon the way your people will act and think about their work and, in turn, upon mission accomplishment. This is why we, in the military, have one agreed-upon axiom, to be effective; every military leader must have a sense of mission. Ideally, your sense of mission should include the belief that accomplishment of the mission is the ultimate goal, that you’ll willingly sacrifice self, unit, and personnel, if necessary, to attain it. A realistic approach to this responsibility is to develop sensitivity to the importance of the mission and then use the following guidelines to attain mission accomplishment. a. Mission accomplishment has priority over all other responsibilities. b. In combat, mission success must be achieved with a minimal loss of personnel and material. c. Outside of combat, economy of effort and use of resources are imperative in accomplishing the mission. d. The mission must be accomplished within the authorized structure, within the proper chain of command, regulations, traditional customs, and legal authority. e. Instill a sense of mission in your subordinates by impressing on them the importance of the mission.
206 Leadership Authority and Responsibility 207 You will be delegated the appropriate authority necessary to accomplish your mission. It is your responsibility to establish and understand the limits of your authority. You must understand the requirements imposed by your superiors, regulations, and laws pertaining to your job.
• Responsibility to Higher Headquarters. Just as the individual person is responsible to the commander for accomplishing the squadron mission, the squadron commander is responsible to his/her superiors for performing a mission. And this responsibility follows up the chain of command. In each step, the higher echelon is presumed to be in a better position to visualize and interpret the overall mission. The higher echelon interprets its mission and delegates lesser objectives to subordinate commands. a. Remember your responsibility is to first accomplish the mission, then to accomplish the directives and obligations of the higher headquarters. b. Do not impair your people’s confidence in higher echelons of command. c. Deal directly and confidentially with your superiors whenever you disagree with directives. Let your disagreement be known tactfully. d. Do not disclose to your people your disagreements with directives. e. Do not criticize your leaders and their methods.
• Responsibility to Collateral Units. Collateral units are considered organizations outside your unit with which you have contact. By the very nature of the assigned mission, an officer operates as a follower, a coordinator, and a leader. Every officer is acting as a follower in carrying out the orders received from above. As a coordinator or cooperator, one must correlate the mission with all units related to it or affected by it. This means the principle of teamwork must be a part of your sense of mission. The capacity to view one’s assignment in its larger context requires knowledge of the broader organizational mission. Every assignment given to an officer carries the implied command, “Accomplish this in such a way that all related activities of your organization are continually aided to the maximum in accomplishing their mission.” Sometimes higher headquarters will specifically indicate this responsibility to collateral units, but often it’s only implied. Whether implied or specifically indicated almost any association between your unit and other organizations may be considered as a responsibility closely associated with your mission.
Your responsibility to collateral units could be greater than your responsibility to your unit. If supporting a collateral unit increases overall mission effectiveness then support the collateral unit. However, if overall mission effectiveness decreases or stays the same, you’re not obligated to support the collateral unit.
208 a. Understand your unit’s organization and mission. b. Understand the organization and mission of your major command and intermediate commands. c. Understand the effect your unit and the collateral units have on mission accomplishment. d. Your responsibility to collateral units transcends the responsibility to your own unit when your resulting combined effort better serves the overall mission.
• Responsibility to Unit Welfare. The responsibility associated with the opportunity of leading your own unit is very gratifying. It is your unit, and you are responsible for its success or failure, and the actions of your subordinates. Your sense of achievement will make the worry and frustration associated with this responsibility worthwhile. Your unit will be composed of people you’ll come to know well; people you will see daily; people with whom you will share joys and sorrows, successes and failures; people you’ll respect and admire. Even though you will be deeply concerned with their welfare, you must subordinate your unit’s welfare to that of the mission, higher headquarters, and collateral units. Your responsibility to your unit’s welfare will entail a variety of obligations. To meet this responsibility, you must carry out the following duties: a. Plan, develop, and implement efficient administrative and operational procedures. b. Maintain adequate supplies and equipment for mission accomplishment. c. Ensure your subordinates are properly clothed, fed, and billeted. d. Ensure the safety and welfare of your unit and people. A concern for your people’s safety, food, clothing, and shelter requirements is implicit in an officer’s responsibility and needn’t be emphasized. It’s obvious that a lack of efficient administrative and operational procedures or necessary supplies and equipment may impede mission accomplishment. However, what is less understood is the responsibility for the more intangible elements that make up the welfare of the unit and its members. These include the development of self- confidence and self-respect within each person and the development of confidence in the mission, your leadership, and the unit. There must also be concern for morale, discipline, and esprit de corps. a. Know your people. Identify their personal problems and needs and those of their dependents, and assist them when appropriate. b. Develop a sense of empathy, or sensitivity, to your subordinates’ needs and feelings.
208 Leadership Authority and Responsibility 209 c. Exercise keen judgment in helping your subordinates arrive at solutions to their problems. Tread lightly and consider the questions: How will my action affect the troops? How will their reactions, in turn, affect mission accomplishment? d. Do not attempt to resolve personal problems that require the assistance of professionals. Refer personnel to the Equal Opportunity and Treatment Office, the commander, the inspector general, the base legal office, or the chaplain, as appropriate.
• Responsibility to Individuals. Apart from your responsibility to the mission or to the unit’s welfare, you have a definite responsibility to the individuals of your unit. The treatment of your people according to the concepts of democracy and the dignity of people is an element of your responsibility fundamental to your leadership. The turmoil in our country regarding civil and individual rights has multiplied the problems attached to this responsibility. Some situations will occur where your responsibility to the individual may run afoul of your responsibility to the unit’s welfare or to the mission. For example, a subordinate may be having domestic problems involving debts, spouse, or children. There may be personality clashes between military and civilian employees. There may be allegations of discrimination by a subordinate against a fellow worker. Subordinates will seek your permission to work off-duty, part-time jobs, or to attend schools during their off-duty time. Unknowingly and unintentionally, your actions or the actions of your subordinate supervisors may cause discontent. Perhaps you might tend to favor certain persons. Perhaps you may be too harsh in disciplining or correcting someone. Perhaps you may fail to recognize someone’s achievements. If any of the above situations occur, you’ll probably have to take action on your own initiative or at somebody else’s request. Whatever action you decide to take must be weighed carefully. You should avoid action that might lessen or destroy the unity, confidence, or morale of your people. There is, of course, no standard solution. The Civil Rights Act of 1964 (Public Law 88-352) was approved and became law in July 1964. The Air Force implemented the provisions of the act: It’s the policy of the Air Force to conduct all of its affairs in a manner that is free from discrimination and provides equal opportunity and treatment for all members irrespective of their color, race, religion, national origin, or sex and is consistent with requirements for physical capabilities. This policy ensures all military personnel have free access to commanders, staff judge advocates, chaplains, inspectors, and other appropriate staff agencies to discuss all matters bearing upon discrimination.
• Responsibility to Self. As a leader, you’ll also have a responsibility to yourself, but to be more accurate you’ll have a responsibility for yourself. You must strive for self-discipline, have the courage to carry out your convictions, keep yourself in good physical and mental condition, etc. Some leaders have been broken by these responsibilities. You’ll probably have some assistants to help you, and you’ll
210 be expected to delegate authority to well-chosen and trustworthy subordinates to perform certain duties for you. But remember, you’ll continue to carry the responsibility for all duties you’ve delegated.
• Responsibility to Act Decisively. Your authority carries with it the responsibility to make decisions and to act. You are responsible to know your mission, to study the problems of your unit, to get all the advice possible, to decide the course of action, to plan, to coordinate, to issue directives, and to see that those directives are carried out. When advice on an intended action is split, it’s your responsibility to make a “command decision.” You must judge the pros and cons and decide the line of action. You may feel it right to decide contrary to all advice. As the leader you have the prime responsibility. You’ll be required to make many on-the-spot decisions, which must be acted upon immediately and which will affect your unit. Learn from your mistakes and ensure they don’t happen again. If you’ve acted sincerely and according to your best judgment cast aside any sense of guilt and continue to the next problem with a clear conscience. Seek the advice of your superiors, peers, or subordinates. NCOs have years of rich and meaningful experience; use that experience.
• Responsibility to Maintain a Proper Image in the Civilian Community. In the past, military personnel were far removed from the considerations of the civilian world; maintaining good public relations was a bothersome chore and was avoided whenever possible. Today, the services realize that the American public has a right to know certain facts about its military forces. The public pays for the equipment and salaries and provides the recruits. You’re encouraged to participate in community projects. a. You and your unit represent the Air Force to the civilian community. It’s your responsibility to adhere to community and Air Force standards of conduct and appearance. b. Unless it’s specifically part of your job, your superiors and the base public affairs officer must clear the public release of official information regarding Air Force activities.
210 Leadership Authority and Responsibility 211 CASE STUDIES
hese case studies are composed of situations similar to those that you may find in your first few years of duty. Be prepared to answer questions concerning these Tcase studies in class. It’s important to remember the key to applying authority is flexibility, and you should feel free to provide your own reasons for your decisions. After reading each case, circle your choice and provide a rationale for why you made that particular choice. Use information from this study guide to defend your choices.
Case Study #1
A base regulation prohibits keeping privately owned firearms in the dormitories. It requires firearms owned by Airmen living on base be registered and maintained at the armory. You’re a squadron commander and your unit has just undergone a command Inspector General inspection. You were written up because one of your Airmen had a rifle in his dormitory room. The weapon had not been discovered before, since the Airman had kept it in the trunk of his car. He should have registered the rifle with the base Security Forces and left it with them for storage. Because of this incident, you issued an order to your Airmen that they obtain permission from you prior to purchasing firearms. You intended to discourage your personnel living in the dorms from buying firearms. Was your order a proper exercise of authority? a. Yes. Your order will insure the elimination of a possible safety hazard. It is proper since it will also prevent the occurrence of another violation of the base regulation. b. Yes. The order promotes good order and discipline. c. No. Airmen living in the dormitories are entitled to pursue their private lives as they see fit (within regulations). You may not dictate what personal property may be purchased.
212 Case Study #2
You’re a captain and one of your Airmen was reported to you as being uncooperative and failing to perform assigned duties properly. After reprimanding her, you directed her to work two hours extra each day, for a week, as punishment for her behavior. According to the guidelines, regarding the limits of your authority, was your order to work extra hours a proper exercise of authority? a. No. In imposing extra work, you improperly punished her, which deprived the Airman of her liberty. Only the commander has the authority to do this. b. Yes. You properly exercised your authority by depriving the Airman of two off- duty hours each day, for a week, to impress upon her that she is your subordinate.
Case Study #3
Your group commander issued a policy requiring Airmen to remove all pictures of “pinups” displayed on dormitory walls. Such pictures could be placed inside the door of their lockers, but could not be displayed in open view. As squadron executive officer, you’re inspecting the Airmen’s dormitory and discovered a photo of an unclad woman on a desk. You ordered the owner to destroy the photo. Was your order to destroy the photo proper? a. No. Only the commander may order the destruction of personal property, based on the authority inherent in his/her position. b. Yes. The photo was detrimental to good order and discipline. c. No. Officers cannot arbitrarily order an Airman to destroy personal property. d. Yes. The Airman should have placed the photo inside the door of the locker. You had to assert the need to obey orders.
212 Leadership Authority and Responsibility 213 Case Study #4
As a communications officer, you gave an A1C a verbal order and told the A1C to relay it to the NCOIC of your branch. This was an important order affecting your mission. The A1C informs you he/she has relayed your order to the NCOIC. The order isn’t carried out. You charged your NCOIC with disobedience. Was your order legally enforceable? a. Yes. You may relay an order to your NCOIC through other subordinates. b. No. Orders must be given directly to the person concerned. c. No. The NCOIC doesn’t have to obey an order given to him/her by an A1C. d. Yes. The order pertained to the mission.
Case Study #5
You, a newly commissioned second lieutenant, are downtown in uniform and see an enlisted Airman, in uniform, acting in a disorderly manner. You call him/her aside for a reprimand on conduct unbecoming an Airman. Is your reprimand a proper application of authority? a. No. You may not reprimand an Airman unless he/she is on base. b. Yes. You may admonish an Airman about his/her conduct anywhere, anytime. c. No. You must contact an Airman’s supervisor instead of admonishing him/her yourself.
214 Case Study #6
You’re chief of administration in a basic military training squadron. A colonel stationed at a nearby base comes to your office and requests an afternoon pass for his son who arrived 5 days ago. Unable to contact your commander, a major, you advise the colonel it’s the commander’s policy not to grant passes to Airmen until they have completed the 15th day of training. The colonel states he will accept full responsibility and orders you to grant his son a pass. According to the guidelines, must you obey the colonel’s direct order? a. Yes. A junior officer doesn’t disobey a direct order from a senior officer. b. Yes. All orders from senior officers are presumed lawful unless there’s convincing proof to the contrary. c. No. You need not obey orders from senior officers not in your chain of command. d. No. It would cause you to disobey specific orders given to you by your commander.
Case Study #7—Air National Guard Scenario
You’re a captain in the Air National Guard who is part of the full-time force. One of your Airmen, also a full-time technician, a title 5 employee, is uncooperative and fails to perform the assigned duties properly. After reprimanding her, you direct her to work two hours extra each day for a week as punishment for her behavior. According to the guidelines regarding the limits of your authority, is your order to work extra hours a proper exercise of authority? Why or why not? a. No. In imposing extra work you improperly punished her, which not only deprived the Airman of her liberty, but endured an overtime expense to the government. b. Yes. You properly exercised your authority by depriving the Airman of two off- duty hours each day for a week to impress upon her that she is your subordinate.
214 Leadership Authority and Responsibility 215 Case Study #8—Air National Guard/Air Force Reserve Scenario
The Air Force Chief of Staff directs all Air Force units, including the Air National Guard and Reserve components, to conduct health and welfare inspections within their organizations. This inspection is to identify and remove items displayed in the work area that have the potential to negatively impact good order and discipline and/or present an unprofessional environment. At an Air National Guard base, the wing commander ensures the organization is compliant with the tasking and directs all units to proceed with the inspection. During the inspection, the maintenance squadron commander orders her Airmen to collect all posters, “pinups,” and other visibly inappropriate material be taken to the dumpster for destruction. Were her actions within his authority? Why or why not? a. Yes. She was following the orders of the wing commander. b. No. Officers cannot arbitrarily order an Airman to destroy personal property. c. Yes. The material was detrimental to good order and discipline and shouldn’t be visible.
Case Study #9
As a logistics readiness officer, you’re authorized 20 Airmen, but only 12 are assigned. To meet all of your job requirements, you require every individual to work 10 hours a day, 6 days a week. Are your actions consistent with the guidelines? Why or why not? a. You have a mission to accomplish. It is proper to require your people to work these long hours. b. The well-being of your people is paramount. You’re improperly requiring them to work these long hours. c. Your responsibility to unit welfare requires you to maintain a high degree of morale. Your action is not proper. d. The well-being of your unit takes precedence over that of individuals, including yourself. Your action is proper.
216 Case Study #10
You’re a cyberspace officer, and one of your Airmen has a disabled child. This Airman is very important to the accomplishment of your mission. He has only one car and drives his child to a special education class every morning. The child’s classes begin at 0800 hours. You allow the Airman to come in 45 minutes late every day so he can drive his child to school. Describe your actions in relation to the guidelines for a responsible leader. a. This is a clear case of partiality. It is unfair to allow the Airman to be late. You must be fair and impartial in discharging your responsibility to unit welfare. b. If the Airman’s tardiness doesn’t impair his productivity and mission accomplishment, the permission you granted is proper. You’re helping the Airman with a personal problem, and your people’s welfare is your concern. c. Something important may come down from higher headquarters that requires use of material in the files. If the Airman is not on duty, the work may be delayed. According to your responsibility to higher headquarters, you cannot allow this to happen. d. How you run your shop is your own business. If you want to allow an Airman to be late for work, it is your prerogative. As the boss, you’re responsible for acting decisively.
Case Study #11
Your commander has assigned your security forces section the task of putting personnel on traffic control at the end of the regular duty day. You vigorously protest this requirement. You’ll have to work your people overtime, and it’ll mean a drop in their morale. Your commander disregards your protest and insists you meet the requirement. You tell your NCOs the task must be accomplished on orders from the commander. You tell them of your futile efforts to get out of doing this task. Describe your actions in relation to the guidelines for a responsible leader. a. You failed in your responsibility to higher headquarters because you didn’t unquestionably obey directives from your commander. b. You should protest the accomplishment of directives from higher headquarters, especially when they affect the morale of your people. Their welfare has priority. c. Your protest is permissible. However, what you told your NCOs was inexcusable. You must carry out directives from your commander enthusiastically, as if they were your own ideas. d. You’re concerned for your people’s esteem. Your actions will increase your standing in their eyes, and this is properly fulfilling your responsibility to self.
216 Leadership Authority and Responsibility 217 Case Study #12
You’re the executive officer and a member of your squadron’s softball team. You also hold the highest batting average in the base league. Your team is in the semifinals. You know how much your commander wants her team to win the base championship. In yesterday’s game you collided with the second baseman and hurt yourself. Despite a painful and swollen ankle, you decide to play today. While trying to make third base, your foot gives way and your sore ankle gets badly wrenched. This aggravates the previous injury and you require hospitalization. Describe your actions in relation to the guidelines for a responsible leader. a. Responsibility to the squadron is paramount, especially when the morale of the personnel is involved. You properly discharged your responsibility to unit welfare. b. You’re a key player on the team. The commander wants the team to win. His wishes must be interpreted as commands; therefore, your decision exemplifies proper fulfillment of responsibility to higher headquarters. c. You allowed your emotions to override the concern you should have for keeping yourself mentally and physically fit. Responsibility to self requires your concern with actions that may prevent you from carrying out your duties. Your decision to play was improper.
Case Study #13
While driving your vehicle, you’re stopped by a civilian policeman and accused of a minor traffic violation. Although you’re not on a military installation, you were in uniform. As you were asking the policeman questions about the purported violation, he progressed from impatience to rage. In front of a crowd that had gathered, you became angry with the officer because of his rude behavior directed at you. Bystanders witness the two of you heatedly arguing to include profanity. Describe your behavior in relation to the guidelines. a. You were innocent of presenting the Air Force image badly, as the entire exchange was caused by the policeman. b. Your honor demanded you defend yourself from the officer’s unjustified attacks. c. You acted properly, as your being in uniform demanded that you present the civilian bystanders a militant impression of the Air Force officer. d. Regardless of how difficult it would’ve been, your responsibility to maintain the Air Force image required you to remain calm. Your behavior was irresponsible.
218 Case Study #14
As a captain, you are the Chief of Personnel Readiness, and your office is responsible for drawing up personnel orders for all deployments. You were officially informed by the installation mobility officer of a deployment for one of the security forces teams to an unclassified location in support of Operation Cutting Edge While at a chamber of commerce luncheon that day, the discussion turns to rumors about the upcoming deployment of the entire security forces squadron. What action do you take? a. To dispel the rumors, you tell the people at your table the rumors are overstated and only one security forces team is being deployed. b. You tell them the rumors are untrue, but confirm their suspicions when they guess the exact deployment information. c. While you are tempted to set the record straight, you are not a public affairs officer and releasing information is not part of your job, so you change the subject. d. Since you were officially informed, you see it as an act of good faith to tell the people at your table what you know about the security forces deployment. As an officer, it is paramount that you understand the authority and responsibility you have. Once you fully understand these leadership aspects, you will be able to effectively control and direct your subordinates, have decision making direction and, most importantly, be able to successfully accomplish your mission.
218 Leadership Authority and Responsibility 219 Case Study #15—Air National Guard/Air Force Reserve Scenario
You’re the OIC of the security forces section at an Air National Guard/Reserve base co-located on an active duty installation. Your commander assigns your security forces team to augment the active duty security forces mission while the unit is in the middle of a unit compliance inspection. You vigorously protest the tasking—your Airmen will have to work extra after normal duty hours to cover both the section’s primary mission and the augmentation duty—it will mean a drop in morale. Your commander disregards your protest and insists the tasking be met. You tell your subordinates that the task must be accomplished on orders from the commander and explain your futile efforts to get out of the task. Describe your actions in relation to the guidelines of a responsible leader. a. You failed in your responsibility to higher headquarters because you didn’t unquestionably obey directives from your commander. b. You should protest the accomplishment of directives from higher headquarters, especially when they affect the morale of your people. Their welfare has priority. c. Your protest is permissible. However, what you told your subordinates is inexcusable. You must carry out directives from your commander enthusiastically, as if they were your own ideas. d. You’re concerned for your people’s morale. Your actions will increase your standing in their eyes and this is properly fulfilling your responsibility to self.
220 Case Study #16—Air National Guard Scenario
While driving home from drill weekend, you’re stopped by a civilian police officer and accused of a minor traffic violation. Although you’re not on a military installation, you are in uniform. As you ask the officer questions about the purported violation, he progresses from impatience to rage. In front of a crowd that has gathered, you become angry with the officer because of his rude behavior directed at you. Bystanders witness the two of you heatedly arguing, which includes profanity. Describe your actions in relation to the guidelines of a responsible leader. a. You were innocent of presenting the Air Force image badly, as the entire exchange was caused by the officer. b. Your honor demanded you defend yourself from the officer’s unjustified attacks. c. You acted properly, as your being in uniform demanded that you present the civilian bystanders a manly impression of the Air Force officer. d. Regardless of how difficult it would’ve been, your responsibility to maintain the Air Force image required you to remain calm. Your behavior was irresponsible.
______Bibliography: 1. AFI 51-604. Appointment to and Assumption of Command, 4 April 2006. 2. The Military Commander and the Law, Air Force Judge Advocate General School, 2012.
220 Leadership Authority and Responsibility 221 Corrective Supervision and Counseling
Cognitive Lesson Objective: • Comprehend the principles of corrective supervision.
Cognitive Samples of Behavior: • Define corrective supervision. • Explain the steps of the Intervention Process Model. • Identify ways to involve the counselee in developing solutions to problems. • Differentiate between aggressive, assertive, and passive communication.
Affective Lesson Objective: • Respond positively to techniques for corrective supervision.
Affective Samples of Behavior: • Assert the importance of corrective supervision. • Practice using effective corrective supervision methods to solve lesson case studies.
“If one defines the term ‘dropout’ to mean a person who has given up serious effort to meet his responsibilities, then every business office, government agency, golf club, and university faculty would yield its quota.”
-- John Gardner
222 Much of what we read in the field of human behavior tells supervisors how NOTto go wrong. This advice ranges from how a manager can achieve satisfactory personal performance to techniques for eliciting the best possible performance from subordinates. Preventive techniques have great value, but to study only these techniques could foster the impression that it’s “impossible” for a good supervisor to have a poor performer in his/ her organization. The reality of the situation is that no matter how a leader plans, organizes, and delegates, there will usually be instances that require corrective supervision and counseling to accomplish the mission.
Correcting subordinates who aren’t performing up to standards or who are breaking the rules in some way isn’t an easy task, yet you may need to do this almost immediately upon reporting to your first assignment. Whenever you correct someone, you must be concerned with the future of that person’s attitude, the morale of the group, and the effect of the discipline on future team efforts. Avoiding correction is often just as detrimental as correcting someone improperly. So there are many reasons for learning the intervention skills involved in corrective supervision.
CORRECTIVE SUPERVISION DEFINED
“Everybody has slumps.”
“It’s easier to ignore her than to take the time and effort to straighten her out.”
“I can’t afford to tangle with him; he’s too popular with the troops.”
“If we leave ______alone, she’ll improve. Experience is the best teacher, and she’s relatively new on the job.”
“He only has five years to go until retirement.”
Perhaps you’ve heard supervisors make remarks like these when discussing personnel problems. Such remarks are excuses, not solutions, and rarely lead to productive change in work behavior. Not only are such comments ineffective, but they also raise suspicions regarding the supervisor’s capability, or willingness, to deal effectively with the person doing substandard work. Supervisors do have an alternative. We call this alternative “corrective supervision.”
The term “corrective supervision” is used to describe the process a leader uses to promote change in individual behavior in a job related situation. It’s the ability of the supervisor to intervene as necessary to improve a subordinate’s performance. When viewing this change in a subordinate’s behavior, we see that optimum corrective supervision has:
Corrective Supervision and Counseling 223 • The supervisor and subordinate mutually agree that a change in the subordinate’s performance is needed. • The change is made willingly. • A cooperative working relationship is maintained. • The subordinate’s self-confidence is not damaged. • The work gets done more effectively.
THE INTERVENTION PROCESS
In the counseling lesson, we will distinguish between the situations the supervisor MUST intervene and those the supervisor MAY intervene, or may refer the individual to another assistance source. Now we will discuss these intervention skills in the context of situations in which the supervisor MUST intervene to change the job-related performance of his or her subordinates.
Corrective supervision involves: assessment of situations, selection of appropriate intervention methods, and the use of effective interaction skills. In employing corrective supervision skills, therefore, the supervisor is insuring a definite plan of action is established. While this view of corrective supervision is task-oriented, success depends on a supervisor who is sensitive to individual’s differences and considerate of human needs.
Intervention Process Model
• Make a considered decision to intervene. • Use supportive and assertive interaction skills. • Involve the person with the problem in developing the solution. • Put the issue in perspective.
A theoretical plan of action recommended to accomplish a correctional intervention is presented below. Steps 1 and 2 of this process focus on deciding if intervention is appropriate and, assuming that it is, preparing to achieve the best possible results in correcting the situation. Step 3 provides sequential actions a supervisor may take during the actual counseling process to affect a results-oriented conclusion. Step 4 emphasizes the need for the supervisor to maintain a balanced perspective.
224 Step 1: Make a Considered Decision to Intervene
• Identify what needs to be corrected • Decide if supervisory intervention is appropriate.
A considered decision is one in which the decision maker takes active control of his/her decision to act rather than reacting to the situation. This form of decision is especially important when deciding whether or not to correct a person’s performance. Most people have an emotional investment in their work, and a careless suggestion of inadequacy can damage future relationships and the motivation to be productive. The effective supervisor, when possible, takes the time to thoroughly analyze the situation before acting. Two key questions to aid in such an analysis are (1) “What needs to be corrected?” and (2) “How much direction is needed?”
What needs to be corrected? In Managing the Marginal and Unsatisfactory Performer, Lawrence L. Steinmetz suggests understanding the cause of a person’s unsatisfactory performance is much like determining precisely what the following figure represents.
What does this picture look like to you? A large goblet, a table, or do you see two faces looking at each other? Steinmetz states the figure can be all or none of these, depending on the beholder’s personal interpretation. This same view can be applied when attempting to evaluate a person’s performance. Frequently the subordinate will consider his/her work to be satisfactory whereas the supervisor considers it unsatisfactory. The job in deciding what needs to be corrected is rarely clear-cut, but, at the very least, you should subject every problem situation to a careful analysis in an effort to arrive at the best possible solution.
To be objective in studying what needs to be corrected, it’s necessary to be open-minded and objective about what’s causing the problem. Is it the quality of the individual’s product that needs improvement or the method used to produce it? Is it the individual’s work or the way the person reacts to the work? Does a required procedure, standard, or policy impact adversely on the individual’s ability to perform well?
Before deciding to correct the individual, a good supervisor will be sure the system permits the level of work expected. It’s usually better for the supervisor to make only a tentative decision about the cause of low performance prior to discussing it with the individual.
The chart below summarizes one way to more accurately diagnose the cause of subordinate work problems.
The top half illustrates a subordinate successfully accomplishing the assigned duty, there is no problem, and no supervisory action is necessary. However, when the subordinate fails to perform work (illustrated in the lower half), a problem does exist which is usually due to one of three reasons:
Corrective Supervision and Counseling 225 • The subordinate can’t do the work through no fault of his/her own, e.g., necessary tools/resources are unavailable, outside influences create task interference, subordinate is inadequately trained.
ACTION: Corrective supervision is NOT appropriate here, but you should most certainly remove the obstacles preventing your subordinates from doing their work. • The subordinate willingly elects NOT to perform the work.
ACTION: Corrective supervision is definitely in order. A supervisor’s failure to act on a problem of this nature not only compounds the problem, but will erode organizational morale. • The subordinate doesn’t do the work because he/she does not know to do it, i.e., the supervisor doesn’t specify the job task the subordinate is expected to perform.
ACTION: Again, corrective supervision is inappropriate. The supervisor can correct this problem by clarifying responsibilities and more clearly communicating what is expected of the subordinate.
Most people will rarely admit they failed willingly (reason 2), even if that’s actually the case. More likely the individual, when confronted, will blame his/her failure on someone or something else (reason 1 or 3 above). When making a considered decision to use corrective supervision, you must “smoke out” those individuals who aren’t doing assigned tasks simply because they do not want to do them. You can do this by asking tactful questions, which systematically eliminate reasons 1 and 3 from the realm of possible causes. For example: • “Did you understand exactly what I expected you to do?” • “Did we train you sufficiently for this job?” • “Did anything interfere with your ability to perform this assignment?”
How much direction is needed? The second aspect is to consider how much structure the supervisor needs to impose. This degree of structure ranges from high involvement (when there’s a short time frame and/or low follower maturity) to low involvement. The supervisor’s technical expertise is a major factor influencing the choice of intervention approach.
Corrective supervision involves a specialized form of counseling which works best when the counselor uses the collaborative method. This is merely a refinement of principles borrowed from the nondirective and eclectic methods. In this method, the leader defines the need to act but gives the subordinate an opportunity to define tasks, roles, standards, and evaluation systems. This is an open-ended way of confronting the problem and allows for those instances when the supervisor enters the corrective interview knowing only that
226 something needs to be done, but not precisely what needs to be done. The supervisor, using this method, can stimulate a change rather than simply define the change. This method is the recommended starting point for any corrective situation.
Step 2: Use Supportive and Assertive Interaction Skills
• Avoid defense-producing techniques. • Know how to correct without disrespect. • Select appropriate time and place.
Avoid Defense-Producing Techniques - Be Supportive. One of the most valuable assets a supervisor can possess is the ability to talk to people about changes needed in their performance without putting them on the defensive. Although most people expect and want constructive feedback, they tend to block out, forget, or misinterpret messages when they feel they are under attack. Criticism tends to create defensiveness. By developing and using supportive and assertive interaction skills, the supervisor can maximize the probability corrective actions will be perceived as constructive and non-threatening. The following is a comparison of threatening and supportive climates:
Threatening Climate Supportive Climate (Defense-producing) (Trust-producing) Evaluative communication Descriptive communication Control motive Problem-solving motive Manipulative approach Spontaneous approach Indifference Concern Superiority Equity Certainty (Know it all) Receptive (Open to ideas) The threatening impact of a single defense-producing characteristic can be increased or decreased by the presence or absence of additional defense-producing characteristics. For example, an individual can act superior but also be open to new ideas with the result that these characteristics tend to neutralize each other. Problems arise when nearly all supervisor behavior is drawn from the defense-producing syndrome. Let’s examine the subtle differences between defense and trust-producing characteristics by considering examples of each.
Evaluative communication includes speech manner, tone of voice, and verbal content that conveys the belief the speaker is judging the total person rather than just commenting on the issue at hand. Evaluative remarks tend to be global and generalized whereas descriptive remarks tend to be specific.
Corrective Supervision and Counseling 227 Evaluative Descriptive “I’m disappointed that your “It’s clear that you put a lot of hard proofreading is so poor.” work in the report and as soon as these minor errors are corrected, it will be ready to go.” People who tend to think in terms of authority rather than problem solving may make extensive use of rules, regulations, detailed procedures, and many accuracy checks during work progress. The “authoritarian” solves problems by “taking over” rather than “taking time” to work with a co-worker or subordinate on a shared solution.
Control Motive Problem-Solving Motive “Your weekly report is late again. “Let’s talk about what we need to From now on, I want to review the do to get the report out on time.” task status on a daily basis.” The “manipulator” conveys the impression of having hidden motives and pertinent information that isn’t shared, or tends to show false concern and treat relationships like a game.
Manipulative Approach Spontaneous Approach “I’m glad you submitted this idea, “Your idea sounds good, and I’ll let but I have to consider some other you know if we can do it as soon things before I decide. as I check with Admin.” ”Indifference often results from total preoccupation with the task to be done to the extent that the welfare of the people involved isn’t considered. Total objectivity without empathy for the human element can give the impression of lack of respect.
Indifference Concern “This report will have to be redone “What’s your schedule like? We before quitting time.” need to make some changes in the report as soon as possible.” While there are many obvious differences in talent, ability, status, and power, comparisons or continual emphasis on personal qualities aren’t appropriate behaviors in the work environment where cooperation rather than competition is needed.
Superiority Equity “If you keep working at it, you will “Let’s go over the standards for the be able to do this report as well as weekly report to see how it can be I could.” improved.”
228 The supervisor who sets himself/herself apart as “teacher” or “expert” may block communication and therefore not have access to useful ideas and information from others. As in all of the other categories, voice tones as well as words convey the “I’m certain I know it all” impression.
Certainty (Know it all) Receptive (Open to ideas) “If you would follow the procedures “Maybe we need to make some I set up, there would be fewer changes in procedures to cut down errors.” on errors.”
Correct Without Disrespect - Be Assertive Not Aggressive. The above six areas emphasize factors which influence the relationship between supervisors and subordinates. The defense-producing examples tend to have a common denominator in that most are aggressive in nature. Aggressive communication is similar to offensive military strategy in that the main thrust is attack. In contrast, the purpose of corrective supervision is to solve a problem of mutual concern. Therefore, the threatening approach, or offensive tactic, is out of place and tends to be counterproductive.
The difference between aggressive and assertive communication is a question of focus rather than differing degrees of initiative. Assertive solutions focus on the behavior to be changed, rather than using ego-threatening tactics, thus offering the potential for continued and willing cooperation. Alternatives to aggressive communication are presented in the Assertiveness Continuum Table. Using assertive communication may be a challenge for those supervisors who tend to take a passive stance and avoid dealing with problems that need correction. Passiveness, in some instances, results from a lack of skills to use in situations in which you must criticize someone. One of the purposes of this lesson is to help eliminate this barrier by presenting some starting points for effective correction.
Assertiveness Continuum Table Aggressive Assertive Passive Definitions Assertion at the Assertion without Non-assertion-- expense of others. showing disrespect takes no action for others. to support self or others. Focus of Initiative Moves against Moves toward Moves away from person(s) in solution within situation. situation. situation. Goal To WIN at all costs To find a mutual To appease or (Win-Lose). solution (Win-Win or avoid contest (no No Lose). game).
Corrective Supervision and Counseling 229 Verbal Language Words include “I” statements (I Words include threats (you’d think, I feel, I want); qualifiers (maybe, better, if you don’t cooperative words I guess, I wonder, watch out); put (let’s, how can if you could, would downs (come we); empathetic you mind, only, just, on, you must be statements of I can’t, don’t you kidding); evaluators interest (what do think); fillers (uh, (shoddy, bad); racist you think, what do well, you know); or sexist terms. you see). negatives (it’s not really important).
Select Appropriate Time and Place. In addition to use of effective verbal language, a supervisor who must conduct corrective counseling should choose a time and place which provides optimum conditions for success. The location of a corrective intervention needs to be private and free of distractions to enable both people to concentrate on issues and develop ideas. The meeting should be scheduled at a time that will permit the conversation to last as long as necessary to reach agreement on the action to be taken. If a specific event creates the need for the exchange, it should be scheduled as soon as possible while maintaining the other standards. On-the-spot corrective action is effective for training activities, but may not be appropriate for more complex corrective situations. It’s important that the supervisor not be angry at the time of the intervention. The purpose of corrective counseling is to promote constructive change rather than to test tolerance to pressure.
These timing considerations can be met through scheduling or opportune use of chance encounters. In either instance, the setting for the conversation must be comfortable for both the supervisor and subordinate. It’s important the supervisor does not present a “mixed message” about the role expected of the subordinate. For example, if the supervisor sits behind a large desk and invites the subordinate to sit on the opposite side of the “barrier,” the chances aren’t great that the subordinate will interpret the setting as a collaborative one. He/She may respond by behaving as if in a directive counseling situation. Generally, people are more apt to communicate when furnishings and other symbols de-emphasize the status differences.
A counseling session scheduled in advance tends to arouse some anxiety; therefore the supervisor shouldn’t delay too long in getting to the purpose of the meeting. While some “small talk” is usually necessary to make both participants comfortable, it’s usually better to save positive reinforcement until after the discussion rather than trying to “soften the blow” by mentioning the individual’s good points prior to discussing the problem.
The techniques to promote a supportive interaction environment include skillful selection of verbal approaches and selection of physical and psychological settings to enhance the potential for success. Communication techniques should be non-threatening and assertive. These skills are learned through practice.
230 Step 3. Involve the Person with the Problem in Developing the Solution
• Describe the situation. -- Describe rather than prescribe. -- Seek solution--not justification. • Facilitate participation. -- Use open questioning techniques. -- Allow time for resistance. • Interact on problem identification. -- Eliminate irrelevant issues. • Interact on possible solutions. -- Encourage follower identification of alternatives. -- Agree on solution and follow-up action. -- Include leader as well as follower action if relevant. -- Put follow-up dates on calendar.
The collaborative method is the most appropriate initial approach for the majority of situations concerning performance quality. The supervisor determines the need to act by giving the subordinate an opportunity to explain how they understand their tasks, roles, standards, and evaluation systems. The directive approach is appropriate for missions that require a quick reaction time and highly controlled response, often typical of military operations. Don’t be afraid to use a one-sided conversation approach when necessary. Other situations in the military workplace allow for more subordinate involvement. For performance correction, the subordinate’s involvement is essential in order to reach a commitment to behavior change. Because of varying situations, military leaders need to develop skills in all counseling methods so a choice of tools is available to them.
In addition to developing the skills for a variety of situations, effective supervisors understand the need to occasionally shift to more or less directive methods within a counseling session when the need arises. As a general rule, the directive method is most effective for short-term relationships where quick results are needed; a collaborative, or participative, approach is most effective in complex situations where long-term, sustained relationships and correction are important.
Corrective Supervision and Counseling 231 Describe the Situation. The first skill involved in Step 3 is the technique of describing the situation in such a way that the follower becomes interested in solving the problem and doesn’t become defensive. In the past, corrective supervision was accomplished by “chewing out” the person who made the mistake. Distinctions weren’t made between the individual’s performance and the individual as a person. The classical chewing out included an aggressive attack on the personality of the subordinate along with a description of what had been done wrong. The total individual was challenged with expression such as, “You stupid idiot, how could you have made such a mistake!” Underlying the traditional methodology was the assumption that position privilege, prerogative, and responsibility included the right to be disrespectful to people of lower rank and that, in fact, this was necessary to maintain discipline and get things done. Professional attitudes now focus on motivating through respect and involvement. The first statement the supervisor makes about the performance problem is critical as it sets the tone of the discussion. The situation should be described in precise, clear terms, which identify relevant job behavior. “Global” descriptions tend to be threatening and don’t let the individual know exactly what the supervisor perceives as the problem.
Not Specific Specific “Your performance is not up to “You get a lot of demerits on your standard and must improve.” detail.”
Try to describe rather than interpret behavior in your opening statements. Assuming why people act as they do is a frequent error in corrective counseling. • Describe situation rather than prescribing solution. When the supervisor suggests how to correct the problem early in the conversation, a “final” solution has been introduced, making the counseling directive rather than collaborative.
Prescribing Solution Describing Solution “Start your detail earlier so you “You don’t seem to have enough have more time to do it well.” time to do your detail well.” • Seek solution - not justification. It’s the counselor’s responsibility to make clear to the counselee that a solution to the problem is the primary goal of the session. If the counselee becomes defensive, the chances for arriving at a mutually satisfactory solution are greatly reduced.
Seeks Justification Seeks Solution “There must be a good reason why “Let’s talk about ways to reduce you consistently have too many your demerits next week.” demerits on your detail.” Facilitate Participation. Use open questioning techniques. As discussed earlier, good questioning techniques are appropriate and helpful in any form of counseling situation, be it personal or job-related. Open questions draw out the counselee’s ideas, thereby making them available for possible incorporation into the ultimate solution.
232 Allow time for resistance. In situations where a supervisor makes a corrective intervention, the counselee may put up considerable resistance. Where this kind of tension is present, it’s especially important that the conversation be both clear and unemotional. One way to develop discipline in this respect is to make a deliberate effort to control reaction time. For example, silently counting three or four seconds before responding provides an opportunity to make a considered response. This timing delay permits the intellect to take over control of emotional behavior. In the context of corrective supervision, it provides time for the supervisor to direct attention away from blaming and toward the issue of problem solving.
Corrective counseling differs from other forms of counseling in that the supervisor must sometimes insist on a change, as compared to recommending a change. Sometimes, the counselee completely resists the supervisor’s view that change is needed. In such cases, it may be advisable to shift from a collaborative approach to a more directive approach.
Interact on Problem Identification. Eliminate irrelevant issues. Mitigating circumstances are important when the degree of punishment is the issue. They’re also important to the person who has the problem, and individuals need an opportunity to explain their actions. But, a supervisor shouldn’t let mitigating circumstances become the focus of attention when future behavior is the main concern.
Interact on Possible Solutions. Promote follower identification of alternatives. While a supervisor may have an idea about a way to solve the problem, it may not be the ONLY way, and the subordinate may have a different idea that will accomplish the same results.
We should note, however, that followers sometimes lack the maturity needed to become involved in finding a solution or they can’t function because they’re totally unaccustomed to a collaborative leader. In such cases, a somewhat more directive approach, in which you “walk” the counselee through their possible choices and the respective consequences, may be necessary.
Agree on Solution(s) and Follow-up Action. Include leader as well as follower action if relevant. Remember that in Step 1 of the process model, the leader makes a considered decision to intervene based on a tentative analysis of the cause of the problem. By actually discussing the problem with the individual, new information may surface which points to the need for management action in addition to or in lieu of corrective supervision. When the counseling interview is concluded, both the counselor and counselee should have the same understanding as to what action will be taken and by whom.
Put follow-up dates on calendar. Besides the obvious practical management value of this action, formally recording target dates also lends an air of commitment and accomplishment to the session.
Corrective Supervision and Counseling 233 Step 4. Put the Issue in Perspective
Once the intervention process is complete and both the supervisor and the subordinate understand how the follow-up will occur, the supervisor may need to reinforce the individual’s self-confidence. This may be done at the end of the corrective counseling session or soon after the session in order to put the issue into perspective.
Provide Positive Reinforcement of Personal Value. There are many ways to provide recognition and make people feel confident about themselves. Some examples are: • Ask for advice or information about some aspect of the job you know the individual is interested in or an expert in. • Be especially certain to acknowledge the presence of the individual with appropriate greetings. • Ask the individual to do a specific task in which the possibility of failure is limited. • Comment in public about something the individual does well. • Refer someone else to the individual for assistance. • Ask for the individual’s opinion on any subject. • Show an interest in the individual’s family or other special interest. • Listen attentively when the individual talks and avoid interrupting.
While these behaviors can help build any subordinate’s confidence, they are especially important following corrective counseling to show the person that he or she is a valued contributor despite the fact that one specific behavior needs improvement.
Following is an exercise to give you some practice in developing the habit of using assertive communication techniques.
234 EXERCISES
Make the following statements assertive rather than aggressive and include an assertive solution, rather than justification:
1. AGGRESSIVE: You don’t seem to be interested in keeping your demerits down. Why do you get so many demerits?
ASSERTIVE:______
______2. AGGRESSIVE: If you were more motivated, you wouldn’t need to do details during quiet hours. Do you have an excuse for doing them then?
ASSERTIVE:______
______3. AGGRESSIVE: It is obvious that you were not taking your academics seriously. Can you explain why your test grades are so low?
ASSERTIVE:______
______4. AGGRESSIVE: Your standards for ground clean-up aren’t very high. What happened to interfere with grounds clean-up?
ASSERTIVE:______
______5. AGGRESSIVE: It is clear that you have an attitude problem. Why do you resist so many aspects of this training program?
ASSERTIVE:______
______
Corrective Supervision and Counseling 235 6. AGGRESSIVE: You sometimes show poor judgment in your relationships with your peers. Why do you argue with other members of your flight?
ASSERTIVE:______
______
236 Study the following cases and draft solution notes for each. Include (1) a tentative assessment of what needs to be corrected and (2) a preliminary strategy for achieving positive results in correcting the situation. Where appropriate, specify the questions you, as a counselor, would consider asking in your attempt to resolve each problem. Take your student reader to class.
Case 1 -- I Owe the Air Force Nothing
First Lieutenant Henderson is a maintenance officer. He’s in charge of a depot maintenance shop that handles equipment modification. One morning he overheard a conversation between two civilian employees assigned to his shop. Bob Stuart, supervisor of a bench- work section, was talking to Jack Goodall, an propulsion systems specialist.
Bob: Your work coming along OK, Jack?
Jack: Just fine. I’m all caught up for now.
Bob: That job I gave you yesterday looked like a real stinker; did you finish it already?
Jack: Yep. Took it home and worked on it last night so I wouldn’t be rushed today.
Bob: Jack, I know you have a good shop at home and love to work, but you know we don’t like anyone to take work home with them. In fact, I had asked Fred to come over and give you a hand this morning if you needed it. Jack: Yeah, he told me, but I knew he had his hands full for right now, so I told him not to bother. I could handle it.
Bob: What are you working on now?
Jack: This is the motor off my kids go-kart...needs a good going over. Putting in new rings and grinding the valves.
Bob: You think you should be doing that on government time?
Jack: Well, why not? I got the Air Force out of a bind on my own time last night. Besides, I can’t grind the valves at home--don’t have the equipment. I see nothing wrong with it.
Bob: It just looks bad to be doing personal work on the job. You know that as well as I do.
Corrective Supervision and Counseling 237 Jack: Well, when I’m caught up with my work and nobody else needs me, what do you want me to do--stand around and look pretty?
Bob: Now, don’t get huffy. We’ve been through this before. Remember how we both almost got fired last year when you brought your boat motor into the shop and proceeded to scatter parts all over the place?
Jack: Sure, I remember. That over zealous Captain Buckholz is gone, and I believe the guy we have now would be more reasonable. After all, my work is all caught up, and I’m not bothering anyone else.
Bob: That’s where you’re wrong--it bothers me. Now let’s get this through your thick head. I don’t tell you what to do with your off time, but when you work for me, you’ll do official work and only official work. We’re not going to have another embarrassing situation no matter what your personal feelings are. Do you understand that?
Jack: Yeah, I understand, but that lieutenant doesn’t know how much work I do, and I can’t see how you can get another feather in your cap by riding me. What that guy doesn’t know won’t hurt him.
Bob: I’m not concerned with making impressions on anybody. What you’re doing is wrong. It’s that simple. Your attitude is wrong, and it’s affecting your judgment.
Jack: How can you say that? You know perfectly well I turn out more work than any man you have. Is it my fault you can’t keep me busy?
Bob: Jack, I know you’re a top-notch worker, but a good employee is a lot more than that.
Jack: Yeah, your idea of a good employee is a “yes-man.”
Bob: You’re wrong there. A good employee is a good worker who follows the rules. What would happen if everybody brought their own little projects down here every day?
238 Jack: You could make them do their job first. Besides, I do a lot of Air Force work at home so I can have time out here to use tools I don’t have at home. All I’m asking is that you treat me with a little trust. I’m an honest guy and the Air Force gets a full measure from me without ever having to pay overtime.
Bob: Jack, we could argue the point ‘til doomsday. Let me put it this way: effective immediately, there will be no more personal work done in this shop. Sorry, but you brought it on yourself
How could Bob have made his point, but at the same time caused Jack to follow through on it enthusiastically? If you were 1st Lt Henderson, what would you do?
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Corrective Supervision and Counseling 239 Case 2 -- Walking Post
First Lieutenant Charlene Lambert is a Security Forces (SF) officer. She has a degree in criminology and loves her work. Much of her time is spent in direct contact with the Airmen and NCOs who work for her. She takes pride in being available to her people at any hour. She says that her security forces are better trained and more highly motivated than any other group of people in the Air Force.
Last Thursday Airman Sanchez complained that guard duty around parked aircraft should be shared by more of the people because of the boring nature of the work. When 1st Lt Lambert discussed the complaint with Sanchez, she became aware of a real problem that had been given little or no attention in the past. Here’s how their conversation went:
1st Lt Lambert: Airman Sanchez, you’re the first troop I’ve heard complain about guarding aircraft.
Amn Sanchez: I know ma’am, but they all complain. It’s just that you never hear about it.
1st Lt Lambert: I know it gets lonely out there, but it’s very important work and it doesn’t appear to be too hard.
Amn Sanchez: That’s just it lieutenant, it’s no work at all. We can walk around a little, but that’s not like working. Besides, when you tramp around too much, your own shoes hitting the ramp keeps you from hearing the approach of others. We’re supposed to be alert at all times and you just can’t hear much when you’re walking around. On the other hand, it’s hard to stay alert if you don’t move about a lot.
1st Lt Lambert: Can you suggest anything that would help the situation?
Amn Sanchez: Well, ma’am, I know somebody has to guard these bombers, tankers, and the ammo dumps, but it’s kinda depressing when you’re standing knee-deep in snow and your buddies are working in warm offices or riding in a heated patrol car. It’s just as bad the other way in the summer. Don’t get me wrong, lieutenant, I knew that a security forces specialist had a certain amount of this kind of work to do before I chose this career field. Maybe what I’m trying to say is that everybody knows how important security is, but they don’t seem to care too much about the people who do the work.
240 1st Lt Lambert: Sanchez, you know we do care about all our people. You’re the most important asset in the Air Force.
Amn Sanchez: Yes ma’am, we hear that all the time. Yet, the only time anyone on post sees an officer or NCO out there is when something has gone wrong, or when they’re checking on us. Nobody is really concerned that my feet are cold. If you call for relief to even answer a call of nature, they make you feel like you’ve slowed down the whole Air Force effort so you can be pampered or something.
1st Lt Lambert: You really do feel neglected, don’t you?
Amn Sanchez: No ma’am, not really, but I wanted you to know what it’s like. Maybe you can make it better for us.
What’s the problem confronting 1st Lt Lambert? What action could 1st Lt Lambert take to correct this situation and to determine that other situations like this do not exist in her squadron?
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Corrective Supervision and Counseling 241 Case 3 - Why Can’t You Back Me Up?
Capt Ellsworth is Transportation Officer at his base and his office is adjacent to that of Mr. McLain, the Traffic Management Supervisor. Last September, Mr. McLain was placed on temporary duty (TDY) in Chicago, for five days to attend a regional conference for traffic managers. On the second day of his absence, Mrs. Wilson, a typist in McLain’s office, came into Capt Ellsworth’s office to discuss a personal problem.
Mrs. Wilson: As you know, I’m a widow and I have a 16-year old daughter. Well, when school started last week I had to begin driving Eileen, that’s my daughter, to school every morning. She was assigned to a school across town this year, and I can’t stand the thought of Eileen having to spend an hour on a school bus each way every day. She detests the crowding and the noise so much that, on the day she rode the bus, she had a splitting headache when she got home.
Capt Ellsworth: Sounds like you’ve just added an extra hour to your day.
Mrs. Wilson: That’s why I wanted to talk to you. If I could come to work 30 minutes later each morning and only take 30 minutes for lunch to make up the time, it would help me a lot. I’d still be working a full 8 hours and I could sleep a little longer before my day starts.
Capt Ellsworth: Well, your request isn’t unreasonable. Have you discussed this arrangement with Mr. McLain?
Mrs. Wilson: Oh yes I have, but you know him. He is afraid to go along with it...I guess. Anyway, he refused.
Capt Ellsworth: Why don’t we give it a try for the rest of this week? When Mac gets back, we’ll decide whether or not to continue.
Mrs. Wilson: Oh, thank you. I just knew you would understand.
Mr. McLain came into Capt Ellsworth’s office at 0810 on the following Monday. He was quite upset.
242 Mr. McLain: Captain, you’re the first officer I’ve ever worked for who failed to back my decisions in regard to the handling of my people. Did you know that we’ve tried this short noon-hour before? It just doesn’t work out. They go along with the 30-minute lunch for a while, but it isn’t long before they’re taking the full hour. What you did is unfair to all the other workers who would also like a shorter workday.
What’s the cause of this problem? Assume you’re Capt Ellsworth and you have a vague notion the morale in the Transportation Office left something to be desired; what action could you take to improve the situation?
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Corrective Supervision and Counseling 243 Case 4 - Integrity First?
You are 2d Lt David Smada. You are assigned as the section commander at a base in Montana. Not only are you the executive officer for the squadron commander, but you are the OIC of the squadron commander’s staff and its three young Airman. You’ve just arrived from Force Support School and have been in the Air Force a total of six weeks. The section does not have an NCOIC and you must learn to deal with situations on your own without the support of an experienced enlisted member.
SrA Gurk, the most “senior” personnelist, has been a SrA for almost five years, he has been pushed from squadron to squadron. The last section commander warned you of his cunning ways and the numerous phone calls you’d be receiving from his “bookies” and casinos.
For over three months you’ve noticed that everything you’d been told about SrA Gurk, had been false. He gets his work done on time, though he sometimes needs reminders or prompting; his work is done correctly, or so you think. He helps keep the room charged, though he always needs attention, but he’s not as much of a hassle as everyone had said he’d be. You trust your people, and remind them of that daily.
Every 10 to 12 days SrA Gurk needs 3-4 hours to take his daughter to the hospital to get check-ups for underdeveloped liver--and of course you let him go without making him take leave. This happens often throughout the next 6-months, and you never think twice until, SrA Gurk’s ex-wife calls looking for SrA Gurk. SrA Gurk just happens to be on one of those hospital trips; you find out from her that nothing is wrong with their daughter and that he has been pulling the wool over your eyes the entire time. Angry, you hang up the phone and begin checking on the senior Airman’s files...to your dismay the files are all incorrect and in terrible shape. The Inspector General team will be coming to your unit in less than two months to do a record review.
What are you going to do with SrA Gurk? What type of counseling would be appropriate in this situation? Why? How will you overcome your anger to get SrA Gurk back on track?
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244 ______Bibliography: 1. AFPAM 36-2241. Professional Development Guide, 1 October 2011. 2. AFROTC Management/Leadership Case Book. Maxwell AFB, AL: Air University, 1974.
Corrective Supervision and Counseling 245 Counseling and Practicum
Cognitive Lesson Objective: • Comprehend the role of the Air Force officer as a counselor.
Cognitive Samples of Behavior: • Describe the traits of a good counselor. • Identify the three counseling approaches: directive, nondirective, and eclectic. • Explain the aspects of the three counseling skills: watching and listening, responding, and guiding.
Activity Statement: • In the role of counselor, use appropriate counseling techniques while conducting a counseling interview in a simulated situation.
Affective Lesson Objective: • Respond positively to the concept of developing and practicing effective counseling techniques.
Affective Samples of Behavior: • Assert the importance of effective counseling skills. • Practice using effective counseling techniques during practicum.
246 “If men can naturally and without restraint talk to their officers, the products of their resourcefulness become available to all. Moreover, out of the habit grows mutual confidence, a feeling of partnership that is the essence of esprit de corps.” General Dwight D. Eisenhower
The Air Force has a continuing interest in improving the quality of counseling at all levels of supervision. Even at the lowest level of organization, problems arise that disrupt the performance of individuals and lower unit efficiency. Your subordinates’ problems become your problems when they adversely affect unit or mission effectiveness. Counseling is the process whereby a qualified person purposefully assists another to better handle personal or work related problems. Counseling is not advice giving; instead, it’s a cooperative activity between the counselor and counselee in an atmosphere of mutual trust and understanding. Counseling is a skill, and as with any skill, it requires much practice. When asked about their own ability to correct the behaviors of others, in a counseling environment, lieutenants, with fewer then three years of commissioned service, consistently rate counseling as one of their most difficult tasks. As a supervisor, you’ll inevitably discover the importance of knowing how to counsel effectively whenever the need arises. Unfortunately, supervisors don’t always understand the purpose of counseling. Some use the counseling session as an opportunity to dictate their beliefs, while others use it as a social meeting without genuine regard for the problem at hand. Ideally, counseling is an opportunity for you to help your subordinates intelligently adjust to unfamiliar situations.
TRAITS OF A GOOD COUNSELOR
o successfully assist people in gaining a better understanding of themselves and their problems, a competent counselor should display certain traits and ethical Tvalues. Among these are sincerity, integrity, and the ability to be a good listener. Sincerity. The successful counselor must be sincerely interested in the client and his/her problems. Insincerity is very easy for most people to detect, and it can seriously degrade the effectiveness of any counseling session.
Integrity. For a counselor, integrity of character is a fundamental trait. It’s the quality of being of sound moral principle, upright, and honest. A counselee will be more likely to confide in a counselor of obvious integrity, feeling that this person isn’t likely to divulge a confidence.
Be a Good Listener. The ultimate objective of most counseling sessions can be achieved only if the counselee does most of the talking and the counselor does most of the listening. The counselor must listen attentively to what’s being said and must listen perceptively for what the client really means.
246 Counseling and Practicum 247 COUNSELING APPROACHES
here are probably as many approaches to counseling as there are counselors. Directive, nondirective, and eclectic are the three basic approaches to start while Tdeveloping your personal counseling style. These approaches lend themselves to counseling requirements confronting military leaders. They differ in the techniques used, but are similar in overall objectives.
Directive Approach. This approach to counseling is counselor-centered. Directive counseling is a simple, quick approach to problem solving that provides short-term solutions. This approach assumes the leader has all the skills and knowledge to assess the situation and to offer useful courses of action. It utilizes clear thinking and reason and combines suggesting, persuading, confronting, and directing specific actions to obtain results. The leader does most of the talking--this is one counseling situation where the counselor won’t be a good listener. They state the problem, identify the causes, offer explanations, and list the options available.
Nondirective Approach. This approach to counseling is counselee centered. The counselor requires the counselee to take responsibility for solving the problem. This approach is usually more relaxed and focuses on self-discovery, therefore taking longer than the directive approach. The role of the counselor is to help the person become self- reliant. In this approach, the counselee has the opportunity to work solutions to problems through personal insight, judgment, and realization of facts. However, the counselee must understand and fully accept two basic rules. • First, defensive attitudes must not prevent discussing the problems openly and honestly. • Second, the counselee must understand they will be responsible for the problem- solving process and for the steps they select.
Eclectic Approach. Eclectic means, “selecting from various sources,” and is an approach in which the counselor uses parts of the directive and nondirective approaches. This allows the counselor to adjust the technique to emphasize what is best for all situations. The eclectic approach, which blends the counselor’s ability and personality to fit the situation, is the most frequently used. This approach assumes that the counselee will eventually be responsible for planning and decision-making. The counselee will take charge of solving the problem but may need some help along the way. It allows both the counselor and the counselee to participate in defining, analyzing, and solving the problem. Still, the purpose is to develop self-reliant counselees who can solve their own problems. The counselor can be directive when
248 the counselee seems unable to make decisions or to solve a particular problem. The counselor may begin with the directive approach, then switch to nondirective when the discussion shows that a personal problem is the cause of the poor performance.
COUNSELING SKILLS
he most difficult part of counseling is applying the proper techniques to specific situations. To be effective, the technique must fit the situation, the leader’s Tcapability, and the counselee’s expectations. In some cases, a problem may call for giving only information or advice. An improvement may call for brief words of praise. In other situations, structured counseling followed by definite action may be appropriate. A leader may learn one or two techniques, but still may lack the skills necessary to be an effective counselor. All leaders should seek to develop and improve their counseling skills. Military leaders are trained to analyze a mission, identify the required tasks, and take action. Some of these skills apply to counseling. While leaders must not try to psychoanalyze their subordinates, they can use problem-solving and decision-making skills to guide their subordinates in solving their own problems. Counseling skills are developed by studying human behavior, knowing the kinds of problems that affect Airmen, and becoming good at dealing with subordinates. These skills, acquired through study and through practical application of counseling techniques, vary with each session. They can generally be grouped, however, as watching and listening skills, responding skills, and guiding skills.
Watching and Listening Skills
Watching and listening skills involve concentrating on what the counselee says and does. Thus the counselor can tell whether or not the counselee accepts what is said, understands what is important, and understands what the counselor is trying to communicate. Spoken words by themselves are only part of the message. The way they are arranged and spoken has meaning. For example, the counselor must try to recognize the amount and type of emotion expressed by a subordinate when describing his concerns or problems. This emotion provides a clue to determine whether the subordinate is discussing a symptom or the problem itself. The nonverbals such as tone of voice, inflection, pauses, rate of speech, facial expressions, etc., are all parts of the total message. One important counselor skill is active listening. This means listening thoughtfully and deliberately to the way the counselee says things. While listening, be alert for common themes of discussion. A subordinate’s opening and closing statements as well as recurring references may indicate the ranking of these priorities. Inconsistencies and gaps in the discussion may indicate that the counselee is not discussing the real problem or is trying to hide something. Often, a subordinate who comes to the leader with a problem is not
248 Counseling and Practicum 249 seeking help for that problem; rather he is looking for a way to get help with another, more threatening problem. Confusion and uncertainty may indicate where questions need to be asked. The more the counselee talks the easier it will be to get to the root of the issue the counselee is dealing with. Let the counselee do the talking, stay with the topic being discussed, and avoid interrupting. As the counselor, you should speak only when necessary to reinforce and stimulate the counselee. Occasional silences may indicate that the counselee is free to continue talking; but a long silence can sometimes be distracting and make the counselee uncomfortable. Another part of active listening is letting the subordinate know that you are concentrating, hearing, and understanding what is said (i.e., you are “getting the message”). Nonverbal behaviors that let the counselee know you are actively listening include the following: • Eye Contact. Maintaining eye contact helps show a sincere interest in the counselee. This does not mean that the counselor should stare at the counselee. Occasional breaks of contact are normal and acceptable. Excessive breaks of contact, paper shuffling, and clock-watching indicate a lack of interest or concern. • Posture. A relaxed and comfortable body posture helps put the counselee at ease. A position that is too relaxed or slouching may indicate a lack of interest. Being too formal or rigid makes the counselee feel uncomfortable. • Head Nod. An occasional nodding of the head shows that the counselor is attentive; it encourages the subordinate to continue. • Facial Expressions. To remain natural and relaxed is best. A blank look or fixed expression is disturbing. Smiling too much or frowning may also discourage the counselee from continuing. While listening, the counselor must also be aware of the subordinate’s nonverbal behavior. These actions are part of the total message the subordinate is sending. Many situations involve strong personal feelings. By watching the counselee’s actions, the leader can “see” the feelings behind the words. Not all actions are proof of a subordinate’s feelings, but they must be watched. It is important to note the differences between what the subordinate is saying and doing. Some common indicators to watch for are: • Drumming on the table, doodling, clicking a ballpoint pen, or resting the head in the palm of the hand all may display boredom. • Self-confidence could be displayed by standing tall, leaning back with hands behind the head, and maintaining steady eye contact. • The counselee pushing himself deeply into a chair, glaring at the counselor, and making sarcastic comments, may indicate hate and other negative emotions. Arms crossed or folded in front of the chest often show defensiveness.
250 • Frustration may be expressed by rubbing the eyes, pulling on an ear, taking short breaths, wringing the hands, or frequently changing total body position. • Moving toward the counselor while sitting may indicate interest, friendliness, and openness. Sitting on the edge of the chair with arms uncrossed and hands open may indicate either openness or anxiety. Counselors should use these indicators carefully. Each counselee is different, and each will react differently to a given situation. Further, although each indicator may show something about the counselee, it’s important not to assume that a particular behavior means something. More important, it’s better to ask the subordinate about the indicator so that he can understand and take responsibility for his/her actions. This reinforces individual responsibility for self, as well as providing credibility to the counselor.
Responding
Responding skills are a follow-up to listening and watching skills. From time to time, the leader needs to check his/her understanding of what the subordinate is saying. The counselor’s response to the counselee should clarify what has been said. Responses should also encourage the counselee to continue. As part of active listening, responding skills allow a leader to react to nonverbal clues that the counselee is giving. The counselor can accomplish the act of “responding” by questioning, summarizing, interpreting, informing, and confronting.
• Questioning. This is key to the counseling process. The what, when, who, where, and how questions fit most counseling situations. When used properly, well- thought-out questions can actively involve the subordinate in his own problem. But a leader who asks a constant stream of questions is saying, “I’ll ask the questions, you give the information, then I’ll tell you what to do.” Questions that ask for answers in the counselee’s own words are more effective than those causing a yes or no response. A counselee’s answer to “How do you feel about being stationed here at Minot?” will give more insight into the subordinate’s feelings than “Do you like being stationed here?” Similarly, “What do you think needs to be done next?” will get a more useful answer than “Are you going to do something about this?” Questions that begin with “why” tend to put counselees on the defensive. If asked “Why were you late?” the subordinate is likely to give some excuse rather than explain what the real problem is. The counselor can be misled by the quick and defensive answers to “why” questions. Some examples of effective counseling questions are: • What would you like to have happened? • When do you think you will be ready for the next step? • How did things get to be like they are?
250 Counseling and Practicum 251 • Summarizing. This pulls together all the information the counselee has given. It is also a way for the counselor to check his understanding of what the counselee has said. Summarizing is done by restating the message in the counselor’s own words and watching the counselee’s reaction. This prevents the counselee from rambling on once a topic has been thoroughly discussed. It clarifies what has been said and stimulates further discussion. The leader may summarize the content and feeling of the counselee’s statements at various times during the counseling session. Summarizing is helpful: • When a topic has been exhausted. • When the subordinate tends to ramble. • When planning steps are appropriate. • To check that the leader understands what was said.
• Interpreting. This is similar to summarizing except the leader gives the subordinate a new frame of reference or way of looking at something. Its purpose is to develop a total picture of the problem so the counselee can view the problem differently than before. The leader may suggest how others may view the situation. It is hoped that the counselee will better understand the nature of the problem and be able to deal with it.
• Informing. This is giving information that may help or change the subordinate’s views. The information may have come from what the subordinate has just said. The counselee can also be confronted with information provided by the counselor. The information may be needed by the counselee to continue or may be in answer to something he has asked the leader. Informing can also be used to show the subordinate his behavior may lead to further conflicts, trouble, and confusion.
• Confronting. This technique openly presents the discrepancies between the counselee’s thoughts, feelings, and actions. This is not a put-down, but rather, a formal confrontation, which assists in examining the defenses counselees use to avoid facing their problems. It helps to identify contradictions, rationalizations, excuses, or discrepancies. The counselor must convey non-judgmental, accepting attitudes when confronting the subordinate. Effective confrontations present the discrepancy between the counselee’s message and actions. Ineffective confrontation is accusatory, disapproving, and judgmental. This technique is quite appropriate when contradictions between the counselee’s statements and actions are evident. For example: • A person claims it’s important to be physically fit, but is 20 pounds overweight. • A supervisor proclaims his/her interest in subordinates, but never takes time to answer their questions or help them when necessary.
252 • A contradiction between what the client says and apparently feels • A person acts angry and upset, but says he/she is feeling fine.
Guiding
• Guiding skills can add structure and organization to counseling. A leader uses problem-solving and decision-making skills to help the subordinate reach a solution. It is relatively simple to use these skills when using the directive approach. It is not so simple to guide the counselee through the process of examining the situation, setting a goal, and then figuring out how to reach it. The counselee should be led through the stops in such a way that he/she figures out what needs to be done.
INTERVENTION APPROACHES
e must make a clear distinction between situations in which a supervisor must intervene and those in which the supervisor may intervene or refer the client to Wanother source of assistance. Considering the situations the supervisor must intervene, it’s important to recognize it is part of the supervisor’s job to be responsible for the quantity and quality of subordinate production. It logically follows that the supervisor should intervene in job-related problems. This is the “must” intervention and was studied in Corrective Supervision. On the other hand, when a subordinate is productive at work but is experiencing personal problems, the supervisor may not have a clear-cut reason to intervene. The decision to intervene normally depends upon whether the supervisor has information that may be helpful or because the supervisor would like to help. These situations are the “may” or “can” interventions. It’s important to distinguish between “must” and “can” interventions because the degree of supervisory involvement and responsibility is quite often proportional to the degree to which the problem affects the job. This does not mean that a supervisor is unconcerned about personal problems but the supervisor may or may not always be the most appropriate person to intervene in their solution. Other individuals or support activities such as the base chaplain or social actions office, may be better equipped to assist with personal or family problems.
252 Counseling and Practicum 253 THE COUNSELING PROCESS
he process consists of four stages: identify the need for counseling, prepare for counseling, conduct counseling, and follow up. TIdentify the need for counseling. Aside from organizational policies which may dictate when a counseling session must be done, you may conduct a session when the need arises such as developing the subordinate. This consists of observing the performance, comparing it to a standard, and then providing feedback in the form of counseling.
Prepare for counseling. To prepare for counseling, do the following as much as possible: select a suitable place for the type of counseling you’ll be conducting, schedule the time, notify the subordinate well in advance, organize your information, outline the session components, plan your strategy, and establish the right atmosphere. You wouldn’t want to counsel someone on a personal problem with other people around. Do it in private as much as possible. Make the time conducive to both of you. Ideally, you don’t want to rush the session. If you are short on time, reschedule the session if possible. Let the subordinate know in advance on what you want to see them about. This helps alleviate their stress and may allow them to prepare as well. • Organize information. Solid preparation is essential to effective counseling. Review all the pertinent information you may have. Remember, you are asking to see them--so you know why the session is taking place. Focus on specific objectives and attainable goals. Outline the session using information obtained. Determine what to discuss during the session. Note what prompted the situation, what you aim to achieve, and what your role is as counselor. Ask yourself questions the counselee may ask you so you can be prepared. • Plan the session. Decide which approach you are going to use--directive, nondirective or eclectic. The reason for the session will largely dictate your answer. Remember, you may use all three types during the session. • Establish the right atmosphere. This helps promote two-way communication. If possible, offer the subordinate a seat and possibly something to drink. Try to sit in a chair facing the subordinate and not remain behind your desk. However, if the situation is such that directive counseling will be used entirely, staying behind your desk might be the best location which enhances your authority.
Conduct the session. Be flexible! Good leaders take advantage of naturally occurring events to provide subordinates with feedback. Even when you haven’t had the chance to prepare for a formal counseling session, you should follow these components: open the session, discuss the issues, develop a plan of action, and record and close the session. Ideally, a session ends with the subordinate’s commitment to a plan of action.
254 • Open the session. You should state the purpose of the session and establish a subordinate-centered setting. For example, an appropriate statement might be, “The reason I need to talk to you is because your duty performance hasn’t been meeting standards.” You both need to understand the issues. You do this by letting the subordinate do most of the talking. Use active listening, responding, and questioning. Be specific about the issue as much as possible. • Develop a plan of action. This plan identifies a method for achieving a desired result. It specifies what the subordinate must do to reach the goals set during the session. It shouldn’t end with, “I’ll study harder next week.” Rather, “Next week I’ll study three hours a day and focus on the samples of behavior.” • Record and close the session. It is really up to you how you document the session. The important thing is to capture the crux of the session and the plan for resolving the situation. • Follow up. Be sure to observe and document relevant events after the session. Determine if the desired results are being achieved. Reengage with the subordinate on the progress of the action plan.
COMMON COUNSELING ERRORS
ffective leaders avoid common counseling mistakes. Ineffective leaders dominate the session by talking too much, giving unnecessary or inappropriate advice, Enot truly listening, and projecting personal likes, dislikes, biases, and prejudices onto the individual. You should also avoid making rash judgements, stereotypes, loss of emotional control, and being inflexible in your methods. Remember, every situation is different and requires different methods. There is no “one size fits all” counseling method. As a counselor, you must also realize when the session and situation is becoming more than you can handle. As much as you’d like to help the person, you are not a marriage counselor or a mental health professional. When you come into a situation that requires that kind of expertise, you must use a referral agency.
REFERRAL AGENCIES
The purpose of the referral should be clearly understood by the counselee. The counselor should describe as clearly as possible what may be expected from the referral resource and why the problem is being handled this way. Often a personal note or a telephone call to the agency can serve as an introduction for the counselee. This personal interest isn’t only courteous; it also serves as psychological support. The following referral agencies
254 Counseling and Practicum 255 can provide invaluable assistance in helping to resolve personal problems. The coverage is intended to be neither comprehensive nor fully definitive. The purpose is to acquaint you with the agencies and their functions and to encourage you to use them when necessary.
American Red Cross. The American Red Cross supports and supplements Air Force activities that affect Air Force personnel, and their family’s, health, welfare, recreation, and morale. The Red Cross: • Obtains reports for Air Force members and their commanders to assist in making decisions concerning emergency leave and extension of emergency leave. • Provides supplementary reports to the commander having final authority when he/she needs specific additional data to make decisions involving deferment, humanitarian reassignment, and dependency discharge. • Consults with and guides Air Force personnel and their dependents on personal and family problems. • Helps to provide information on various community resources that are available for legal aid, general medical care, or employment. • Makes grants or loans, on the basis of need, for travel and maintenance expenses of Air Force personnel due to an emergency in the immediate family that requires the member’s presence (leave and financial aid must be approved by member’s commander before the Red Cross will make the grant or loan). • Makes loans or grants needed for basic sustenance when allotments are delayed or interrupted or when emergency needs arise. • Helps Air Force personnel and their families communicate with one another in emergencies.
Personal Affairs Branch (Military Personnel). The Personal Affairs Branch provides information concerning: • Survivor assistance to the dependents of deceased service personnel. • Retirement and separation rights and benefits. • Insurance policies, companies, and salesmen.
Mental Health Clinic. Refer to the clinic for: • Adjustment problems. • Evaluation for administrative boards or hospitalization.
Base Inspector General. The Base Inspector General investigates complaints of military personnel and their dependents. Every effort should be made to solve problems within the unit prior to referral to the base inspector. The base inspector general is responsible for handling problems concerning:
256 • Allegations of forced payments of donations, memberships, etc. • Disciplinary matters involving mass punishment, cruel or unusual punishment. • Duties when inequities, partiality, or discrimination is claimed. • Inadequate or too restrictive living conditions. • Quantity and quality of food in dining halls. • Discrimination.
Office of the Staff Judge Advocate. Refer to the Office of the Staff Judge Advocate for: • Advice and assistance on cases where punishment under the Uniform Code of Military Justice is indicated. • Advice on problems involving civil law. • Tax problems. • Wills and powers of attorney. • Claims involving damage to household goods during transit and storage, and damage to private property by military personnel.
Chaplain. Refer to the chaplain for problems involving: • Marriage. • Conscience or a need for moral or spiritual motivation. • Religion. • Adjustment to service; e.g., homesickness.
Conclusion
Counseling is a crucial skill for every supervisor. It allows and encourages the supervisor to get to know his or her subordinates. When done correctly, counseling can greatly enhance a supervisor’s ability to help subordinates work through problems and become self-reliant. If counseling is done incorrectly, it can greatly compound the problem. If you cannot handle the situation, find someone who can rather than making matters worse. This lesson reviewed the basics a leader needs to be an effective counselor and has laid the foundational knowledge in the art of counseling. However, developing and refining these counseling skills only comes from practice. The bottom line is that as an Air Force officer you will probably be tasked with counseling subordinates many times in your career. Consequently, it would benefit you tremendously to get the practice now, instead of being caught off-guard and lacking the adequate counseling skills when you need them most.
256 Counseling and Practicum 257 ______Bibliography: 1. AFPAM 36-2241, Professional Development Guide, 1 October 2013. 2. American Red Cross, Service to the Armed Forces. http://www.redcross.org. 3. ATC SG 3AIR75100-I, Basic Counseling, Maxwell AFB, Alabama: October 1980. 4. Dyer and Vriend, Counseling Techniques that Work. Washington, D. C.: American Personnel and Guidance Association, 1975. 5. FM 22-100, Army Leadership, Washington, D.C.: Department of the Army, August 1999. 6. US Air Force Academy, U.S. Air Force Academy Cadet Handbook. Colorado Springs, Colorado: Spring 1978 edition.
258 Standards and Accountability
Cognitive Lesson Objective: • Comprehend the relationship of standards and accountability.
Cognitive Samples of Behavior: • Explain the concept of accountability as it relates to standards. • Explain the relationship between standards, accountability and the Air Force Core Values. • Predict the impact of accountability on mission accomplishment. • Given a scenario, justify the appropriateness or inappropriateness of an officer’s actions with regard to the concept of accountability.
Affective Lesson Objective: • Value the need for ethical and accountable behavior in the military.
Affective Samples of Behavior: • Actively participate in discussion on standards and accountability as presented in classroom examples. • Respond positively to the need for all Airmen to hold themselves and others to the highest standards.
259 Standards and Accountability 259 “Air Force leaders failed in their leadership responsibilities… failed to establish adequate procedures… [which] are central to revitalizing a culture of accountability and responsibility.” - From the “Report of the Secretary of Defense Task Force on DoD Nuclear Weapons Management” (released September 2008)
INCIDENT SUMMARY -
BLACKHAWK ACCIDENTAL SHOOTDOWN
n April 1991, the President and Secretary of Defense directed US forces to conduct Operation PROVIDE COMFORT (OPC). Consequently, the U.S. Commander-in- IChief, Europe (USCINCEUR) directed the creation of a Combined Task Force (CTF) to conduct operations in northern Iraq. Coalition air forces from Turkey, France, the United Kingdom, and the United States have continued to conduct air operations in a Tactical Area of Responsibility (TAOR) north of 36 degrees north latitude in Iraq. These operations, which have served as a symbol of coalition resolve and as a deterrent to Iraqi military encroachment into a United Nations-established security zone in northern Iraq, were conducted without a major accident until April 1994. As stated by General Shalikashvili, Chairman of the Joint Chiefs of Staff: “For over three years, the pilots and crews assigned to Operation PROVIDE COMFORT flew mission after mission, totaling well over 50,000 hours of flight operations, without a single major accident. Then, in one terrible moment on the 14th of April, a series of avoidable errors led to the tragic deaths of 26 men and women of the American Armed Forces, United States Foreign Service, and the Armed Forces of our coalition allies. Characterizing the accident as “a tragedy that should never have happened,” Defense Secretary William Perry promised the families of those killed in the accident that their deaths would not be in vain.
Background
Since Operation PROVIDE COMFORT began, coalition aircrews have flown daily missions over active Iraqi air defenses to guard the over 50,000 Kurdish refugees within the United Nations-designated security zone. Iraqi forces have tested coalition resolve by probing the no-fly zone with Iraqi aircraft, illuminating coalition aircraft with “fire control” radars, and firing on friendly forces. Coalition forces have responded by shooting down an Iraqi Mig-23 and by bombing Iraqi antiaircraft artillery and surface-to-air missile sites. Even with these firm responses to Iraqi violations, Iraqi forces continue to harass Kurdish refugees within the security zone and to sabotage UN relief trucks. In December 1993, coalition personnel were fired upon as they left their support base in Zakhu. In March 1994, Saddam Hussein publicly stated that he would be “forced to take other means” in response to renewed United Nations sanctions. As recently as April 1994, a female
260 civilian journalist employed by a French news agency was murdered in northern Iraq. These and other events have increased tensions in the area as coalition aircrews and ground personnel continually operate at a high state of readiness.
Synopsis of the Accident
At approximately 0730L time in Turkey, an E-3A AWACS aircraft departed Incirlik AB on its assigned mission: to provide airborne threat warning and air control for all Operation PROVIDE COMFORT aircraft operating inside the TAOR. As normal operations directed, the AWACS was the lead aircraft and would fly the first of the 52 sorties scheduled for that day’s operations. The AWACS proceeded to its assigned air surveillance orbit located on the northern border of Iraq. The crew included a mission crew commander (who supervises all controllers) and a senior director (who supervises all weapons controllers). The mission crew commander had limited experience and was not currently qualified because he had only flown one sortie in the past three months. The weapons controllers included an en route controller (responsible for clearing OPC aircraft in and out of the TAOR) and a TAOR controller (who controls OPC aircraft inside the TAOR). Also on board the AWACS was an airborne command element (ACE), a Combined Forces Air Component Commander (CFACC) representative who works directly with both the mission crew commander and the senior director. OPLAN 91-7 directed that the ACE “will be aboard [AWACS] to serve as the representative of the CFACC for time critical decisions.” However, according to CFACC testimony, the ACE had no decision-making authority. The two UH-60 Blackhawk helicopters took off from Diyarbakir at approximately 0820L. Their mission was to transport passengers and cargo from Diyarbakir to the MCC Headquarters at Zakhu. From Zakhu, their mission was to transport the co-commanders of the MCC and other staff officers to the Kurdish towns of Irbil and Salah ad Din, Iraq, and return. The Blackhawk pilots reported to the AWACS en route controller as they entered the no-fly zone of northern Iraq at approximately 0920L. Six minutes later, they landed at Zakhu. The AWACS detected the Blackhawks shortly after its onboard systems reached operational status. The surveillance section assigned the flight a “friendly general” track symbol and a track designator. Both the senior director and the mission commander had the track symbol displayed. The en route controller acknowledged the helicopters’ entry into the TAOR. The senior director changed the Blackhawk helicopter “friendly general” symbol to a “friendly helicopter” symbol, but there is no evidence to indicate that the en route controller attempted to perform a Mode IV check on the Blackhawks as the ACO implies that the AWACS crew should. The en route controller monitored the helicopters until the IFF returns faded from AWACS coverage at approximately 0924L. The helicopters’ symbol was suspended, an action that maintained the symbol in the vicinity of Zakhu. At approximately the same time the Blackhawks were landing at Zakhu, two F-15Cs took off from Diyabakir. The AWACS en route controller identified the F-15s and maintained radar contact with them as they proceeded to the TAOR. Their mission was to perform an initial fighter sweep of the no-fly zone and clear the area of any hostile aircraft prior to entry
260 Standards and Accountability 261 of coalition forces. Following the fighter sweep, the F-15s were to establish a combat air patrol (CAP) for their defensive counter air mission. All fighter aircraft operating from Incirlik AB conduct missions in the TAOR in accordance with the standing ACO and SPINS and the daily ATO. It is the responsibility of all aircrews flying OPC missions to understand all directives governing air operations. The CFAC DO is responsible for ensuring that arriving aircrews are briefed on all aspects of the OPC flying mission. The CFAC DO provided these rules of engagement (ROE) briefings for change-outs of complete flying units, but there was no arrangement to ensure that individual replacement pilots coming to OPC were centrally briefed. Briefing these personnel was an individual squadron responsibility. Both F-15 pilots had come to OPC on temporary duty assignment rotations. Both had read the Aircrew Read File, and both had received a squadron ROE briefing. The rules of engagement provided were reduced, in briefings and in individual crewmembers’ understandings, to a simplified form. One result of this simplification was that some crewmembers were not aware of all specific considerations required prior to engagement. These considerations included identification difficulties, the need to give defectors safe conduct, and the possibility of an aircraft being in distress with its crew unaware of their position. At 0954L, the Blackhawk flight reported to the AWACS en route controller that they were en route from “Whiskey to Lima” (codewords respectively for Zakhu and Irbil). The en route controller who received their call was not familiar with the location of “Lima” and did not look it up, although materials to do so were available. At that time, the en route controller reinitiated the helicopter track symbol. According to directives, the TAOR controller was responsible for controlling aircraft inside the TAOR. However, neither the en route controller nor the senior director instructed the Blackhawk helicopters to change from the en route radio frequency to the TAOR frequency, which was being monitored by the TAOR controller. To compound the situation, the Blackhawks were squawking the wrong Mode I code (no changeover from en route code to TAOR code); but there is no evidence that either the en route controller or the senior director told the helicopters that they were still “squawking” the Mode I for outside the TAOR. Even so, the “H” symbol assigned to the Blackhawk flight was regularly displayed on the senior director’s radarscope from 0904 until 1011L. Interviews with helicopter pilots assigned to the Blackhawk unit revealed that they were not aware that the ATO specified separate transponder Mode I codes for operating inside versus outside the TAOR. In fact, they had routinely flown in the TAOR using the Mode I code designated for use outside the TAOR. “Normal ops” for the Blackhawks was to use the Mode I code, and AWACS had not pointed out the incorrect procedure on previous flights. There is nothing to indicate that the correct code and procedure were briefed on the morning of the accident. At approximately 1011L, the Blackhawk flight entered mountainous terrain at low altitude and faded from AWACS radar and IFF coverage. At that point the controller suspended the helicopters’ track symbol, which caused the computer to move the symbol based on the last available heading and airspeed information. Unfortunately, the en route
262 controller, who had not transferred control of the flight to the TAOR controller, did not note the heading and speed the flight was following to point “Lima”; nor did he identify the flight path the helicopters had reported they would follow. At approximately 1013L, the air surveillance officer designated the Blackhawks’ last known location on the senior director’s radarscope by placing a computer-generated “attention arrow” to point out the area of interest. Even though a blinking alert light accompanied the arrow, the senior director did not acknowledge. Sixty seconds later, the arrow, and light were automatically dropped from the scope. The F-15 flight lead reported entering northern Iraq to the AWACS TAOR controller at approximately 1020L. Since the ATO did not contain any detailed information on the Blackhawk helicopters and the AWACS TAOR controller had not advised the fighters of friendly activity in the area, they had no knowledge of the helicopters. Although several independent sources aboard the AWACS had knowledge and visual display of the Blackhawks, no one informed the F-15 pilots of their presence. Unfortunately, the en route controller dropped the Blackhawk symbol--the only visual reminder to the AWACS crew that the Blackhawks were in the TAOR--from the radarscopes at 1021L. At approximately 1022L, as the fighters began their TAOR “sweep,” flight lead reported a contact to the TAOR controller. The TAOR controller had no radar return or IF replies from that location. Moreover, neither the mission crew commander nor the senior director aboard the AWACS directed the weapons or surveillance sections to locate and identify the reported contact. Meanwhile, the F-15 pilots attempted to identify the contacts by electronic means but were unsuccessful. They initiated an intercept to investigate. At approximately 1023L, the AWACS received intermittent IF signals from the helicopters in the area where the F-15 pilot had called his contact. Simultaneously, the “H” character also reappeared on the senior director’s radarscope. Clearly, the Blackhawks were squawking the same IF Mode I and II codes that they were squawking before the AWACS lost radar contact at approximately 1012L. However, AWACS personnel made no radio calls regarding the IF returns to the fighters, even though the returns increased in frequency and remained on the display without interruption from 1026L to just before 1028L. When the F-15s, now at approximately 20 NM from the helicopters, reported another contact, the TAOR controller responded with “Hits there,” which means corresponding contacts. However, a replay of the AWACS magnetic tape recordings clearly shows “IFF paints,” rather than “hits,” at the reported location (a “hit” describes a radar return; “paint” describes an IFF reply). At 1026L, the Blackhawk helicopters’ IFF returns were clearly visible, along with intermittent radar returns on the AWACS radarscopes. Nevertheless, at 1028L, the en route controller initiated an “Unknown, Pending, Unevaluated” track symbol in the area of the helicopters’ returns and attempted an IFF identification. By this time, the F-15 flight lead had closed to within 5NM of the helicopters and visually detected a single helicopter. As the fighters began to close for an identification pass, no one aboard the AWACS attempted to determine specific IFF aircraft identification or to do a Mode IV check on the helicopters. The “H” character previously attached to the helicopters’ IFF return was still present on the senior director’s radarscope.
262 Standards and Accountability 263 At approximately 1028L the F-15s made a visual identification pass (VID) at 450 knots indicated airspeed, approximately 1,000 feet left and 500 feet above the Blackhawks. The lead F-15 pilot visually misidentified the Blackhawks as Iraqi Hind helicopters. The F-15 wingman saw the two helicopters but did not positively identify them as Hinds. [NOTE: AFR 110-14, Aircraft Accident Investigation - Report of Investigation, further stated the accident pilots’ fighter squadron last conducted formal, visual recognition training in December 1993. The training in 1993 included viewing 35 mm slides of friendly and enemy helicopters. The accident pilots stated that the majority of the helicopter slides used in their training were from ground level looking up, and showed either the front or side of the helicopter. Differences between friendly and hostile helicopter camouflage and color schemes were not discussed during the squadron’s training. The accident pilots may not have been aware that Iraqi Hind helicopters had a different color scheme (light tan and brown camouflage) from that of the U.S. Blackhawk helicopters (dark green and black camouflage.) The lead pilot stated he had never seen a Blackhawk helicopter with the wings and auxiliary tanks attached. The wingman stated that he had never seen a photo of a Blackhawk with the wings and auxiliary tanks attached. One of the squadron’s visual training slides at home station depicts a Blackhawk helicopter with the wings and auxiliary tanks attached. It could not be determined if either of the accident pilots had ever viewed that slide]. At this time, the F-15s and the Blackhawks were too close together for the AWACS crew to identify separately. The F-15 flight lead again reported “two Hinds” and the TAOR controller responded, “Copy Hinds.” [NOTE: AFR 110-14, Aircraft Accident Investigation - Report of Investigation, further stated that the flight lead started a right- hand climbing turn to set up an oval racetrack pattern behind the helicopter, he saw a second helicopter in trail. As the flight lead passed above the helicopter in the climbing right turn, he referred to his in-flight visual recognition guide and determined that the helicopters were “Hinds” as he had first reported. He transmitted “VID Hind, Tally 2, lead-trail.” The flight lead then transmitted, “Tiger 2, confirm Hinds?” The F-15 wingman replied, “Standby.” The wingman conducted a VID pass (approximately 2,000 ft. right) of the trailing helicopter, but did not confirm the identification. In response to the flight lead’s radio call, the wingman responded “Tally 2.” The wingman testified that he intended this call to indicate he saw two helicopters. The F-15 flight lead understood his wingman’s transmission to mean that he confirmed the identification. The AWACS TAOR controller said, “Copy Hinds.”] The F-15 lead flew to a position approximately 5-10 NM behind the helicopters and called “Engaged” to AWACS, indicating his intention to attack the helicopters. He also told his wingman to “Arm Hot” and proceeded to brief the engagement--he would shoot the trail helicopter and the wingman was to shoot lead. There is no indication that the AWACS senior director, the mission crew commander, or the ACE made any radio calls throughout the intercept or that they issued any guidance to either the AWACS or the F-15 pilots. At 1030L the F-15 flight lead reported they had “splashed” two Hind helicopters.
264 Conclusion
Immediately following the engagement, the F-15 pilots flew two visual “recce” passes over the crash site. Nothing could be identified except burning debris. Following an air refueling with a KC-135 tanker, the fighters resumed their defensive counter air mission for another 1.5 hours, then returned to Incirlik AB at 1300L. Shortly after 1100L, the JSOTF operations officer at Incirlik received initial notification from CTF C2 of an accident allegedly involving Hind helicopters and that the location of the Blackhawk flight was unknown. The JSOTF directed their response force at the MCC (forward) to prepare to launch a search and rescue (SAR) team. Following the intercept, the AWACS crew had continued their routine mission. At approximately 1130L the CFAC ground-based mission director called the ACE, onboard the AWACS, to report that the Blackhawks were unaccounted for. At around 1214L, the CFAC ground-based director instructed the ACE to find the Blackhawks and confirm good radar contact with them. Unable to locate the Blackhawks, the AWACS departed the TAOR and landed at Incirlik AB at 1915L. At 1315L, Kurdish civilians notified MCC (forward) of the crash site location of two U.S. helicopters that had been shot down. Immediately, the CTF gave the authorization to launch the SAR force. Almost simultaneously, a team of Special Forces personnel and civilian interpreters departed MCC (forward) at Zakhu, by ground transportation, en route to the crash site. At 2015L, almost ten hours after the accident, the JSOTF on-scene commander confirmed to the CTF commander: U.S. Blackhawk wreckage--26 casualties, no survivors.
INCIDENT SUMMARY -
CZAR 52 CRASH AT FAIRCHILD AFB
zar 52, a B-52H assigned to the 325th Bomb Squadron, 92d Bomb Wing, Fairchild Air Force Base, WA, launched just before 1400 hours on the 24th of June, 1994. CThe mission was to practice maneuvers for an upcoming airshow. On board was a crew of four: the pilot, Lt Col Arthur “Bud” Holland, co-pilot Lt Col Mark McGeehan, navigator Lt Col Ken Huston, and safety observer Col Robert Wolff. These men were key figures in the operation of the 92d Bomb Wing. Lt Col McGeehan was the Commander of the 325th Bomb Squadron; Lt Col Huston was his Operations Officer. Lt Col Holland was an instructor pilot and the Standards and Evaluation Officer for the 92d Bomb Wing. Col Wolff was the Vice Wing Commander. Col Wolff was added at the last minute by Col Brooks, the Wing Commander. This was to be Col Wolff’s “fini- flight” - his last flight before he left the Air Force; his family and friends were waiting for him on the flightline with champagne for a toast.
264 Standards and Accountability 265 Maj Tony Kern’s study “Darker Shades of Blue: A Case Study of Failed Leadership” summarizes the events of Czar 52 as follows: “The aircrew had planned and briefed a profile, through the Wing Commander level, that grossly exceeded aircraft and regulatory limitations. Upon preparing to land at the end fo the practice airshow profile, the crew was required to execute a “go-around” or missed approach because of another aircraft on the runway. At mid-field, Czar 52 began a tight 360 degree left turn around the control tower at only 250 feet altitude above ground level (AGL). Approximately three quarters of the way through the turn, the aircraft banked past 90 degrees, stalled, clipped a power line with the left wing, and crashed. Impact occurred at apprximately 1416 hours PDT. There were no survivors.” Lt Col “Bud” Holland was flying the aircraft at the time of the incident. He was thought by many senior leaders to be one of the most experienced and best B-52 pilots in the fleet. However, significant animosity existed betweenBud Holland and his co-pilot, Lt Col McGeehan, over Lt Col McGeehan’s unsuccessful efforts to have Lt Col Holland grounded for numerous violations of air discipline spanning a period of three years. Evidence of this negative activity was found in complaints by other crewmembers, maintenance problems from over-stressing or exceeding aircraft limitations, and stories of Lt Col Holland’s accomplishments and plans that circulated throughout the wing. At the time of the accident, however, there was no record of disciplinary actions taken against Lt Col Holland for any of these air infractions. Some of this failed documentation was later attributed to numerous changes in leadership within the 92d Bomb Wing over that three year period. Lt Col McGeehan, concerned about Lt Col Holland’s flying and the leadership’s unwillingness to do anything about it, had ordered his subordinates not to fly with him and told them that “if anyone had to fly with him, he would.” The crash of Czar 52 was merely the last incident in a chain of poor performance by Lt Col Holland. The lessons to be learned from the crash have nothing to do with Lt Col Holland’s performance, or the aircraft’s capabilities. Leadership failed Lt Col Holland by failing to hold him accountable; as a result, lives were lost in a needless accident. When any airman feels that the rules do not apply to them, and leadership does nothing to correct that assumption, we as leaders fail all of our airmen. The significance of this case study, according to Maj Kern’s “Darker Shades of Blue,” is that: “It is a compliation of tendencies that are seen throughout the spectrum of our operations. Many aviators report that rules and regulations are “bent” on occasion, and some individuals seem to be “Teflon coated” because their mistakes are ignored or overlooked by their supervisors. Most honest flyers will readily admit to operating under different sets of rules depending on the nature of the mission they are about to fly...This often leads to a confusing mental state for young or inexperienced flyers, who see ever- increasing “shades of gray” creeping into their decision-making process.”
266 INCIDENT SUMMARY -
NUCLEAR STEWARDSHIP IN THE AIR FORCE
“No breach of nuclear procedures of this magnitude has ever occurred previously.” - Sen. Carl Levin (D-Mich.), Chairman of the Senate Armed Services Committee
12 February 2008
he official report on the “Bent Spear” incident of 29 August 2007, when a B-52 bomber inadvertently transferred cruise missiles with nuclear warheads from TMinot AFB, ND to Barksdale AFB, LA, remains classified. However, what follows is a brief unclassified summary from the Defense Science Board Permanent Task Force on Nuclear Weapons Surety report dated February 2008. “The movement plan identified two pylons of nuclear-inert missiles to be transported by tactical ferry on 30 August 2007. Subsequently, personnel of the Minot Munitions Maintenance Squadron changed the plan to prepare and transport a pylon of missiles closer to expirations dates...in lieu of one of the planned pylons of missiles. That change was reflected on the movement plan but not on the documents produced from the internal work coordination process at Minot. The documents produced from this process are used in daily operation and they continued to list the originally scheduled two pylons of weapons. As a consequence, one of the originally scheduled pylons of cruise missiles had not been prepared for tactical ferry. When the breakout crew accessed the storage facility, they did not properly verify the status of the weapons in the facility as required by established procedure and they failed to note that the missiles on one of the pylons on their internal work document still contained nuclear warheads. “Although procedure requires three subsequent verifications (by three different groups) of the payload installed in the cruise missiles, those procedures were not followed. The weapons were then flown to Barksdale and downloaded from the aircraft. The convoy crew at Barksdale, following the proper procedure, determined that the missiles on one of the pylons contained nuclear warheads.”
Report Findings
• Over time, nuclear weapons movement procedures were compromised for the sake of expediency, without review or approval above the wing level • Confusion created by storing nuclear weapons with non-nuclear weapons and parts
266 Standards and Accountability 267 • Previous inspections failed to detect changes in processes and procedures • Nuclear mission as a whole has declined in visibility and oversight
Resulting Disciplinary Actions
• 7 officers, including Wing Commander, Ops Group Commander and Maintenance Group Commander at Minot AFB, were removed from their positions • Approximately 90 personnel were temporarily decertified from working with nuclear weapons • 13 airmen were administered UCMJ action • 15 airmen were administratively removed or affected by the incident • Secretary of the Air Force Michael Wynne and Chief of Staff of the Air Force General T. Michael Moseley were asked to resign
Headline News - What the World Saw
The following headlines relate to a series of events from August 2006 to the present day, regarding the well publicized shortfalls in the Air Force in its handling of nuclear weapons. Sep 5, 2007: Reuters – “U.S. Bomber mistakenly flies with nuclear weapons” Sep 5, 2007: Associated Press – “Air Force official fired after 6 nukes fly over U.S.” Sep 5, 2007: USA Today – “Commander disciplined for nuclear mistake” Sep 6, 2007: CNN – “Air Force investigates mistaken transport of nuclear warheads” March 26, 2008: Washington Post – “Nuclear Parts Sent to Taiwan in Error” March 26, 2008: New York Times – “U.S. Sent Missile Parts to Taiwan in Error” May 31, 2008: Washington Post – “AF Nuclear Weapons Security is Unacceptable” June 5, 2008: Air Force Times – “Moseley, Wynne to be asked to resign” June 6, 2008: Los Angeles Times – “Defense Secretary Robert Gates fires Air Force’s top 2 officials” June 6, 2008: USA Today – “Nuclear mishaps lead to Air Force resignations” July 25, 2008: Air Force Times – “Minot’s latest alarm: napping with launch codes” Dec 17, 2008: European Stars and Stripes – “Report: Wyo. Unit Fails Nuke Security Inspection”
268 July 15, 2009: Associated Press – “AF Boots Sleeping Missile Crew” October 30, 2009: Associated Press – “Minot Air Force base commander fired”
Adapted from “Air Force Relieves Commanders Involved in Nucle- ar Weapons Incident”
Armed Forces Press Service, 19 October 2007, by Fred W. Baker III The series of procedural errors at Minot AFB began at the start of the morning that the pylon – six missiles packaged together for loading – was to be transported. First, crews did not inspect all of the pylons in the weapons storage area. Then, the crew hauling the pylon by trailer to the aircraft failed to inspect the missiles. The Minot mission control center failed to verify the status of the pylons in a database. And finally, the B-52 crew navigator did not check the missiles, which were loaded on the left wing ready for transport. The navigator did check the pylon loaded on the right wing, which was correctly disarmed. The pylon carrying the wrong weapons was never inspected. The B-52 landed that morning at Barksdale AFB, where munitions handlers followed correct procedures, discovered the error and notified officials. Relieved from duty after a six-week investigation were Col Bruce C. Emig, 5th Bomb Wing commander at Minot Air Force Base, Col Cynthia M. Lundell, the 5th Bomb Wing’s maintenance group commander, and Col Todd C. Westhauser, 2nd Operations Group commander at Barksdale Air Force Base.
Adapted from “Nuclear Parts Sent to Taiwan in Error”
The Washington Post, 26 March 2008, by Josh White The Defense Department mistakenly shipped secret nuclear missile fuses to Taiwan in 2006 and did not learn that the items were missing until March 2008, Pentagon officials acknowledged, deepening concerns about the security of the U.S. nuclear arsenal. Officials with the Defense Logistics Agency (DLA) sent four nose-cone fuse assemblies to Taiwan in August 2006 instead of four replacement battery packs for use in Taiwan’s fleet of UH-1 Huey helicopters. The fuses help trigger nuclear warheads on Minuteman intercontinental ballistic missiles as they near their point of impact. “In an organization as large as DOD, the largest and most complex in the world, there will be mistakes,” said Ryan Henry, principal deputy undersecretary of defense for policy, speaking at the Pentagon. “But they cannot be tolerated in the arena of strategic systems, whether they are nuclear or only associated equipment, as was in this case.” Gates found the incident “disconcerting,” he added.
268 Standards and Accountability 269 Senior defense officials said it was almost certainly human error that led to the nose cones being shipped, and Air Force officials were concerned the classified items were placed in an unclassified area of a DLA warehouse and not properly tracked. Quarterly inventory checks over the past 18 months did not show the nose cones were missing.
Adapted from “F. E. Warren Missile Wing Fails Nuke Inspection”
Air Force Times, 16 December 2008, by Michael Hoffman The 90th Missile Wing at F.E. Warren Air Force Base, WY, failed its Nuclear Surety Inspection in December 2008 because its maintenance group did not properly document tests on its missiles. The 90th was the second nuclear missile wing and at least the fifth nuclear unit known to fail its NSI in 2008. Inspectors failed the 341st Missile Wing at Malmstrom Air Force Base, MT, in November. The Air Force’s third and only other nuclear missile wing, the 91st Missile Wing at Minot Air Force Base, N.D., received failing grades on its NSI this year from Defense Threat Reduction Agency inspectors, but passed after the Space Command Inspector General overruled DTRA. DTRA and Space Command inspectors failed the 90th Missile Wing after discovering the maintenance group had not properly documented tests done to its missiles, even leaving some tests completely undocumented. An unsatisfactory grade on any portion of the NSI fails the entire wing. The maintenance group received an unsatisfactory grade early in the inspection. The 90th’s NSI failure comes less than a year after Defense Department officials discovered the wing was involved in the mistaken shipment of ballistic missile fuses to Taiwan in 2006. Airmen at F.E. Warren shipped the fuses in 2005 to Hill Air Force Base, Utah, where they were placed in unclassified storage after being misidentified as helicopter batteries because of wrong labels and classifications. A year later, Hill airmen shipped the fuses encased in ballistic missile nose cones to Taiwan. Defense Secretary Robert Gates fired Wynne and former Chief of Staff Gen. Michael T. Moseley in June for the erosion of the Air Force’s nuclear mission.
Continued Accountability Issues at Minot AFB: Bent Spear Suc- cessor Wing Commander Fired
Associated Press, 30 October 2009, by James MacPherson The military says the commander at the Minot Air Force Base has been relieved of his command. The Air Force has lost confidence in Col. Joel Westa’s ability to command the base.
270 The military says Westa was unable to “foster a culture of excellence,” and showed “a lack of focus on the strategic mission during his command.” The Air Force says he was not relieved for any alleged misconduct or wrongdoing. Westa has been the base commander since October 2007. He also commanded the base’s 5th Bomb Wing. Westa was ousted a little more than two weeks after the base’s missile wing commander, Col. Christopher Ayres, was released of his duties. That followed a series of mishaps including two crashes of vehicles carrying missile parts in a little more than a year.
GENERAL SCHWARTZ ON ACCOUNTABILITY From speech at the Air Force Association Convention, 16 September 2008
The subject of accountability is one the Air Force has struggled with in recent weeks. Recent disciplinary actions at the highest levels of leadership have captured national headlines. It gives me no pleasure to have to deal with accountability issues, but we will take action to ensure we do the right thing for our Air Force. I want to take this opportunity to reiterate the need to police ourselves and sustain Air Force organizational standards. Our role isn’t similar to other professions like the law, clergy or medicine. If you don’t care for your doctor, you can find another. If you don’t care for your pastor, you can find another. If you don’t care for your attorney, lord knows you can find another. But what happens when America finds its AF lacking? What alternative does a nation have when it has only one AF? That fundamental reality suggests a professional obligation to enforce accountability in matters large and small. I’m not suggesting confusing mistakes for misconduct…or forgetting that not every violation deserves a death sentence. But we must hold ourselves to the highest of standards without eroding the support our people provide each day through their valued service…and by doing what is right for combat readiness. This is how we take care of our Airmen, and create the conditions for Airmen to succeed in combat. Whether related to the matters outlined in the Donald Report or thousands of actions our people perform each day, healthy accountability is the foundation of our mission to fly, fight and win.
270 Standards and Accountability 271 EXCERPT FROM “SELF-EVALUATION:
A DISCONNECT IN OUR VALUES”
Col Jim Slife, USAF From Air and Space Power Journal, Winter 2008
The Little Blue Book identifies “rule following” as a critical component of service before self: “To serve is to do one’s duty, and our duties are most commonly expressed through rules. While it may be the case that professionals are expected to exercise judgment in the performance of their duties, good professionals understand that rules have a reason for being and the default position must be to follow those rules unless there is a clear, operational reason for refusing to do so.” When we…write our own [performance] reports, we are telling our subordinates that service before self is a great concept for them but that our careers are too valuable to risk trying it out on our own reports. This highlights “faith in the system,” another component of service before self: “To lose faith in the system is to adopt the view that you know better than those above you in the chain of command what should or should not be done. In other words, to lose faith in the system is to place self before service…If the leader resists the temptation to doubt ‘the system’ then subordinates may follow suit. Finally, AFDD-1 highlights the concept of duty as another component of service before self: “Airmen have a duty to fulfill the unit’s mission. Service before self includes performing to the best of one’s abilities the assigned responsibilities and tasks without worrying how a career will be affected. Professionals exercise judgment while performing their duties; they understand rules exist for good reason. They follow rules unless there is a clear operational or legal reason to refuse or deviate.” In short, if our values are to have any lasting significance to us as an institution, we must demonstrate them in our actions. Leaders…have a responsibility to do the right thing and insist that our actions are consistent with our values. We must do this to ensure that the Airmen following us will not have occasion to lose faith in the system.
______Bibliography: 1. Baker, Fred W., III. “Air Force Relieves Commanders Involved in Nuclear Weapons Incident.” American Forces Press Service, 19 October 2007. 2. Blackhawk Shoot-Down. Squadron Officer School (SOS) case study, Maxwell AFB, AL: SOS, 1996. 3. Hoffman, Michael. “F.E. Warren Missile Wing Fails Nuke Inspection.” AIr Force Times, 16 December 2008. 4. Kern, Anthony T. Darker Shades of Blue: Case Study in Failed Leadership. 1995.
272 5. MacPherson, James. “Minot Air Force Base Commander Fired.” Associated Press, 30 October 2009. 6. Schwartz, Gen Norton, Chief of Staff, U.S. Air Force. Address. Air Force Association Convention, Washington, DC, 16 September 2008. 7. Slife, Col Jim. “Self-Evaluation: A Disconnect in Our Values.” Air and Space Power Journal, Winter 2008. 8. The Defense Science Board Permanent Task Force on Nuclear Weapons Surety. “Report on the Unauthorized Movement of Nuclear Weapons” February 2008. 9. White, Josh. “Nuclear Parts Sent To Taiwan In Error.” The Washington Post, 26 March 2008.
272 Standards and Accountability 273 Effective Supervision
Cognitive Lesson Objective: • Comprehend the concept of effective supervision.
Cognitive Samples of Behavior: • Identify the five rules of supervision. • Identify tasks that shouldn’t be delegated. • Identify common mistakes made by supervisors while delegating. • Explain the four steps in delegation.
Affective Lesson Objective: • Respond positively to the importance of executing effective supervision.
Affective Sample of Behavior: • Provide examples of the benefits of effective supervision.
274 A supervisor’s words and actions have great impact on the behavior of subordinates and the responsiveness of the organization to leadership efforts. Consider the case of a second lieutenant given a task by his commander to improve the performance of his subordinates. A few months later, the subordinates had already forgotten everything the lieutenant had discussed with them during their first meeting. Except for his opening statement, they would never forget that: “I have been sent in to straighten things out around here.” At that moment, resistance to his leadership was born. If asked, many of the subordinates could probably have suggested changes to improve the organization. However, the lieutenant didn’t ask. He told them, and they resisted every change he sought to introduce. Your success as a leader will depend on your skill as a supervisor. Your supervisory skills, in turn, depend on how well you learn and apply key principles of supervision. Remember the difference between a boss and a leader: a boss says, “Go!”- -a leader says, “Let’s go!” E.M. Kelly As an officer, you’ll be charged not only with managing your section, but also supervising your people. We should first distinguish between these two functions. The Air Force definition of management, which you encountered in Management Functions and Principles, is broad-- “the process of organizing and using resources to accomplish predetermined objectives.” The term “supervision” is a specialized function within this overall objective. Insofar as you consider your personnel as material cogs in the functioning of a unit, you are a manager, but as you deal with them as differentiated human beings, you are a supervisor. As one writer succinctly put it, “We manage things, we supervise people.” This distinction is important because material resources and human resources differ fundamentally. A gun, a tank, or a typewriter is designed to reach a certain level of performance. With proper maintenance and use, machines will not fall short of this level nor will they ever exceed it. Human resources, on the other hand, have no pre-engineered performance level, in speaking of the great variability of human achievement, we must use the vague term “potential.” Unlike a machine or a robot, human workers can excel. Under the proper circumstances, they can achieve virtually unlimited development. Thus, “human maintenance”--i.e., supervision--is a very different task from mechanical or managerial maintenance. In a time of budgetary constraints, the Air Force recognizes the importance of effective supervision in tapping our great human potential. To this end, our managers must also become effective supervisors.
274 Effective Supervision 275 DEFINITION
upervision means literally, the “overseeing” (not the “overlooking”) of people within a work unit, with the purpose of achieving maximum productivity through them. SFor a supervisor to “oversee” people implies not only a power relationship (i.e., the OIC is “over” people; the supervisor as boss), but also a knowledge relationship. If the hierarchical organization is a pyramid, the person at the top sees more by virtue of that vantage point. The supervisor is able to take in the whole of the section’s integrated mission, as well as observe each person’s contribution to that mission. However, the supervisor’s task doesn’t end here. The supervisor communicates what he/she sees to his/her subordinates. Unfortunately, many otherwise skilled managers neglect the second of these tasks, assuming that their people know all they need to know for the performance of their jobs. However, this isn’t the case. A bad supervisory relationship is usually marked by a breakdown of communication between the supervisor and subordinates, resulting in frustration, confusion, and lower productivity.
FIVE RULES OF SUPERVISION
The following five rules are offered as general guidelines for improving your performance as a supervisor.
1. Get involved. Supervision isn’t an armchair occupation, nor does “getting involved” mean running your section “by decree” from a closed office. It means getting out and understanding the day-to-day operation firsthand. It means knowing your people as individuals and being known by them. Real involvement on the part of the supervisor reaps two advantages. First, it will provide you with knowledge about your section that is unobtainable any other way. Secondly, frequent interaction with your people promotes what managerial experts call a “therapeutic climate”--the supervisor demonstrates concern for the workers’ daily performance, rather than taking it for granted. Visible and personal involvement by the supervisor builds morale and a sense of cohesion within the entire section. This forms a substantial base for a productive supervisor- subordinate relationship. 2. Open channels of communication. Effective communication probably won’t occur unless you, as supervisor, take active steps to open channels between yourself and your subordinates. To be effective, communication should travel in both directions-- from the bottom up, as well as from the top down. Most important, you must create situations in which frank communication is possible and likely to occur. Here are some effective practices: -- Schedule meetings for the entire work center. The frequency may vary, depending on the type of organization, and they don’t need to follow a regular schedule. Whatever the case, these meetings should be inclusive. -- Invite suggestions, and use them whenever possible.
276 -- Be available for discussions. Have an open door policy. Open communication within an organization tends to bind the group more closely into a cohesive unit. Instead of working in isolation, people feel they’re part of a group with common goals. Some situations, of course, may demand that you act decisively without prior consultation. In any case, you should at least ensure that your people understand the decision making process, rather than perceiving it as something inexplicably imposed from above. Share your view from the top--it’s one of your primary responsibilities as a supervisor.
3. Give your people a chance to develop. Human beings, unlike machines, are inherently dynamic. They work best in situations where they can develop themselves, rather than simply repeat a static routine. Allowing for and promoting worker development is a key to effective human relations. Be sensitive to individual differences in your people. Tailor their duties and their training to match their respective capacities. People, doing outstanding work or who demonstrate superior capacity, should be challenged with tasks that are more responsible. As a supervisor, you’ll be responsible for providing a graduated challenge to the people in your section, as well as keeping track of their long-term training and development. To do this requires great sensitivity and flexibility on the part of the supervisor. Rigid formalism and mindless adherence to work routines are the great barriers to a dynamic work environment; while the results may be adequate, such practices will result in stagnation and discontent. For example, know the promotion and testing requirements of the enlisted people in your section. An enlisted member may work in the Mobility section, but, as a part of upgrade training, may have to take Career Development Course (CDC) tests over several areas of the logistics career field, not just mobility. It is important to rotate your people through many jobs within the section to give them experience in various aspects of their career.
4. Establish standards and stick to them. A major part of your job as supervisor will be to evaluate the people in your section. Since all evaluations must be based on some standard of judgment, the supervisor should communicate job performance standards to the workers at the outset. At the earliest opportunity, meet with each person (individually, if possible) and spell out exactly what you expect. Be forthright-- workers are entitled to know the standards upon which they’ll be judged. Once you’ve established and explained a framework for evaluation, stick to it. Don’t introduce new categories unknown to the worker along the way. Workers who feel the “rules of the game” have changed without their knowledge tend to become confused and discouraged in their work. Ensure that the standards you set are clear, comprehensible, and firmly adhered to. 5. Provide feedback. Feedback is communication between supervisor and subordinate, intended either to correct substandard performance or reinforce superior performance. Besides establishing standards, providing people with feedback on their work is an essential step in evaluating your personnel.
276 Effective Supervision 277 To be effective, your feedback must be timely and specific. The time to let people know how you rate their work is as they do it, not just in a formal annual evaluation. If you observe deficiencies in a worker’s performance, you should give the person an opportunity to correct these deficiencies. Make your criticism as specific as possible. Don’t deliver a general condemnation and leave the worker wondering exactly what went wrong. The supervisor should offer feedback as corrective criticism. Its objective should be to improve performance, not punish transgression. Unfortunately, many supervisors are reluctant to give negative or corrective feedback for fear any adverse comments on their part might cause discontent and lower morale. Yet, as understandable as these motives are, studies show that any feedback (positive or negative) results in higher morale and productivity among workers than no feedback whatsoever. Even negative feedback, so long as it’s offered as constructive criticism, and clarifies a worker’s understanding of job performance requirements, will result in improved morale and productivity. Withholding negative feedback hurts everyone concerned--it hurts the worker who isn’t given a chance to correct poor performance, and it hurts the organization because you are tolerating substandard work. Frequent, well-intentioned feedback builds a “therapeutic environment” in which workers perform in their full capacity.
HOW WILL I REACT?
Recalling Situational Leadership, we discussed how Leadership styles tend to vary considerably from situation to situation. This can’t be truer than when being the effective supervisor. Being aware of the various situations and their impact on your leadership style will better prepare you to handle any situation that arises. However, what will the situations be like? A good leader will adapt his or her behavior to the mandates of the situation. Below are eight situations, together with the behaviors that are likely to be effective in dealing with them. Obviously, these behaviors cannot be mechanically fitted to each situation and you may have to combine several to meet a specific situation, but they will give you an idea of the range of behaviors available to the leader.
Situation 1. The work group encounters an emergency for which no standard procedures exist. • Appropriate Behavior: Act quickly and decisively, and announce your decision to the troops with the expectation that they will follow your instructions without question or hesitation.
Situation 2. The work group is new and minimally competent, lacking confidence in its ability to do well.
278 • Appropriate Behavior: Treat employees as though you were convinced of their ability to perform well. Be directive. Make sure that each person knows what is expected, and supervise closely. Train and coach as time permits. Be supportive, patient, and available.
Situation 3. The work group is discouraged because of a series of defeats and setbacks. It is competent and has good will. • Appropriate Behavior: Conduct a group discussion of the reasons for past failures and how to avoid them in the future. Show your confidence in the group’s ability to do well. Be alert for signs of discouragement, and move to counteract them. Give positive reinforcement of any improvement.
Situation 4. The work group’s attitudes are resentful or hostile. • Appropriate Behavior: Analyze the reasons for the attitudes. Be directive and controlling at the outset, and supervise closely. Spell out the rules of the game, making certain that everyone knows what is expected and what behavior will be rewarded or punished. Make it clear that sabotage will not be tolerated. Reward any positive change in attitude. If prudent, have a constructive group confrontation, helping the group to analyze its own attitudes and the harmful results that will occur.
Situation 5. The work group is competent but lethargic an apathetic. Productivity is lower than it should be. • Appropriate Behavior: Analyze the reasons for the apathy. Clarify objectives, expectations, and standards of performance. Monitor work closely at first. Make sure everyone knows the reward and punishment system you will employ. Model in your own behavior the importance and contribution of the work, and reinforce any improvement.
Situation 6. You were brought in from another unit to head your group. There is resentment on the part of two subordinates who hoped to get the promotion. • Appropriate Behavior: Establish your credibility by doing the job as well as possible. If the resentment continues, have a constructive confrontation with each subordinate privately. Speak well to key authority figures of the positive achievements of the work group. Get their criticisms of any important action in advance and privately. Reward any positive change in attitude. Do not think of them as enemies.
Situation 7. The work group is full of conflict and breaking down into warring camps. Group embers are competent and respect you. • Appropriate Behavior: Show clearly that you will not allow the friction to hurt production. Call the leaders of the cliques together privately and explain that you will give them a certain time span to come up with a plan to reduce the friction. Warn them that if they fail to do so, you will take unilateral action to resolve the matter. Try to act as a mediator to bring the parties together. Make it clear that
278 Effective Supervision 279 no undercutting will be tolerated. If possible, assign representatives from each group a task with joint accountability for success or failure. Reward increased cooperation.
Situation 8. The work group must cope with a radical change in the method of doing the job. Group members lack confidence and are uneasy, but are competent enough to cope with the change. They trust you and respect you. • Appropriate Behavior: Explain the reasons for the change and its advantages. Spell out just how the change will be implemented, taking time to answer doubts and questions. Make sure all employees know what is required of them and how each person relates to the others. Treat them as though you were sure of their ability to perform as expected, and get the show on the road. Monitor work closely at first, being supportive and available if they need advice or help. Reward each success promptly.
MAKING THINGS HAPPEN:
THE RULES ON DELEGATION
It has been said the most difficult part of being a leader is first learning how and when to delegate. How many times have we had something so important to accomplish that instead of handing it over to someone else, no matter how overloaded we already were, we just went ahead and completed the project ourselves? It happens more than we’d like to admit, but as an Air Force supervisor, it’s up to you to keep yourself out of the quagmire, so you can lead your troops. The following steps and suggestions are a guide to helping address the intricacies of delegation. In order to better understand the world of delegation as an Air Force supervisor we must first define delegation. Delegation is defined as: “Giving a subordinate the Responsibility, Authority, and Accountability, to complete a task.” Let’s take a look at the three key words in the definition:
1. Responsibility. This amounts to an obligation on someone’s part to complete a specific task within the organization. Basically, when a subordinate is given a specific job, they have also been given an order and therefore are obligated to complete the assigned task. But, you must keep in mind that the overall responsibility still remains with the boss, the OIC, the supervisor. 2. Authority. Whenever you give someone a task to perform, you must also give him/her the authority to carry it out. Authority is the influence one person exerts over another to get the job done. How much authority is a matter of degree and varies widely. It’s up to you, as a supervisor, to decide how much authority is required to get the job done.
280 3. Accountability. As far as delegation goes, this is an item where a lot of supervisors fail-- one, by not telling their subordinates what will happen if they fail to perform as required or two, not following through on what they said would happen. To be an effective leader, you must hold your followers accountable; if you don’t, the good order and discipline within the organization will falter. One way to increase that feeling of accountability is to use feedback. Feedback cannot be something done just at the end of the tasking and expect the follower to react in a positive manner; feedback must be given throughout the tasking to ensure the member understands they are being held accountable.
THE FOUR STEPS OF DELEGATION
We’ve already set the foundation for understanding delegation by breaking down and defining what it means to actually delegate. Now, we must understand how the delegation process works--that’s right, a process. Believe it or not, there are four steps to the process- -but who would’ve guessed that there was actually more to it that just saying, “Hey, Airman Jones make it happen!”?
1. Define the Task. Define it to whom? Well, first you have to define it to yourself: Is this something I need to delegate? Is this something I can do? What’s the outcome I want? Who would be the best person to do this task? Etc., etc. 2. Assign the Task. After you’ve decided that the task needs to be delegated, then it’s time to select whom you want to take the job. Bring that person in, sit them down and explain to them the purpose of the job and its goals, obtain commitment from the subordinate and then finally encourage questions. 3. Grant Authority. Now that you’ve given the task away, make sure you’ve cleared the way for them to complete the task. Give them the right amount of authority based on the job and level of training. It’s up to you to ensure they can accomplish the task without any snags. You’re the one delegating, so make it happen. 4. Follow-Up. Give positive and timely feedback. Don’t leave it until the task is complete, follow-up with your subordinates on a regular basis. Be realistic and have self-restraint- -realize that mistakes are going to be made.
TASKS THAT SHOULDN’T BE DELEGATED
There are actually some types of jobs that shouldn’t be given to your subordinates. In fact, these are the types of things that should catch your eye when you’re at step one of the delegation process.
1. Conceptual Planning. This is the responsibility of higher-level supervisors to establish the vision and goals for the organization.
280 Effective Supervision 281 2. Morale Problems. This is definitely the responsibility of the supervisor, not the subordinate. It is your job to ensure morale issues are put to bed and taken care of immediately. Handing them over to someone else would show a lack of respect and care for your subordinate’s needs. 3. Staff Problems. Just like morale problems, staff problems must be taken care of at the highest level of supervision over that specific staff. A leader must identify the problems and eliminate them on the spot, or face an unstoppable erosion of unit morale and cohesion. 4. Subordinate Performance Reports. Who should know his or her people better than anyone? If the words “the supervisor” or “the boss” or something to that effect didn’t flash across your mind, then you need to know: as the supervisor, you, not anyone else, should write and review your subordinate’s EPR or OPR. 5. Pet Projects. Don’t get wrapped around the axle with this one. We all have our own ideas as to what a pet project could be, but in this instance we define pet projects as things that are a misuse of time, a waste of assets/money/people, especially when there is a mission to complete.
COMMON MISTAKES IN DELEGATION
Though we continue to improve our leadership style, and work harder than ever to learn the proper techniques of delegation, there are always going to be those times where mistakes are going to be made. The next list is some of the common mistakes supervisors have made while trying to delegate.
1. Unclear Delegation. Go back to step one of the delegation process (if you’ve forgotten, it’s “Define the Task”). This is what happens when supervisors fail to define the task first to themselves, and then to the people who are assigned the task. Come out clean; tell the person exactly what you want…be clear about it (who, what, when, where, why and how)! 2. Supervise Too Closely. Also known as, micro management. After you’ve assigned the task, get away! If you’ve defined the task correctly, then you’re going to select the right person for the job, so trust yourself and that person. It’s okay to “follow-up,” but it’s not advised to stand over their shoulder and take control-that means you obviously haven’t really delegated, right? 3. Rushed Delegation. Give your people time to complete a task. Don’t wait five hours before a task is due to assign it to someone, especially when that task deserves a week’s time. 4. Improper Selection of Subordinates. Step two of the process is “Assign the Task.” Here’s where it counts in making the right choice for the job. Do you know your people well enough to make a decision? Sometimes it can be a guessing game, but getting to know who can handle what type of work will make your life that much easier.
282 CONCLUSION
Being the effective supervisor will demand a great deal of time and attention. Supervision is a continual, rather than periodic task; you’re never “done” supervising. Administrative duties will also make their demands on your time. Whereas these duties may seem more concrete and pressing, it’s unlikely that they’re any more important than your supervisory task. To supervise your subordinates properly, you must take the time (even make time) to involve yourself and find out how the work is going, rather than waiting for problems to come to you. The time you spend on human maintenance is time well spent. By being an effective supervisor, you’re helping the Air Force gain the most from its human potential.
______Bibliography: 1. Air Force Doctrine Annex 1-1. Force Development, 15 December 2014. 2. AFPAM 36-2241. Professional Development Guide, 1 October 2011.
282 Effective Supervision 283 Leadership and Management Case Studies
Activity Statement: • Relate the appropriate leadership and management theories and principles to selected case studies.
Affective Lesson Objective: • Value the proper use of leadership and management theories and principles.
Affective Samples of Behavior: • Actively participate in case study discussion during the lesson. • Explain the importance of properly applying leadership and management theories and principles.
284 uring this lesson, you’ll approach leadership and management problems using a “case study.” This method of study has proven to be successful in the field Dof management and will give you an opportunity to systematically address and solve problems similar to those you may experience as a commissioned officer. To solve your problem, you’ll be using the scientific method of problem solving. You will also need to translate the appropriate leadership theories and principles that you have learned in previous lessons into practical application. During the lesson, your instructor will divide the class into groups and assign a case to each group. Each group member should be prepared to present the selected case to the flight during class. Review all the cases prior to class so you’re familiar with the cases and can participate in the discussion. Use the “abbreviated method of problem solving” to solve your assigned case. This method may be used by groups to solve problems in conference, as well as by individuals. This method isn’t foolproof, but it’ll help you withhold judgment until you’ve considered all facets of the problem and all solutions without prejudice or bias. This is the value of any systematic method: it enables you to withhold judgment until all aspects of the problem have been logically considered. The suggested steps of the process are to establish: • Facts • Assumptions • Possible Courses of Action • Best Course of Action
Leadership and Management Case Studies 285 Case Study #1
You’re the flight commander for a Security Forces flight. There are 15 enlisted Airmen in your flight. Morale is very high; everyone seems to contribute enthusiastically to the mission. However, this morning A1C Timothy Griffin reported being sexually assaulted by another member of the flight, SSgt Richard Watson. A1C Griffin is in a relationship, but has been experiencing some stress in that relationship. After A1C Griffin drank too much at the club, SSgt Watson offered A1C Griffin a ride home. A1C Griffin reported the sexual assault happened in SSgt Watson’s car. A1C Griffin also mentioned drinking a few beers along with some shots of tequila before getting the ride home. SSgt Watson’s cubicle is in the same section of the building as A1C Griffin’s cubicle. What actions do you need to take? What issues do you need to anticipate?
286 Case Study #2
You’re the squadron executive officer and 2d Lt Brown’s reporting official. Lieutenant Brown, who was a physical education major in college, has been on active duty for 1 year and is assigned as an administrative officer in a tactical fighter squadron. He wanted to be an Air Force pilot, but there was no demand for pilots when he joined the Air Force. He accepted an assignment as an Force Support officer and completed AFROTC and his technical school, hoping to be accepted for undergraduate pilot training (UPT) later. He hasn’t been accepted and was notified a month ago that there probably won’t be any openings in UPT for at least 1 more year. He isn’t satisfied with his present assignment and, to this point, has not shown any interest in his job. He refuses to get involved in any decision making or management problems in his unit. He tells his NCOs to handle all problems and not to get him involved since he’s only interested in becoming a pilot. He has also displayed this same attitude to your supervisor, the squadron commander, and a lieutenant colonel. In addition, 2d Lt Brown feels the Air Force isn’t putting his education to proper use, because his degree is in physical education. He’s an exceptional athlete and was recently selected as the most valuable player on the base softball team, which he also coaches. Because of his athletic ability and the success of the team, he’s very popular with many of the key personnel on base who speak very highly of him to his commander. Lieutenant Brown spends most of his off-duty time, and a considerable part of each duty day, organizing and participating in the base athletic program. Last week, 2d Lt Brown’s unit was inspected by a standardization team from higher headquarters, which identified an absence of supervision in 2d Lt Brown’s areaof responsibility. The squadron commander asks you what you think should be done about the situation. How will you resolve this problem?
Leadership and Management Case Studies 287 Case Study #3
Just 2 months out of training you were assigned to the Logistics Readiness Squadron in Minot, North Dakota. After in-processing with the unit, you sit down with your squadron commander, Major Carnage, and relay your lack of experience and uncertainty about the job. “Sir, I was open to anything the Air Force handed me,” you said to the commander, “but logistics in North Dakota wasn’t even close to being on my dream sheet. How am I going to lead if I don’t even have the skills to tell people how and what to do?” The commander replied, “As an officer you should be ready to lead anywhere and anytime you are put into a position, no matter what training you’ve had. Don’t worry about it though--you’re going to be the assistant flight commander for Bravo Flight under the eyes of Captain Vogel, the Bravo Flight Commander.” After 7 months on the job, Captain Vogel tells you he is leaving in 2 weeks for Columbus AFB MS for Undergraduate Pilot Training (UPT) and will be handing the Bravo Flight reigns over to you permanently. You shudder at the thought but quickly remember what your commander had said about officers leading anytime and anywhere. You take the job head-on, using the same techniques Capt Vogel applied to lead the flight. For some reason, the 15 personnel under your supervision randomly disregard your orders and quickly fall behind on the vehicle maintenance schedule. The commander calls you into his office one day to discuss the decline in flight morale and unit fectiveness.ef You begin to think about the situation and the variables at hand and say, “I’m a second lieutenant with some job knowledge, I’ve already sat down with the members of Bravo Flight and told them what I expect from them--just to let them know who’s boss. I take care of tasks they should be doing to show I care about them, I give each member as much ‘down time’ as needed; I don’t nag them about accomplishing their jobs because that would be considered micromanagement, and I even give them leeway with mistakes by not reprimanding or correcting them. I thought they would like me for being down to earth and joking around with them. What the heck am I doing wrong?” Given this scenario, what have you been doing wrong as a leader? If you were the commander of this organization, what would you do with the Lt?
288 Case Study #4
You, a Captain, are a section chief in Military Personnel and 2d Lt Smith’s supervisor. Lt Smith is a Force Support Officer. She has been on active duty for a year and in her present job for 10 months. She supervises 21 enlisted personnel who perform a variety of administrative tasks in support of a tactical fighter wing. She majored in business administration in college, served 3 years as an administrative specialist, and was an E-4 before being accepted for OTS. As an enlisted member, she graduated from technical school as an honor graduate and was cited on numerous occasions for outstanding performance. Her supervisors considered her a valuable asset to the unit and an expert in her area of responsibility. She’s very enthusiastic about her work and plans to make the Air Force a career. Lieutenant Smith took over her job 2 months after the unit had received a rating of “marginal” by the numbered Air Force Inspector General’s evaluation team. At the end of her first week on the job, Lt Smith called her NCOIC and key supervisors together and told them that she wouldn’t tolerate marginal performance, that she had previous experience in this type of work, and would be looking at the quality of their work very closely. Since that time, Lt Smith has attempted to supervise every phase of work in her office and, at times, has involved herself in even the most routine decisions. Lt Smith assigns people to certain jobs within the office, plans the work schedule, leave schedule, and does most of the counseling in the office. In the last 6 months, Lt Smith has ordered several people to work overtime to complete routine work ahead of schedule. Each time this has happened, the NCOIC has asked the lieutenant for permission to speak to her immediate supervisor. On each occasion, the lieutenant has told the senior master sergeant he must not take these internal problems to you, because she’ll take care of any problems in her section--and the NCOIC should remember who writes his EPR. Most of the time, when Lt Smith approaches the work or break area where the workers are congregated, she notices all conversation stops and the personnel won’t talk to her unless she addresses them first. After reviewing a report yesterday, Lt Smith became very impatient. She bypassed his NCOIC and took the report directly to the Airman who had typed it. While Lt Smith was berating the Airman about the typing errors, the NCOIC walked into the office and asked the Airman what the problem was. The lieutenant became flustered, told the NCOIC she was tired of doing his job for him, and shoved the report into his hands. Lt Smith then went into her office and slammed the door. The NCOIC relayed this situation to you and asked for your help. How will you help?
Leadership and Management Case Studies 289 Case Study #5
You hold a B.A. in radio and television and were sent to a broadcasting network of the Armed Forces Radio and Television Service. After a 1 month orientation in the overseas area at network headquarters, you were sent to one of the outlying stations as OIC. Mr. Henry P. Moon is a GS-12 who has worked with the network for 10 years. As the network engineer, he’s always dependable as well as an efficient manager. But he has the kind of personality that evokes either fear or deep resentment. The previous network commander felt very strongly that the television station should have rear screen projection capability. His pet project was to procure the equipment and get it to the station. After 3 years in supply channels, the equipment package was finally shipped. Mr. Moon’s branch, which had ordered the projection system, unpacked and inspected the equipment, then sent it to your outlying television station. You had heard about the new equipment, but you weren’t prepared for the package that arrived. Your studio could best be described as small, designed for minimal operations. The projector, once assembled, was carried on a stand that was too tall to clear the studio lights. The projector’s minimum focal “throw” was twice the length of the largest room in his building, and, when it was turned on, the projector took so much electricity it blew every circuit breaker in the station. The screen was so large it couldn’t be assembled inside the building. It was soon apparent that this projection system was designed for a fully capable commercial television studio, and not for your station. When you considered the cost of modifying the studio to permit this expensive piece of equipment to do the job, you quickly decided it wasn’t worth it. When you attempted to return the projection package to network headquarters, you were told, in no uncertain terms by Mr. Moon, that you would keep the projector, and if you couldn’t find a way to use it, you’d probably lose your job. Mr. Moon’s exact words were: “Lieutenant, if you can’t put a first-class piece of equipment like this to work, you probably couldn’t manage a one-truck convoy.” Obviously you have a problem to deal with! What will you do?
290 Case Study #6
You’re an aircraft maintenance officer who supervises the sheet metal shop in a maintenance squadron. You have 15 enlisted people assigned to your shop to perform sheet metal repair for three tactical fighter squadrons. Your NCOIC, TSgt Allen, a “fast burner,” has been promoted with minimum time in grade each time she became eligible for promotion. She was recently notified she has been selected for promotion to master sergeant. TSgt Allen is single with no family responsibilities; consequently, she spends a great deal of time working overtime and on weekends. She seems to have no other interests outside of her job. It’s recently come to your attention that TSgt Allen spends a great deal of her overtime rechecking the work of her subordinates. When she finds an error in someone’s work, she frequently calls the worker at home and berates him/her over the telephone for what she describes as “gross negligence in the performance duty.” Additionally, she has called several back to the shop after normal duty hours to reaccomplish work which she considers to be substandard. When she discovers errors in their work during normal duty hours, she makes an issue of the most minor discrepancy. The other day she brought a staff sergeant into your office, described the man’s shortcomings, and asked you to recommend that the squadron commander give him an Article 15. Since TSgt Allen’s assignment to the shop 6 months ago, you’ve noticed the morale of the enlisted force has steadily grown worse. Requests for leave have become more frequent, and four of the NCOs have asked for transfers to other units on base. You’ve talked to the squadron commander twice during the last month about the effect TSgt Allen is having on the unit members. The commander told you that you should consider yourself lucky to have an aggressive, hard-driving NCO like TSgt Allen, and you could probably learn something from her. The commander told you to think about the situation for a couple of days, and if you still felt there was a problem, to have a talk with TSgt Allen. Your couple of days are up—what will you do?
Leadership and Management Case Studies 291 Case Study #7
You, a 2d Lt, fresh out of training, with a master of science degree in physical education, are assigned to a small base overseas as Force Support officer in charge of all base recreational facilities. Because of your academic qualifications, you were sent directly overseas on your first assignment. Your NCOIC is TSgt Charles Harvey, an 18-year veteran of three specialties. Although TSgt Harvey has an excellent record, he has been in grade more than seven years. He is highly disgruntled about not being promoted. Lacking prior military experience, you told TSgt Harvey you were very much dependent on his help. You don’t know “the ropes” and need a subordinate you can trust. One month after the association began, the sergeant asked if he could make a suggestion. TSgt Harvey said, “I think the dependents at this base are really getting the short end of the stick. They can only use the recreational facilities on a space available basis, and some of them are older than some of the Airmen who can tell them to shove off.” You said, “I’m sympathetic, Chuck, but the regulation says the recreational facilities are primarily for the people in uniform. If some of the parents of these kids would like to help them organize some activities, we could probably reserve the gym and some other facilities for a few hours a week. But I think the dependents have to be supervised, and the gym has to be available primarily for the active duty Airmen.” TSgt Harvey, the father of two teenage sons, felt he had been slapped in the face. He was sulky after the conversation. You were rather puzzled. The regulations were quite clear about priorities in use of recreational facilities, and the commander of the base was emphatically in favor of stronger supervision of dependents by parents. Several months later you are given strong reason to believe the NCOIC is criticizing you in front of the other Airmen in the section. You begin to distrust your NCOIC. About this time, TSgt Bob Jorgenson, a recreational supervisor, joined the section. You interview him and find he is 2 years junior in grade to TSgt Harvey. You assigned him as assistant NCOIC. After 2 weeks on the job, TSgt Jorgenson comes into your office and asks if he can speak frankly. You tell him to go ahead. Jorgenson said, “Lieutenant, I hate to knock another NCO, especially one who outranks me, but TSgt Harvey is making critical remarks about you to the enlisted people. He calls you ‘Rosie’ behind your back. He says you don’t know your job and probably never will, that you’re a terrible leader, and he also calls you a ‘second balloon.’ He says this in front of the people in the section. I hate to say it, but he’s more of an enemy than a subordinate.” What will you do now?
292 Case study #8
Three years ago, you graduated from college and were commissioned through OTS. 1st Lt Joanne James graduated college and was commissioned through AFROTC on the same date. You were called to active duty 3 weeks earlier than 1st Lt James (Incidentally, you didn’t graduate from the same college nor were you acquainted before being assigned together). You’re both assigned to the 508th Logistics Readiness Squadron and work in the same section. Because you’ve been on active duty longer, you are senior for promotion purposes and in charge of the section. Lt James resents working for you, especially since she knows you were commissioned on the same day. She’s aware that you are senior but makes a point of repeating, “There’s no rank among lieutenants,” whenever you attempt to assert your authority. She’s especially resentful of the fact that she’s been in the 508th longer than you and had expected to be put in charge of the section. You’re a distinguished graduate of the Logistics Readiness Officer course, but you lack James’ experience on the job. You’re a fast learner and have managed to get “up to speed” quickly as section chief. You know Lt James resents you and you’ve been frustrated by Lt James’ obvious disrespect. Yesterday you called her into your office and advised her that there was room on the unit manning document for only one section chief. You were sympathetic about Lt James’ disappointment, but insisted she do her job without showing such obvious and childish resentment. Lt James left without comment. This morning TSgt Harper, the section NCOIC, asked if he could talk to you for a few minutes. When you asked him what was on his mind, Harper said, “ Lt James is acting very badly. She criticizes you in front of the unit members, she says you don’t know the job, and you’re just going to mess things up. We know there’s friction between you two, but it’s starting to affect people. Most are siding with Lt James, since she’s been here longer. I’m having trouble keeping them working.” How will you deal with this situation?
Leadership and Management Case Studies 293 12 Angry Men
Student Preparation: • None.
Activity Statement: • View selected video clips from the movie 12 Angry Men and discuss the dynamics of group process and interaction.
Affective Lesson Objective: • Respond positively to a discussion on the dynamics of group process.
Affective Samples of Behavior: • Explain the dynamics of group process. • Discuss how power and influence impact group dynamics. • Describe the benefits of managing group conflict.
294 294 12 Angry Men 295 Joint Ethics
Cognitive Lesson Objective: • Comprehend the principles of DoD 5500.7-R, Joint Ethics Regulation (JER), in the Air Force environment.
Cognitive Samples of Behavior: • Identify violations of DoD 5500.7-R. • Summarize the consequences of violating of DoD 5500.7-R. • Explain the key rules of DoD 5500.7-R.
Affective Lesson Objective: • Respond positively to the need for ethics training.
Affective Sample of Behavior: • Discuss the importance of the Joint Ethics policy.
296 “Officership is defined as the understanding of and committing to the unique combination of responsibilities and values required of officers in the profession of arms and the service of their country.” This quote is taken directly from AFI 36-2014 defining the commissioning requirements for all Air Force commissioning sources. Quite simply, an officer without values effectively cancels his or her ability to lead people to mission accomplishment. For example, an officer who repeatedly fails to follow written procedures andhas demonstrated the lack of discipline that the procedures require has effectively told his or her subordinates that self-discipline is not a requirement for them. Congruently, an officer who quibbles about the real reason a job should be accomplished will never get the full commitment of the unit to effectively complete that job. Only an honest answer will allow people to trust their leader enough for them to contribute to mission accomplishment, now or in the future. Military ethics is a serious subject. Your conduct, as an officer, will be viewed and analyzed by everyone. It’s not a matter of “what I do on my own time is my business,” because you are accountable for your actions 24 hours a day. To enforce the rules of our society, Congress has prescribed the standards of conduct relating to possible conflict between private interests and official duties of all Air Force personnel, regardless of assignment. Compliance with the high ethical standards demanded of all public servants is mandatory. A violation of Department of Defense (DoD) 5500.7-R, Joint Ethics Regulation, may be cause for disciplinary action, which may be in addition to any penalty provided by law.
HISTORICAL CONTEXT
n March 1989, the President’s Commission on Federal Ethics Law Reform recommended to President George H. Bush that the standards of conduct for each Iagency in the Executive Branch, which were not always consistent with each other, be replaced with one set of ethics rules that would apply to all Executive Branch agencies. President Bush agreed and directed the Office of Government Ethics (OGE) to promulgate “a single, comprehensive, and clear set of Executive-Branch standards of conduct that shall be objective, reasonable, and enforceable.” (OGE is the federal agency charged by law with directing policies related to the ethical conduct of executive branch personnel.) OGE studied each agency’s ethics rules and compiled a new set of rules entitled “Standards of Ethical Conduct for Employees of the Executive Branch”, which first became effective in February 1993. The current DoD 5500.7-R, called the Joint Ethics Regulation (JER), applies these rules to all DoD personnel.
296 Joint Ethics 297 JOINT ETHICS DEFINED
Bottom Line: In general, you are bound to refrain from any business or professional activity which would place you in a position where there would be conflict between your private interests and the public interests of the United States. Furthermore, even though technically a conflict of interest may not exist, you must avoid the appearance of such conflict from a public confidence point of view.
STANDARDS OF CONDUCT
The following list of standards of conduct is a guideline to use in conjunction with DoD 5500.7-R. In all cases, the DoD 5500.7-R, Joint Ethics Regulation, takes precedence. • You may not use your rank or position to coerce, intimidate, or pressure subordinates to further a private interest or a private gain for yourself or another person. You must also refrain from any activity that would give the appearance that coercion or intimidation was being used based on rank or position. • If you are employed on a part-time basis as a sales agent on commission or salary and you contact prospective purchasers suggesting they buy whatever you are selling, you are prohibited from commercial solicitation and sale to military personnel junior in rank or grade, at any time, on or off duty, in or out of uniform. The prohibition to sell to junior personnel doesn’t apply when you are selling, on a one-time basis, your own private dwelling or personal property such as a radio or motorcycle. One-time sales of personal property may be made to any military person, regardless of rank. • You are prohibited from making or soliciting contributions for gifts to superiors. Acceptance of such gifts by a superior is also prohibited. Voluntary gifts of nominal value may be made upon retirement and other special occasions, such as a wedding, death, or serious illness. • You must pay all personal financial obligations in a proper and timely manner. • Neither you nor any member of your family may solicit or accept any gift, gratuity, favor, or anything of monetary value from any person or firm engaging in business with DoD. Acceptance of gifts, gratuities, favors, or entertainment--no matter how innocently tendered and received--from those who have or seek business with the DoD may be a source of embarrassment to the DoD and personnel involved. A gift, gratuity, favor, or source of entertainment includes any tangible item, intangible benefits, discounts, tickets, passes, transportation, and accommodations given or
298 extended to you or on your behalf. The acceptance of specialty advertising items of trivial intrinsic value, such as pencils, calendars, or matches, is permitted. See DoD 5500.7-R for exceptions to the gift rule. • You may not conduct any gambling activities or lotteries/raffles or participate in such activities on government property or while on duty. This includes game pools and selling or purchasing a numbers slip or ticket. (Booster clubs and private organizations, by regulation, have special permission to engage in some such activities.) • The use of government facilities, property, or manpower for other than officially approved activities is prohibited. Typing assistance, duplicating services, and chauffeuring services may be used for official government business only. You have a positive duty to protect and conserve government property and to refrain from using military manpower for personal gain. Likewise, you should refrain from any act that may appear to be a misuse of military manpower. • You may not use “inside information” gained through your Air Force position to further your private interest or that of another person, particularly one with whom you have family, business, or financial ties. “Inside information” is construed to be that which has not become part of the body of public information. • You may be a member or officer of a non-government organization, but you must avoid activities of the organization that are incompatible with your official government position. (For example: As an instructor, you may be a member of the National Education Association (NEA); but, should NEA adopt an anti-military resolution, you must avoid any activity which would support this resolution.) • You are prohibited from using your military title in connection with any commercial enterprise or in endorsing any commercial product. You may use your military title in connection with nonprofit or charitable organizations that are specifically sponsored by the Air Force. (For example: Combined Federal Campaign or Air Force Assistance Fund. However, the organization doesn’t need to have “Air Force” in the title. Consider whether use of your name and rank would discredit the Air Force.) • You may not engage in outside employment, with or without compensation, which is incompatible with the performance of your government duties. DoD DIR 5500.7- R states that prior to accepting any off-duty employment, you must submit to your commander an application for approval of off-duty employment. Obviously, you may not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct; however, to this list you should add “any conduct prejudicial to the government.” Moreover, DoD DIR 5500.7-R states you must avoid any action, whether or not it’s specifically prohibited by the regulation, which might result in or create the appearance of a conflict of interest. Avoid the appearance of:
298 Joint Ethics 299 • Using public office for private gain • Giving preferential treatment to any person • Impeding government efficiency or economy • Losing complete independence or impartiality • Making a government decision outside official channels • Affecting adversely the confidence of the public in the integrity of the government Generally, good sense will prevent you from running afoul of these prohibitions. However, prudence dictates you read DoD DIR 5500.7-R. If in the future you doubt the propriety of any of your professional, guild, or commercial activities, and you can’t find the answer in the regulation, you should consult the Office of the Staff Judge Advocate (your base legal office).
JOINT ETHICS REGULATION
his reading differs some from the previous Standards of Conduct list in that it provides specific guidance based upon a distillation of the JER. (Air Force members Tfall under the jurisdiction of the JER: DoD 5500.7-R) Applicability. JER applies to all DoD employees officers, enlisted, civilians, and Reserve or Guard (in Title 10 status or while engaged in any activity related to the performance of a federal duty or function). See pages 7 & 8, paragraph 1-300b for inapplicable areas for enlisted members.
General Organization. JER consists of 12 chapters, which memorialize a lot of things that had been policy, official and unofficial guidance. Chapter 2 is the broad Office of Government Ethics standards. These are the standards of conduct for employees of the Executive Branch, promulgated by the President. There are four appendices: • A: synopses of key statutes, notably those relating to procurement officials and post-government employment • B: provision of procurement integrity • C and D: forms and waivers
Judge Advocate Duties. The installation Staff Judge Advocate (SJA) is the ethics counselor and may delegate authority to Assistant SJAs. No attorney-client privilege is authorized while the SJA is in the ethics counselor role. The ethics counselor must report any suspected JER violations that might lead to a possible “chilling effect” on counseling provided. A good faith reliance on the ethics counselor’s advice will be a major factor in insulating counselee from liability.
300 Training Requirements. Initial training for new DoD employees will be conducted within 90 days of coming on duty. Annual training will be required for individuals filing SF 278 and SF 450 and contracting procurement officials. The SF 278 is for GOs/SESs, and the SF 450 is for 0-6/GS-15 and below. Those individuals whose duties may involve potential conflicts of interest or have substantial economic impact on non-federal entities must file the SF 450. It is important to remember the Uniform Code of Military Justice (UCMJ) implications: JER is punitive! Gifts. The general rule is that employees (members) may not solicit or accept a gift from a prohibited source because of their official position. Prohibited sources are persons or organizations seeking official action by DoD, doing or seeking business with DoD, regulated by DoD, or affected by the performance of the member’s duties. The definition of gift excludes the following: • modest items of food or refreshment, not part of a meal • plaques, certificates, greeting cards, etc. that have “little intrinsic value” • benefits/deals generally available to the public or all service members • items for which recipient pays market value An exception to the rule prohibiting acceptance of gifts from outside sources (JER, page 20-9) are unsolicited gifts with a market value of $20 or less per occasion (including taxes and gratuities) and aggregating no more than $50 from any one source in a calendar year. However, this exception does not permit gifts of cash or investment interests. There are also certain awards (less than $200 in value) and honorary degrees, as well as gifts based on outside business-employment relations, which may be exceptions. Attendance fees for widely attended gatherings that are part of member’s duties or furthers the agency’s interests may be accepted as a gift.
Gifts Between Employees. Members may not give or solicit gifts to an official superior or accept a gift from a lower-paid employee unless the donor and recipient are friends and there is no superior-subordinate relationship. The “official superior” is not limited to chain of command, but rather applies to anyone whose official responsibilities involve directing or evaluating the performance of the member or his/her official superior. The exception to this is the “occasional basis” (e.g., birthday, Christmas) which allows for items, other than cash, aggregating to $10 or less per occasion; food and refreshment shared in the office; personal hospitality at a residence; and appropriate hostess gifts to be presented to the superior by the subordinate. The “special, infrequent occasion” exception (marriage, PCS, retirement) allows the superior to be presented a gift of $300 or less in value; the subordinate may solicit for contributions (maximum of $10) for group gift; a contributor may not “voluntarily” go over the $10 cap.
300 Joint Ethics 301 The Bottom Line: regardless of exceptions, a member can never accept gifts in return for influence, solicit gifts, or accept gifts if acceptance creates the appearance that it was given or received for improper influence.
Frequent Flyer Rules. A traveler on official business traveling at government expense on the funds of an agency may keep promotional material (including frequent traveler benefits such as points or miles, upgrades, or access to carrier clubs or facilities) for personal use. The promotional material must be obtained under the same terms as those offered to the general public and must be at no additional government cost. Promotional items received for travel using funds other than those of an agency are not covered by this rule. Travelers should seek guidance from those funding authorities. A traveler may keep payments from a carrier for voluntarily vacating a transportation seat. However, no additional expenses (per diem or miscellaneous reimbursable) may be paid as a result of the traveler’s delay. Additional travel expenses incurred as a result of voluntarily giving up a seat are the traveler’s financial responsibility. If a traveler is involuntarily denied a seat on a transportation mode, the traveler enters an “Awaiting Transportation” travel status for per diem and miscellaneous expense reimbursement. Any monetary compensation (including meal and/or lodging vouchers) for the denied seat belongs to the government. A traveler may keep payments from a commercial carrier for accompanied baggage that has been lost or delayed by the carrier. If the traveler intends to make a claim against the government, the traveler should see the Claims Office prior to accepting a carrier’s compensation. By accepting the carrier’s compensation, the traveler may be accepting that amount as payment in full.
Use of Government Phones. Calls are limited to the conduct of official business; however, official business can include those calls “necessary in the interest of the Federal Government.” This may include personal calls to immediate family and for house or car repairs if they do not adversely affect duty performance, are of reasonable duration and frequency, and could not have been reasonably made at another time. The same criterion applies to long distance calls if charged to home or personal credit card or a toll-free 800 number is used. While on temporary duty (TDY), one brief long distance call home charged to government is okay if necessary to inform family of a last minute schedule change.
Military Titles and Commercial Activities. The general rule is you can’t use public office for private gain (labeled as “misuse of position”) and may not use grades or titles in connection with commercial enterprises. Retirees may use military titles provided they clearly indicate retired status and do not discredit DoD or give the appearance of sponsorship, sanction, endorsement, or approval by DoD.
302 There must not be any conflicts, or even appearance thereof between personal interests and Air Force interests (see JER, page 66). Also individuals may not solicit commercial sales to personnel who are junior in rank or position. This prohibition does not apply to the sale or lease of non-commercial personal or real property, or commercial sales made off-duty in a retail establishment.
Honorarium. The Ethics Reform Act of 1989 prohibits officers on active duty and all civilian employees from accepting honorarium (payment) for an appearance, speech, or article. “Appearance” is defined as attendance at a public or private conference, convention, meeting, social event, like gathering and the incidental conversation or remarks made at that time. An “article” definition excludes fiction, poetry, and lyrics. With that being said, recently the United States Supreme Court ruled it was unconstitutional to prohibit government employees from receiving honoraria for speeches and articles unrelated to their official duties. The Supreme Court found that such prohibitions were a violation of the First Amendment’s free speech provisions. As of 28 February 1996, military members are authorized to accept honorarium for appearance, speeches, or articles unrelated to their official duties.
Employment Issues. Individuals must avoid conflicts between Air Force duties and prospective or actual employers. Off-duty employment is at the commander’s discretion and may be denied if it detracts from readiness or poses a security risk. There is a two- year restriction on a former employee acting as a representative in matters for which he or she had official responsibility. Procurement officers must not discuss employment opportunities with competing contractors. Certain procurement officers must report employment contacts with defense contractors they have dealt with. There is a two-year “revolving door” prohibition with respect to certain procurement officials and defense contractors.
Gambling. DoD employees shall not gamble while on federally owned or leased property while on duty. Officers’ Spouses Clubs (OSCs) and other welfare-type organizations with benefits running to DoD members are allowed to operate gambling on federal property if proper authorization is obtained, and it is in compliance with state and local laws.
Conclusion
A key to quality people and proper leadership development is an ethical environment in which integrity, trustworthiness, and fairness are valued above self and selfish goals. Air Force personnel today face many pressures and temptations as they progress through their careers, not the least of which is the stress between personal advancement and upholding the public trust. As professionals, we must embrace a professional ethic, which sets forth those values and principles that govern our behavior as a group and as individuals. Because each of us brings a variety of personal values to our work, there is a need for each of us to commit ourselves to institutional values. The best way is through a set of ethical rules. We find these in the Standards of Ethical Conduct.
302 Joint Ethics 303 ______Bibliography: 1. DA Pam 360-512. Code of the US Fighting Force, 1 June 1988. 2. DoD 5500.7-R. Joint Ethics Regulation, 30 August 1993 (Change 7, 17 November 2011).
EXECUTIVE ORDER 126741
April 12, 1989 As amended by EXECUTIVE ORDER 12731 55 Federal Register 42547 October 19, 1990 Principles of Ethical Conduct for Government Officers and Employees By virtue of the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to establish fair and exacting standards of ethical conduct for all executive branch employees, it is hereby ordered the Executive Order 12674 of April 12, 1989, is henceforth modified to read as follows:
Part I—Principles of Ethical Conduct
Section 101. Principles of Ethical Conduct. To ensure that every citizen can have complete confidence in the integrity of the Federal Government, each federal employee (term “officer” substituted) shall respect and adhere to the fundamental principles of ethical service as implemented in regulations promulgated under sections 201 and 301 of this order: • Public service is a public trust requiring officers to place loyalty to the Constitution, the laws, and ethical principles above private gain. • Officers shall not hold financial interests that conflict with the conscientious performance of duty. • Officers shall not engage in financial transactions using nonpublic government information or allow the improper use of such information to further any private interest. • Officers shall put forth honest effort in the performance of their duties. • Officers shall make no unauthorized commitments or promises of any kind purporting to bind the Government. • Officers shall not use public office for private gain.
304 • Officers shall act impartially and not give preferential treatment to any private organization or individual. • Officers shall protect and conserve Federal property and shall not use it for other than authorized activities. • Officers shall not engage in outside employment or activities, including seeking or negotiating for employment that conflict with official Government duties and responsibilities. • Officers shall disclose waste, fraud, abuse, and corruption to appropriate authorities. • Officers shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those such as Federal, State, or local taxes that are imposed by law. • Officers shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap. • An officer shall not, except pursuant to such reasonable expectations asare provided by regulation, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the officer’s agency, or whose interests may be substantially affected by the performance or nonperformance of the officer’s duties. • Officers shall endeavor to avoid any actions creating the appearance that they are violating the law or ethical standards.
1 This exerpt has had typeface and spacing revisions made for clarity. For emphasis, where the term “officer (s)” is used it replaces the term “employee” in the original text. Although no other changes were made to the text, only the original rule is authoritative.
304 Joint Ethics 305 The Supervisor’s “In-Basket”
Activity Statement: • In a simulated situation, utilize management functions and principles, problem-solving, supervisory, and delegation skills to complete the daily duties of a new Air Force officer.
Affective Lesson Objective: • Respond to the significance of effective supervisory skills as a commissioned officer in the United States Air Force.
Affective Samples of Behavior: • Assert the importance of effective supervisory skills for officers. • Complete the exercise using the experience and knowledge learned in your commissioning program. • Actively participate in guided discussion during the lesson.
306 THE SUPERVISOR’S “IN-BASKET”
This exercise is an opportunity for you to use what you have learned throughout your commissioning program to manage and respond to the challenges presented and to “put it all together.”
Supervisor’s “In-Basket” Exercise
Today is 1 March 20XX. You are a 2d Lt assigned to the 10th Missile Squadron (MS), 341st Missile Wing (MW), Air Force Global Strike Command (AFGSC), Malmstrom Air Force Base (AFB), Montana. You are a missileer, currently assigned as a deputy missile combat crew commander. You work directly for the 10th Missile Squadron Commander (10 MS/CC), Lt Col Markinson, who, in turn, works for Col Jessup, the Operations Group Commander (341 OG/CC). The next chart displays the organization of your unit:
341st Missile Wing 341st Missile Wing Commander Executive Officer Colonel Luke S. Skywalker Capt Michael D. Sorapuru (341 MW/CC) (341 MW/CCE)
341st Operations Group Commander Colonel Christy P. Jessup (341 OG/CC)
10th Missile Squadron 10th Missile Squadron 10th Missile Squadron First Sergeant Commander Section Commander SMSgt Lisa T. Green Lieutenant Colonel Marcus E. Markinson Your New Position (10 MS/CCF) (10 MS/CC) (10 MS/CCQ)
10th Missile Squadron 10th Missile Squadron Director of Operations Commander’s Support Staff MSgt George C. Brown, NCOIC Major Grover SSgt Arnold P. Stoner, Personnel Specialist (10 MS/DO) SrA Gail L. Wallace, Personnel Specialist TSgt Ivan M. Frivolous, Information Manager A1C Frank K. Jones, Information Manager (10 MS/CSS)
Bravo Flight Alpha Flight (Your Former Flight) Charlie Flight
Bravo Flight Commander Alpha Flight Commander Charlie Flight Commander Capt Anderson
6 Crews of Missileers 6 Crews of Missileers 6 Crews of Missileers
306 The Supervisor’s “In-Basket” 307 BACKGROUND INFORMATION
The 341st Missile Wing, headquartered at Malmstrom AFB, Montana, is one of three US Air Force Bases that maintains and operates the Minuteman III intercontinental ballistic missile (ICBM). The 341st Missile Wing (MW) is responsible for the maintenance and operation of 150 Minuteman III ICBMs. Twentieth Air Force (20 AF) Inspector General (IG) personnel test this capability during Operational Readiness Inspections (ORI) and Nuclear Surety Inspections (NSI). One or both of these inspections occur annually. The 10th Missile Squadron (MS) is a part of the 341st Operations Group (OG). The 10 MS is responsible for maintaining and operating 50 Minuteman III intercontinental ballistic missiles (ICBM) and five missile alert facilities. Malmstrom AFB is located in Great Falls, Montana, in the heart of the American prairie. Winters are long and cold, and summers are short, but relatively pleasant. Hunting and fishing are favorite summer pastimes.
Scenario
Captain White was formerly the squadron’s section commander (10 MS/CCQ). As the 10 MS/CCQ, he was the commander’s right hand for all personnel and administrative matters. On 28 Feb XX, he was relieved of his duties due to his lack of control over the Commander’s Support Staff (CSS) and its highly important duties. As the section commander, Captain White supervised MSgt Brown, the CSS NCOIC, SSgt Stoner and SrA Wallace, the personnel specialists, and TSgt Frivolous and A1C Jones, the information managers. MSgt Green is the First Sergeant for the squadron. She oversees all enlisted administrative matters. You are a relatively new 2d Lt and have been with the squadron for just under a year. You are a trained missile officer and have just recently been upgraded to the status of deputy missile combat crew commander. On 1 March, before heading out to missile alert duty, your flight commander, Capt Anderson, and the 10th Missile Squadron Director of Operations (10 MS/DO), Maj Grover, approach you with a memo from Lt Col Markinson, the squadron commander, appointing you as section commander. This position is normally for personnel officers only but you’ve been appointed to fill the gap until a new personnelist can arrive to take over permanently. You have not been trained for the position and at this point have never had an opportunity to supervise. You accept the position and its challenges with little reluctance… “Service Before Self” you remember. You start the job Friday, 4 March. Instructions
Read item #1, the memo from Lt Col Markinson, then return back here to read the Rules of Engagement and Guidance.
308 Rules of Engagement and Guidance
It is now 4 March 20XX, your first day on the job. You are the acting section commander of the 10th Missile Squadron. You have been given complete authority by being put on G-Series Orders. When you get to your new desk, you realize the pile of paperwork in the CCQ in-basket is piled high. You’ve also been given access to the CCQ organizational email box and see that the emails have been stacking up since Capt White was relieved of his duties. You must now use your leadership and management skills to prioritize and organize all the items in Capt White’s in-basket and prepare to run the section.
NOTE: This scenario will play from 4-7 March… but past and future activities still need to be finished and/or coordinated. You don’t know exactly when Capt White’s replacement will arrive, so record everything you do. Draft all written correspondence and create detailed outlines for any oral communications you anticipate. Make notes on everything you plan to do. Finally, be prepared to brief Lt Col Markinson on what occurred while he was TDY, including problems you’ve encountered and preparations for the inspection.
10th Missile Squadron Section Commander (CCQ) Job Description:
• Responsible for the administrative control of all 300 members assigned to the 10th Missile Squadron • Ensures all EPRs and OPRs for 10 MS personnel are generated, tracked, and proofed • Directly supervises five commander support staff (CSS) personnel • Under G-Series Orders, exercises nonjudicial punishment authority under the UCMJ unless withheld by superior competent authority. • Assists the squadron commander and works with the First Sergeant for health, morale, welfare, and discipline of all assigned personnel. • Manages Unfavorable Information Files (UIFs), Personnel Information Files (PIFs), the unit fitness program, annual/quarterly awards, the self assessment program, commander’s calls, unit recognition programs, and all written correspondence for the squadron commander.
Now, proceed with the exercise, beginning with the calendar...
308 The Supervisor’s “In-Basket” 309 Use this calendar to keep your schedule organized and conflict free!! MARCH 20XX SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY 1 2 3 4 5 Your first day! X 6 7 8 9 10 11 12
Lt Col Markinson Returns from TDY
13 14 15 16 17 18 19
Local Local Exercise Exercise Begins Ends
20 21 22 23 24 25 26
27 28 29 30 31
JANUARY 20XX FEBRUARY 20XX APRIL 20XX S M T W T F S S M T W T F S S M T W T F S 1 1 2 3 4 5 1 2 2 3 4 5 6 7 8 6 7 8 9 10 11 12 3 4 5 6 7 8 9 9 10 11 12 13 14 15 13 14 15 16 17 18 19 10 11 12 13 14 15 16 16 17 18 19 20 21 22 20 21 22 23 24 25 26 17 18 19 20 21 22 23 23 24 25 26 27 28 29 27 28 24 25 26 27 28 29 30 30 31
310 ITEM #1
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
28 Feb XX
MEMORANDUM FOR 2d Lt (YOU)
FROM: 10 MS/CC
SUBJECT: Selection to the Temporary Position of 10 MS/CCQ (Section Commander)
1. I wish I was able to brief you on this personally, but I will be TDY at Maxwell AFB. We’ll get together when I return on 11 March. I’m sure by now that Major Grover has briefed you on the situation. Capt White has been relieved and there isn’t a replacement available until October.
2. This is an excellent opportunity for you to demonstrate the leadership abilities you learned from your commissioning source and previous training. This is not going to be an easy task for you, but I’m positive you’re the best person to get the Commander’s Support Staff (CSS) back on track. MSgt Brown, the CSS NCOIC, will be a tremendous asset to help fix any problems you might encounter. MSgt Green is a brand new First Sergeant, but is eager to learn and will give you her best to fix any personnel or adminis- trative problems.
3. I have instructed Major Grover and Capt Anderson to give you this letter and all of the items in Capt White’s in-basket. Accomplish as much as you can, because I want to discuss your plans for the CSS when I return on Friday. I am very interested in your ideas to clean-up the CSS before the upcoming inspection in May. The programs you will be in charge of are critical to our squadron’s success.
4. I know this is short notice and I wish we could have discussed this together. Plan on meeting me in my office at 0630 hours on 11 March. If anyone can do this tough job, I know you can.
Return to the Rules of Engagement!!
Marcus E. Markinson MARCUS E. MARKINSON, Lt Col, USAF Commander
Attachment: G-Series Orders (Not Included)
310 The Supervisor’s “In-Basket” 311 ITEM #2
Lt (YOU),
Capt Sora p u ru wants to know if you’re stil l on for racq uetba l l on 9 Ma r, 1600 hours.
Please ca l l hi m bac k at 632-XXXX.
MSgt Brown 4 Ma r xx 1030 hrs
Actions to be taken:
312 ITEM #3
Reply Reply Forward Delete to All
From: GREEN, LISA T. SMSgt USAF AFGSC 10 MS/CCF Sent: 3/4/20XX 10:02 AM To: 10 MS/CCQ Org Box Subject: Next Commander’s Call
2d Lt (YOU) , Not sure if you know this or not yet, but the CCQ and CSS are responsible for setting up the monthly commander’s call.
There is a squadron commander’s call scheduled for Monday, 14 Mar 20XX at 1500 hours, at the base theater. I know it’s kind of short notice, but we’ll need a commander’s call agenda from you by COB Monday, 7 March. What items do we want to discuss?
Also, we received two letters of appreciation when Capt White was still here. They should be in your in-basket on your desk somewhere. What do you want to do with them?
V/r,
LISA T. GREEN, SMSgt, USAF First Sergeant 10th Missile Squadron Malmstrom AFB, MT DSN: 632-XXXX
Actions to be taken:
312 The Supervisor’s “In-Basket” 313 ITEM #3A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
(Last year) 21 Dec XX
MEMORANDUM FOR 10 MS/CC
FROM: 341 MW/CC
SUBJECT: CFC Letter of Appreciation
The 20XX Combined Federal Campaign (CFC) was a tremendous success at Malmstrom, thanks to the hard work by people like 2d Lt Judi Parker. As your squadron’s CFC representative, she is raised over $10,000 in donations for organizations giving back to the community on a daily basis. Because of her enthusiastic support, your squadron had 100 percent contact and far surpassed the 10th Missile Squadron goal of $7,500! Please convey to her my deepest appreciation.
Luke S. Walker LUKE S. WALKER, Colonel, USAF Commander
314 ITEM #3B
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
15 Feb XX
MEMORANDUM FOR 10 MS/CC
FROM: 341 OSS/OSX
SUBJECT: Letter of Appreciation
Please pass on my personal thanks to TSgt Ronald Knight for taking the time to serve as an escort at the 341st Missile Wing’s annual dinner/dance on 4 Feb. His professional and energetic demeanor was instrumental in making this event a success. Members of the base and civilian community mentioned TSgt Knight’s professional appearance and manner to me several times. I’m sure you’re pleased to have him in your unit.
Ima P. Lanner IMA P. LANNER, Maj, USAF Chief, Plans and Intelligence Flight
314 The Supervisor’s “In-Basket” 315 ITEM #4
Date: ROUTING AND TRANSMITTAL SLIP 4 Mar XX
TO: (Name, office symbol, room number, building, agency/post) INITIALS DATE
1. 10 MS/CCQ
2. 10 MS/CC 3. 4. 5.
X Action File Note & Return Approval For Clearance Per Conversation As Requested For Correction Prepare Reply Circulate For Your Information See Me Comment Investigate Signature Coordination Justify
REMARKS:
2d Lt (YOU),
What action do you want to take on this? (see attachment)
Room number, building: Bldg. XX Rm. XXX FROM: (Name, office symbol, agency/post) Phone: SMSgt Green, 10 MS/CCF 632-XXXX
Actions to be taken:
316 ITEM #4A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
3 Mar XX
MEMORANDUM FOR 10 MS/CC 10 MS/CCQ
FROM: 10 MS/CCF
SUBJECT: DUI and Arrest of SSgt Stoner (Reminder: He is one of your CSS staff)
1. On Wednesday, 2 Mar XX, at 2310 hours, SSgt Arnold P. Stoner was stopped on base by Se- curity Forces and cited for driving under the influence of alcohol. His blood alcohol content was 0.11 percent, exceeding the legal limit.
2. He stated he left a promotion party for MSgt St. Pierre at the NCO Club, where he consumed a few mixed drinks. He didn’t make a complete stop at an intersection and was pulled over by Security Forces. I was called to the Law Enforcement desk, where I signed him out and took him home.
Lisa T. Green LISA T. GREEN, SMSgt, USAF First Sergeant
316 The Supervisor’s “In-Basket” 317 ITEM #5
Reply Reply Forward Delete to All
From: BROWN, GEORGE C. MSgt USAF AFGSC 10 MS/CSS Sent: 3/3/20XX 06:37 AM To: 10 MS/CCQ Org Box Subject: SSgt Stoner Attachments: SSgt_Arnold_Stoner_MFR.pdf
Capt White,
I heard about SSgt Stoner’s DUI when I came to work this morning. I thought the attached letter might help his case. You know he’s been doing a superior job. That’s why he was selected for a possible move to the MPS (Military Personnel Section). This is a definite job promotion for a person- nel specialist.
He’d be a tremendous asset during the exercise and the ORI. Do you want me to hold him here or okay his move to the MPS?
V/r,
GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff 10th Missile Squadron Malmstrom AFB, Montana DSN: 493-XXXX
Actions to be taken:
318 ITEM #5A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
3 Mar XX
MEMORANDUM FOR 10 MS/CCQ
10 MS/CC FROM: 10 MS/CSS
SUBJECT: SSgt Arnold Stoner
I’ve known SSgt Arnold Stoner for over three years. His performance has always been outstand- ing. He was Malmstrom’s “NCO of the Year” last year, and has always set a good example for the enlisted members while a part of our squadron. He is scheduled to move to a position in the Force Support Squadron’s (FSS) Military Personnel Section (MPS) on Monday, 14 Mar XX. He has my highest personal confidence and I can’t think of a more qualified person for this important posi- tion. Please don’t let a mistake like this ruin his career; he has a lot more to give the Air Force.
George C. Brown GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff
318 The Supervisor’s “In-Basket” 319 ITEM #6
Reply Reply Forward Delete to All
From: BROWN, GEORGE C. MSgt USAF AFGSC 10 MS/CSS Sent: 3/1/20XX 9:24 AM To: 10 MS/CCQ Org Box Cc: WHITE, JOHN C. Capt USAF AFGSC 10 MS/CCQ Subject: Leave 8-19 Mar
Capt White,
Before putting my official leave request into LeaveWeb, I want to coor- dinate my leave dates with you to ensure that there are no schedule con- flicts. I would like to take leave from 8-19 March 20XX, if approved.
As you know, my son is getting married at the Air Force Academy, where he is stationed. Following the wedding, my wife and I are planning to spend some time in the mountains for our second honeymoon.
V/r,
GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff 10th Missile Squadron Malmstrom AFB, Montana DSN: 632-XXXX
Actions to be taken:
320 ITEM #7
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
24 Feb XX
MEMORANDUM FOR A1C FRANK K. JONES, 123-45-6789
FROM: 10 MS/CCQ
SUBJECT: Letter of Reprimand (LOR)
1. Preliminary investigation has disclosed that on or about 23 Feb XX, you were late for duty at Malmstrom AFB, MT. Further investigation disclosed that this is your third (recorded) offense.
2. You are formally reprimanded for your unacceptable behavior and warned that further ac- tion such as this may result in swift and severe disciplinary action. Under the provisions of AFI 36-2907, Chapter 1, I do/do not propose to place this data in your Unfavorable Information File (UIF).
3. Prior to me taking the above action, you may refute the allegation(s). You may submit any written statements or documentary evidence that you feel should be considered in evaluating this matter. You should be aware that creation of a UIF could adversely affect you in areas of promo- tion, assignment and eligibility for special programs. Therefore, you should make every effort to elevate the level of your performance at the earliest possible time.
4. You will acknowledge receipt of this communication by endorsement hereon within three duty days. Any statements or documents, which you wish to be considered in the evaluation of this matter, will be attached to your endorsement.
John C. White JOHN C. WHITE, Capt, USAF Section Commander
Attachments: 1. MFR dated 25 Feb XX 2. MFR dated 14 Feb XX 3. MFR dated 11 Jan XX 4. MFR dated 21 Dec XX (Last year)
320 The Supervisor’s “In-Basket” 321 AUTHORITY: 10 USC 8012
PURPOSE: This is to advise you of the intent to place unfavorable information in your file and afford you the opportunity to furnish additional information to refute the allegation(s).
ROUTINE USES: Information provided in your statement will assist the commander in determining if the unfavorable information will be placed in your UIF.
DISCLOSURE IS VOLUNTARY: If information is not submitted, the commander must determine the disposition of the unfavorable information without benefit of rebuttal, de- nial, mitigation, or extenuating circumstances you may wish to submit.
PRIVACY ACT STATEMENT: Letter of Reprimand (AFI 36-2907)
1st Ind, A1C Jones 25 Feb XX
MEMORANDUM FOR: 10 MS/CCQ
1. Receipt acknowledged.
2. I do/do not desire to comment on the allegation(s) contained in the communication.
3. I have/have not attached statements and documents which I desire to be considered in the evaluation of your proposed action.
Frank K. Jones FRANK K. JONES, A1C, USAF Personnel Specialist
2d Ind, 10 MS/CCQ
MEMORANDM FOR: 341 FSS
I have determined that the attached information should/should not be filed in the mem- ber’s UIF.
JOHN C. WHITE, Capt, USAF Section Commander
322 ITEM #7A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
25 Feb XX
MEMORANDUM FOR 10 MS/CCQ
FROM: A1C JONES
SUBJECT: Letter of Reprimand Response
Sir, I know that I am responsible for my actions, and I realize that I should pay closer attention to getting to work on time. But I don’t feel that my actions deserve a letter of reprimand being placed in a UIF. I have learned my lesson and promise you that it won’t happen again.
I am due to get promoted soon. If you start a UIF, I probably won’t get my stripe. In the past, I have always been a solid performer, and I’ll continue to do good work for you.
I have purchased a second alarm clock in an effort to ensure I get up early enough to get to work on time. I know that I was wrong, but I feel that I have learned my lesson.
Frank K. Jones FRANK K. JONES, A1C, USAF Personnel Specialist
322 The Supervisor’s “In-Basket” 323 ITEM #7B
21 Dec XX
MEMORANDUM FOR RECORD
SUBJECT: A1C Jones’ Tardiness
1. A1C Frank Jones reported 45 minutes late for work this morning. I counseled him and told him that he should be more responsible. He indicated that his alarm failed to go off, and he overslept. I told him that he should work to ensure this didn’t happen again.
2. This is not the first time he has been late. To my knowledge, A1C Jones has been late by as much as 30 minutes on two other occasions. He will be formally counseled with paperwork the next time.
George C. Brown GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff
324 ITEM #7C
11 Jan XX
MEMORANDUM FOR RECORD
SUBJECT: A1C Jones’ Tardiness
1. A1C Frank Jones was two hours late for duty today. He indicated that he overslept (until he re- ceived my phone call) and promised it wouldn’t happen again. I reminded him of our counseling on 21 Dec XX (last year), and told him that I would refer his actions to the section commander for disciplinary action if it continued.
2. A1C Jones received a verbal counseling and a letter of counseling (LOC) in his Personnel Information File (PIF).
George C. Brown GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff
324 The Supervisor’s “In-Basket” 325 ITEM #7D
14 Feb XX
MEMORANDUM FOR RECORD
SUBJECT: A1C Jones’ Tardiness and Referral to 10 MS/CCQ
A1C Frank Jones was 45 minutes late for work again. He stated that his alarm sounded, and he shut it off and went back to sleep. I counseled him that I would request a Letter of Reprimand (LOR) from the squadron section commander.
George C. Brown GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff
326 ITEM #8
Reply Reply Forward Delete to All
From: JESSUP, CHRISTY P. Col USAF AFGSC 341 OG/CC Sent: 2/17/20XX 7:16 AM To: 341 OG Squadron Commanders Distro List Cc: 341 OG Squadron Section Commanders Distro List Subject: Local Exercise 15-19 Mar Attachments: Local_Exercise.pdf
Squadron Commanders,
The Wing will hold a local exercise during the week of 15-19 Mar XX, to test the ability of our group to perform its mission. This exercise will include a mock terrorist attack on a missile launch facility and will serve as an excellent op- portunity to practice for the ORI in May.
I want all squadron commanders to emphasize that the groundwork and attention to detail from our personnel will be key to an “Outstanding” rating. And because we are in our final phase of preparation for the upcoming ORI, I expect 100% partici- pation during this exercise.
In order to identify any areas for improvement, the Base IG Team will be grading every organization, section, and/or flight based on the standards that 20 AF will use during the ORI. Please review the attached memo from Col Walker for addition- al information regarding the exercise. Come ready to fight, be ready to win!
CHRISTY P. JESSUP, Col, USAF Commander 341st Operations Group Malmstrom AFB, Montana DSN: 632-XXXX
Actions to be taken:
326 The Supervisor’s “In-Basket” 327 ITEM #8A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
14 Feb XX
MEMORANDUM FOR 341 MW GROUP COMMANDERS
FROM: 341 MW/CC
SUBJECT: Local Exercise
1. We will hold a local exercise during the week of 15-19 Mar XX to test our ability to perform the wing’s mission. This exercise will include a mock terrorist attack on a missile launch facility and will serve as an excellent opportunity to practice for the Operational Readiness Inspection (ORI) in May.
2. It is very important for all commanders to impress upon their people the importance of these exercises and to encourage everyone to do their best, giving that “extra effort.” I am confident of our ability to do our job, and a good showing in this exercise will help us better prepare for the ORI. Remind all personnel that only through exercises, such as this, can we be fully prepared to perform our best, and remain a credible deterrent force.
3. Finally, in order for us to identify areas for improvement, we will be grading each squadron based on 20 AF standards during this exercise. If you have any questions, please contact the Wing IG Office at DSN 632-XXXX.
Luke S. Walker LUKE S. WALKER, Colonel, USAF Commander
328 ITEM #9
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
28 Feb XX
MEMORANDUM FOR 10 MS/CC
FROM: 10 MS/CCF
SUBJECT: Apprehension of SrA Gail Wallace
1. On Saturday, 26 Feb XX, at 1815 hours, SrA Gail Wallace was apprehended for possession of marijuana while attempting to enter the base. After driving through the Main Gate, she was stopped by the Security Forces for a random vehicle search. She and her civilian passenger, Rudolph Rudman, waited outside the vehicle while a SF working dog team searched her vehicle. The dogs discovered two marijuana cigarettes beneath the front passenger seat.
2. Rudman was transferred to the Great Falls police, who cited him for possession and released him. Colonel Walker has barred him from entry into the base indefinitely.
3. SrA Wallace met Rudman in an accounting class they were taking at Great Falls College. This was their first date and they were on their way to the BX food court for dinner.
Lisa T. Green LISA T. GREEN, SMSgt, USAF First Sergeant
328 The Supervisor’s “In-Basket” 329 ITEM #9A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
2 Mar XX
MEMORANDUM FOR 10 MS/CC
FROM: 341 SW/JA
SUBJECT: Drug Charges, SrA Wallace (Reminder: She is one of your CSS Staff members)
1. I’ve reviewed the details regarding SrA Gail Wallace’s apprehension at the Main Gate on Sat- urday, 26 Feb XX.
2. Whether or not SrA Wallace was aware of the marijuana, she is, as the vehicle owner/opera- tor, responsible for the actions of the vehicle’s occupants. In a sense, she sponsored Mr. Rud- man when she attempted to bring him onto the base, and this fact should be stressed. Your legal options vary in regard to the degree you wish to make an example of this case and the degree to which the convening authority wishes to press the issue.
3. If you believe her story, a verbal or written reprimand (with or without a UIF) may be appro- priate. You may arrange for a polygraph test (if SrA Wallace agrees); the results may lead you to issue an Article 15 or bring charges for courts martial. Also, you may want to consider a com- mander directed urinalysis and/or blood test. You have enough probable cause to do so.
4. Call me if I can be of further help.
Yuri N . Trouble YURI N. TROUBLE, Lt Col, USAF Staff Judge Advocate
330 ITEM #9B
Date: ROUTING AND TRANSMITTAL SLIP 1 Mar XX
TO: (Name, office symbol, room number, building, agency/post) INITIALS DATE
1. 10 MS/CCQ
2. 10 MS/CC 3. 4. 5.
X Action File Note & Return Approval For Clearance Per Conversation As Requested For Correction Prepare Reply Circulate For Your Information See Me Comment Investigate Signature Coordination Justify
REMARKS:
Capt White,
Attached is SrA Wallace’s statement regarding her incident at the main gate.
As a reminder, she sews her Staff Sergeant stripe on on 1 Apr XX. MSgt Brown has only super things to say about her performance. What do you want to do?
Room number, building: Bldg. XX Rm. XXX FROM: (Name, office symbol, agency/post) Phone: SMSgt Green, 10 MS/CCF 632-XXXX
Actions to be taken:
330 The Supervisor’s “In-Basket” 331 ITEM #9C
STATEMENT
28 February 20XX
On 26 February 20XX, at about 1815 hours, I was driving my car onto base when I was stopped by Security Forces and told to pull over for a random vehicle search. Rudolph Rudman, whom I met two weeks earlier in my accounting class at Great Falls College, was with me. In our last class, Wednesday, 23 Feb XX, Rudman asked me out on a date for Saturday night, and I ac- cepted. He seemed like a nice guy. I suggested we go to the BX food court for dinner, since they have a Popeye’s and I’d been craving chicken all week. Rudman told me his car was in the shop and asked me to drive.
When the SF dogs went through my car, they found two joints on the floor under Rudman’s seat (the front passenger seat). I have no idea how these drugs got into my car. They must have been Rudolph’s. We’ve never discussed drugs and I assumed he was not a user. I wouldn’t have accepted a date with him had I known he was a drug user. I am aware of Air Force policy regarding drugs and drug users, and I’ve never used illegal drugs. I love the Air Force and want to make it my career, and I would never do anything to jeopardize the trust I’ve earned from my supervisors.
Gail L. Wallace GAIL L. WALLACE, SrA, USAF Personnel Specialist
332 ITEM #9D
Reply Reply Forward Delete to All
From: JESSUP, CHRISTY P. Col USAF AFGSC 341 OG/CC Sent: 3/1/20XX 8:17 AM To: MARKINSON, MARCUS E. Lt Col USAF AFGSC 10 MS/CC Cc: 10 MS/CCQ Org Box Subject: SrA Wallace
Marcus,
Per our earlier discussion, I spoke with Col Walker about SrA Wallace’s case. As you know, he’s very tough on drug users and normally prosecutes them to the maximum. I convinced him to trust your judgment on this case. He wants that decision by close of business on 10 March.
Let’s discuss the way ahead and your decision NLT COB 9 March.
CHRISTY P. JESSUP, Col, USAF Commander 341st Operations Group Malmstrom AFB, Montana DSN: 632-XXXX
Actions to be taken:
332 The Supervisor’s “In-Basket” 333 ITEM #10
Reply Reply Forward Delete to All
From: SPEAKER, PATRICIA A. Capt USAF AFGSC 341 SW/PA Sent: 1/20/20XX 1:16 PM To: 10 MS/CCQ Org Box Subject: Kiwanis Club Speaking Engagement
Good afternoon Capt White,
I just received a request from the Great Falls Kiwanis Club for a section commander to speak at their monthly dinner at the Great Falls Interna- tional Airport on 9 Mar XX. The topic of discussion is “A Junior Officers’ Perspective on the Civilian-Military Relationship.” When I saw this topic I immediately thought of you because of the insight you have on this topic as CCQ for the 10 MS.
Cocktails begin at 1630, dinner at 1700, and your speech at 1745. Please contact Cary Ekberg, Kiwanis President, NLT Friday, 15 Feb XX. If you have questions, call me.
PATRICIA A. SPEAKER, Capt, USAF Chief, Public Affairs 341st Missile Wing Malmstrom, AFB DSN: 632-XXXX
Actions to be taken:
334 ITEM #10A
12 Feb XX
Mr. Cary A. Ekberg, President Great Falls Kiwanis Club Great Falls, MT 59408 406-452-8170
Captain John C. White, Section Commander 10th Missile Squadron Malmstrom Air Force Base, MT 59405 406-731-1234
Dear Captain White,
Thank you for accepting the opportunity to speak at our upcoming Great Falls Kiwanis Club lun- cheon. Your time and experience as a section commander, as well as your tireless community service, will play nicely into our discussions on the military-civilian relationship.
We look forward to hearing your opinions on “A junior officers’ perspective on the civilian-military relationship,” as well as getting to know our military counterparts better. We will see you at the Great Falls International Airport on 9 Mar XX; social hour begins at 1630, dinner at 1700 and your discussion at 1745.
Very respectfully, Cary A. Ekberg CARY A. EKBERG, President
Actions to be taken:
334 The Supervisor’s “In-Basket” 335 ITEM #11
Reply Reply Forward Delete to All
From: MARKINSON, MARCUS E. Lt Col USAF AFGSC 10 MS/CC Sent: 2/17/20XX 5:02 PM To: 10 MS/CCQ Org Box Subject: Seatbelt Policy Distribution Attachments: Seatbelt_Use_Policy.pdf
Capt White,
Attached is the new policy letter on seatbelt wear. We need to get the in- formation out to the entire squadron. I want this accomplished ASAP!
MARKINSON, MARCUS E., Lt Col, USAF Commander 10th Missile Squadron 341st Missile Wing Malmstrom, AFB DSN: 632-XXXX
Actions to be taken:
336 ITEM #11A
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
15 Feb XX
MEMORANDUM FOR 341 OG PERSONNEL
FROM: 341 MW/CC
SUBJECT: Seatbelt Use Policy
1. In accordance with AFI 31-204_341SWSUP, Air Force Motor Vehicle Traffic Supervision, seatbelt use is mandatory when operating a vehicle or riding as a passenger in any vehicle, POV or GMV, on Malmstrom AFB.
2. Due to recent events, I have directed Security Forces to crack down on those individuals observed not wearing a seatbelt. Violators will be ticketed and lose their base driving privileges for 30 days for first time offenders, 60 days for second time offenders, and 120 days for the third violation. Additionally, violators’ names and organizations will be briefed to squadron, group, and wing leadership.
3. I cannot stress enough the importance of wearing a seatbelt at all times. According to the Centers for Disease Control and Prevention, seatbelt wear reduces serious crash-related injuries and death by 50%. The bottom line is wear a seat belt on every trip, no matter how short; keep Malmstrom AFB safe.
Luke S. Walker LUKE S. WALKER, Colonel, USAF Commander
336 The Supervisor’s “In-Basket” 337 ITEM #11B
Reply Reply Forward Delete to All
From: MARKINSON, MARCUS E. Lt Col USAF AFGSC 10 MS/CC Sent: 2/28/20XX 1:15 PM To: 10 MS/CCQ Org Box Subject: Seatbelt Policy Distribution Attachments: Seatbelt_Policy.pdf
John,
I still haven’t seen anything posted concerning the new seatbelt policies… What have you done to get the word out to the squadron since the 17th?
MARKINSON, MARCUS E., Lt Col, USAF Commander 10th Missile Squadron 341st Missile Wing Malmstrom, AFB DSN: 632-XXXX
Actions to be taken:
338 ITEM #12
DEPARTMENT OF THE AIR FORCE 341ST MISSILE WING (AFGSC)
1 Feb XX
MEMORANDUM FOR 341 MW/CC
FROM: 20 AF/CC F.E. Warren AFB, WY 82005-5000
SUBJECT: Alcohol-Related Incidents (ARIs)
1. Last quarter, the number of alcohol-related incidents (ARIs) at Malmstrom AFB increased over 50 percent from the same quarter last year. A vast majority of these incidents occurred by members driving under the influence of alcohol and/or underage drinking. I will not tolerate this behavior from any Air Force personnel, nor can I allow last quarter’s trend to continue over this year.
2. All commanders will ensure their personnel are cautioned on the moderate use of alcohol and the consequences of misuse. Only through close attention and endorsement of this policy can we regain control of this alcohol problem.
John A. Hutchison JOHN A. HUTCHISON III Major General, USAF Commander
Actions to be taken:
338 The Supervisor’s “In-Basket” 339 ITEM #13
Reply Reply Forward Delete to All
From: GREEN, LISA T. SMSgt USAF AFGSC 10 MS/CCF Sent: 3/1/20XX 15:55 PM To: 10 MS/CCQ Org Box Subject: Meeting w/ A1C Baitty
Capt White,
A1C Baitty, a member of Bravo flight, desperately needs to talk to you concerning a personal matter (a sexual harassment claim involving her supervisor).
She can meet you at 1245, Monday, 7 Mar. She completes her tour in the field Mon- day morning, and then goes TDY on Tuesday, 8 Mar at 0600.
The reason she wants to speak to you is because she feels she is getting all of the worst duty assignments/tasks and is too scared to discuss it with her flight co m m a n d e r.
Do you want me to confirm this meeting?
V/r,
LISA T. GREEN, SMSgt, USAF First Sergeant 10th Missile Squadron Malmstrom AFB, MT DSN: 632-XXXX
Actions to be taken:
340 ITEM #14
Reply Reply Forward Delete to All
From: GREEN, LISA T. SMSgt USAF AFGSC 10 MS/CCF Sent: 3/1/20XX 17:06 PM To: 10 MS/CCQ Org Box Subject: A1C Jones’ LOR
Capt White,
Just wanted to verify that A1C Jones has signed the LOR?
If so, have you decided whether to place this in his UIF after reading his LOR response letter?
Please ensure that I get the official signed copy and let me know whether to have it placed in his UIF or not. We must be swift with this corrective response, or else lose all respect to the issue at hand.
V/r,
LISA T. GREEN, SMSgt, USAF First Sergeant 10th Missile Squadron Malmstrom AFB, MT DSN: 632-XXXX
Actions to be taken:
340 The Supervisor’s “In-Basket” 341 ITEM #15
Reply Reply Forward Delete to All
From: SORAPURU, MICHAEL D. Capt USAF AFGSC 341 SW/CCE Sent: 2/21/XX 10:58 AM To: 10 MS/CCQ Org Box Subject:: EPR/OPR On-Time Rate
Capt White,
Next month, the on-time rate for EPRs/OPRs from each squadron will begin to be briefed to Colonel Walker at the weekly wing staff meeting.
As you know, it’s your job as section commander to ensure that every OPR/ EPR requiring Col Walker’s signature is in our office 30 days before it is due. As it stands, your squadron is averaging a dismal 50% on-time rate to the wing. I need you to come see me with a plan of action on how to fix this situation before it becomes an embarrassment to your squadron and the Operations Group as a whole.
Please have your plan of action to me not later than (NLT) 8 Mar XX, COB.
MICHAEL D. SORAPURU, Capt, USAF Executive Officer 341st Missile Wing Malmstrom AFB, MT DSN: 632-XXXX
Actions to be taken:
342 ITEM #16
Reply Reply Forward Delete to All
From: BROWN, GEORGE C. MSgt USAF AFGSC 10 MS/CSS Sent: 3/2/20XX 08:49 AM To: 10 MS/CCQ Org Box Subject: CSS Staff Meeting
Capt White,
The 10 CSS staff meeting is still scheduled for Monday, 7 Mar at 1300 hours, in the squadron conference room.
V/r,
GEORGE C. BROWN, MSgt, USAF NCOIC, Commander’s Support Staff 10th Missile Squadron Malmstrom AFB, Montana DSN: 632-XXXX
Actions to be taken:
342 The Supervisor’s “In-Basket” 343 ITEM #17
Reply Reply Forward Delete to All
From: MARKINSON, MARCUS E. Lt Col USAF AFGSC 10 MS/CC Sent: 3/2/20XX 10:22 AM To: 10 MS/CCQ Org Box Subject: Overdue GTC Accounts Attachments: GTC_Overdue_Account_TSgt_Frivolous.pdf
Capt White,
I just received the monthly overdue reports from the Government Credit Card (GTC) Company. It appears that TSgt Frivolous did not pay his bill on time and has an overdue account.
Attached is a copy of TSgt Frivolous’ account statement that I received from fi- nance. He attended the courses at Fairchild AFB, WA on the 13th and 14th of De- cember.
From glancing at it, it appears that some of the charges may not have been au- thorized. (TSgt Frivolous’ orders did authorize a rental car for the TDY). Please review this and take action ASAP. This overdue account is being reported to wing leadership and it’s making our squadron look bad.
V/r,
MARKINSON, MARCUS E., Lt Col, USAF Commander 10th Missile Squadron 341st Missile Wing Malmstrom, AFB DSN: 632-XXXX
Actions to be taken:
344 ITEM #17A
Government Credit Card Services Account #: 290 083 734 6378 (TSgt I. M. Frivolous) 1 December 20xx–28 February 20XX Statement
Summarized Statement of Charges Amount Date
Fly High Airlines, Inc. (round-trip airfare to Spokane, International Airport) $205.00 2 Dec XX (Last year)
Fairchild NCO Club (evening buffet) $15.70 13 Dec XX
Fairchild NCO Club (evening buffet/bar) $22.50 14 Dec XX
Alpine Lodge (ski lift tickets) $55.00 15 Dec XX
Rainier Mall (CD Player) $78.00 15 Dec XX
Fairchild Billeting (charge for 3 night’s stay) $36.00 16 Dec XX
Junks-R-Us Car Rental Co. $98.75 16 Dec XX (medium size, unlimited miles)
February Late Fee $25.00 27 Feb XX
TOTAL CHARGES: $535.95
TOTAL DUE: $535.95
344 The Supervisor’s “In-Basket” 345 ITEM #18
Lt (YOU),
Janet Loga n ca l led wan ting to know if you a re stil l plann ing on vol unt ee ring and orga n izing a grou p from the Compa n y Grade Offi cers’ Counc il (CGOC) to vol unt ee r at this yea r’s Specia l Ol ym pics on 17 Marc h.
Please ca l l h e r bac k ASAP! 699-XXXX
MSgt Brown 7 Ma r xx 1134 hrs
Actions to be taken:
346 ITEM #19
Date: ROUTING AND TRANSMITTAL SLIP 1 Mar XX
TO: (Name, office symbol, room number, building, agency/post) INITIALS DATE
1. 10 MS/CCQ
2. 10 MS/CC 3. 4. 5.
Action File Note & Return Approval For Clearance Per Conversation As Requested For Correction Prepare Reply Circulate For Your Information See Me
Comment Investigate X Signature Coordination Justify
REMARKS:
2d Lt (YOU) ,
IAW AFI 91-201, the attached appointment letter requires the Commander’s sig- nature. I recently took over the safety program and this letter needs to be signed in order to make it official.
Room number, building: Bldg. XX Rm. XXX FROM: (Name, office symbol, agency/post) Phone: 1st Lt Jerome Jackson, 10 MS/DOA 632-XXXX
Actions to be taken:
346 The Supervisor’s “In-Basket” 347 ITEM #19A
DEPARTMENT OF THE AIR FORCE 341ST SPACE WING (AFSPC)
7 Feb XX
MEMORANDUM FOR 341 MW/SE
FROM: 10th MS
SUBJECT: Appoitnment of Unit Safety Representatives (USR)
1. In Accordence with AFI 91-202 para. 2.2, The US Air Force Mishap Prevention Program, each unit will have a unet safety rep (USR). The following individals have been appointed to be as the Unit safety Reps for the 10th Missile Sq;
a. Primary: 1st Lt Jerome Jackson b. Alternate: 2LT Sara Rivera
2. This letter supersedes all previous letters of the same subject. Please contact 1LT Jerome Jack- son at DSN 632-XXXX if there are any questions.
Marcus E. Markinsen, Lt Col, USAF Commander
Actions to be taken:
348 ACRONYMS
AFB – Air Force Base AFI – Air Force Instruction AFGSC – Air Force Global Strike Command ARI – Alcohol Related Incident BX – Base Exchange CC – Commander CCQ – Section Commander CCE – Commander’s Executive Officer CCF – First Sergeant CFC – Combined Federal Campaign CGOC – Company Grade Officers’ Council COB – Close of Business CSS – Commander’s Support Staff DO – Director of Operations DUI – Driving Under the Influence EPR – Enlisted Performance Report FSS – Force Support Squadron GMV – Government Motor Vehicle GTC – Government Travel Card ICBM – Intercontinental Ballistic Missile IG – Inspector General JAG – Judge Advocate General LOC – Letter of Counseling LOR – Letter of Reprimand MPS – Military Personnel Section MS – Missile Squadron MW – Missile Wing NCO – Noncommissioned Officer NCOIC – Noncommissioned Officer In Charge NLT – No Later Than NSI – Nuclear Surety Inspection OG – Operations Group OPR – Officer Performance Report ORI – Operational Readiness Inspection PCS – Permanent Change of Station PIF – Personnel Information File POV – Privately Owned Vehicle SF – Security Forces SQ, Sq, Sqdn – Squadron STEP – Stripes for Exceptional Performers TDY – Temporary Duty UIF – Unfavorable Information File USR – Unit Safety Rep
348 The Supervisor’s “In-Basket” 349 Ethical and Moral Leadership in the Military
Activity Statement: • View the movie Saving Private Ryan and discuss the importance of morals and ethics for military leaders.
Affective Lesson Objective: • Value the importance of morals and ethics for military leaders.
Affective Samples of Behavior: • Explain how an officer’s responsibilities establish their priorities for making decisions. • Defend why unlawful orders must be disobeyed. • Defend the need to recognize and ignore illegal/immoral orders. • Describe the ethical dilemmas imposed during war/conflict. • Describe the ethical issues surrounding killing prisoners of war/ enemies. • Actively participate in classroom discussion regarding ethical considerations in war.
350 ETHICS THEORY FOR THE MILITARY PROFESSIONAL Chaplain (Col) Samuel D. Maloney Adapted from Air University Review 32, no. 3 (March-April 1981) he United States is increasingly concerned with ethics. More professors are teaching courses in ethics and more students are studying ethics than ever before. TIncidents in Vietnam and Washington have reminded us that people in all walks of life are vulnerable to doing what is wrong. Professional groups—lawyers, doctors, teachers, engineers, business managers, and others—are structuring codes of ethics for their members. Throughout the past decade, military professionals at the service academies and educational centers have shown increasing interest in the study of ethical principles. Most officer training schools now include at least an elective on professional ethics, in which officers are encouraged to construct codes of ethics for the military service. Perhaps we are realizing that right and wrong may differ from common practice, majority opinion, or what the system will tolerate. Perhaps we as a nation are beginning to see the fallacies in the ethical relativism of “doing your own thing.” We may even be ready to acknowledge the complexity of ethical decision making and move beyond the dominating principle of personal or public happiness. Some of us are ready to assert that, in addition to such preeminent values as beneficence and justice, ethical behavior also involves past commitments, present relationships, and future hopes. This article will probe some of the complexities of acting ethically within the military system. I propose to direct your thinking in three ways: (1) to identify the fundamental pressures that are upon us all, that is, the ethical bases or theories to which we are responsive; (2) to highlight the importance of certain areas where ethical problems abound; and (3) to reaffirm some basic principles to guide us.
THE COMPLEX ETHICAL PRESSURES
he complex ethical pressures upon the military professional are the rules, goals, and situations that provide the context and criteria for determining what is right Tand wrong, good and bad. The moment of decision making or action taking for the military professional is crowded with signals emanating from rule-oriented obligations, goal oriented aspirations, and situation-oriented demands. Each individual is responsible for juggling the moral claims from these sources and for determining which signals merit priority.
350 Ethical and Moral Leadership in the Military 351 Rule-Oriented Obligations Rules most commonly provide the primary criteria for ethical judgments. The questions “What ought I to do?” and “What is right for me to do?” reflect not only a sense of obligation but also an awareness that a standard exists for establishing what is obligatory and what is right. Originally, these were religious questions referring to the will of God. They now have become questions for the citizen and military professional. Military personnel, more than most citizens, live under a sense of obligation, aligned with a strong base of order, obedience, and discipline. We have taken oaths admitting us into the ranks of the military. As officers we affirmed a commissioning vow. We swore to “support and defend the Constitution of the United States.” As citizens we are also obligated to honor constitutional justice, civil law, and the social and ethnic mores of our communities. The primary ethical pressures upon us, however, are such formal mandates as telling the truth, keeping promises, respecting property, and preserving life. These constitutive or universal norms are the mortar without which social institutions would crumble. While such norms need not be regarded as absolute moral restrictions, the burden of proof is always upon those who would take exception to them. Rule-oriented living has a long history in Western religions. The orthodox Jew, by the beginning of the Christian era, lived under an elaborate complex of conditioned and unconditional laws. The covenantal requirements of Mosaic Law consisted of 613 injunctions, 365 “thou shalt not” prohibitions and 248 “thou shalt” obligations. Far from burdensome, the Law clearly defined what God would have the believer do and not do; it provided the moral framework for life. For the Christian, law has been redefined as living in an obedient relationship with God through heeding the teachings of Jesus. The Sermon on the Mount, the ethical catechism of the early Church, and the Thomistic understanding of moral law have provided a deontological* interpretation of morality. The pressure upon the Christian is not to be conformed to this world but to be transformed in order to prove what is the good and acceptable and perfect will of God (Romans 12:2).
*As relating to the ethics of duty or moral obligations.
Today the followers of Islam are more rigidly fundamental than either Jews or Christians in their understanding of morality as obedience to a set code or to religious leadership. Islam means “to submit,” and a Muslim is “one who has submitted.” The Koran, the recited teachings of Muhammad, the Prophet of Islam defines the essential duties decreed by Allah and binds the believer to loyal subjection. The rule-oriented approach to ethical theory establishes in given standards the criteria for determining right and wrong. Dilemmas exist when two or more obligations conflict. One must sometimes choose between what one believes God commands and what the state requires, between what a superior officer orders and what regulations prescribe, or between what law exacts and what personal conscience dictates. The philosopher Immanuel Kant
352 is the premier exponent of a method for determining fundamental obligations. For Kant the supreme principle of morality is good will, and “the first proposition of morality is that to have moral worth an action must be done from duty,”1 irrespective of consequences. The subject maxim by which duty is determined is the categorical imperative, that which is binding without exception. Two expressions of the categorical imperative are especially meaningful. The first is: “I should never act in such a way that I could not also will that my maxim should be a universal law.”2 For example, should I submit false reports—whether of body counts, flying hours, or materiel readiness—when I perceive my best interest lies in false reporting? No, for this maxim cannot be universalized without destroying the maxim by rendering all reporting invalid. A second valuable expression of the categorical imperative is: “Act so that you treat humanity, whether in your own person or in that of another, always as an end and never as a means only.”3 (We will return to this self- explanatory binding rule later.) Kant did not discuss what one should do when categorical imperatives conflict.
Goal-Oriented Aspirations
In addition to citing rules, we determine which decisions and actions are ethical by referring to goals. The previous question was “What ought I to do?” The questions here are “What is good?” or “What goal should I seek?” The criteria for determining right and wrong are no longer historical standards but future consequences. The good decision or action is measured by its ability or promise to attain a desired goal. Aristotle defined the good all men seek as happiness.4 Jeremy Bentham elaborated this happiness principle of ethics as the principle of utility, “that principle which states the greatest happiness of all those whose interest is in question, as being the right, proper, and only right and proper and universally desirable, end of human action.”5 In the hands of John Stuart Mill, the greatest happiness principle was enlarged to include the general good of all: “the happiness which forms the utilitarian standard of what is right in conduct, is not the agent’s own happiness, but that of all concerned.”6 Popularly stated, this goal is “the greatest good for the greatest number.” For the military professional, goal-oriented aspirations are a combination of the public good and personal happiness. On the public side is an array of national goals and military objectives. Our aim is to assure the security of the United States, defend against aggression, and aid our allies. The more immediate objective is accomplishing the mission. This may range from training personnel and maintaining weapon systems to delivering personnel and supplies, striking targets, or defeating enemy forces. On the personal side, we want job satisfaction, recognition, promotion, financial security, high OER/APR ratings, a happy home, and an overall sense of fulfillment in life. I have identified the ethical theories by which we judge right and wrong as pressures because the signals we get from these theories are frequently in tension. Our goals are often at odds with each other. Conflict between goals and rules, moreover, is also common. This confusion in life may be likened to a football game. While ultimately the goal is to score points, immediate choices have to be made among short-yardage plays, long-yardage plays, passing, running, kicking, field goal, or touchdown efforts. Whatever
352 Ethical and Moral Leadership in the Military 353 the decision, all actions are governed by set rules and called plays. If the ball is advanced but the rules violated, the team can be penalized valuable yards. If the signals are ignored, a broken play and lost yardage may result. Sometimes when the quarterback sees that the play called in the huddle will not work, he resorts to calling an “audible;” that is, he adjusts to an unexpected defensive alignment. The audible introduces us to a third type of ethical judgment, the situation-oriented decision.
Situation-Oriented Decision
In the early 1960s a popular way of making moral decisions received new definition: situation ethics or the new morality. Both leading proponents, Joseph Fletcher and John A. T. Robinson, were churchmen. The significant questions they asked were “What is appropriate to the situation?” or “What is fitting?” In situation ethics the particular circumstances of a situation provide the criteria for determining right and wrong. Here, each situation is unique, without precedent. Judgments must be relative to the circumstances; the circumstances determine what actions should be taken. Without the binding and unexceptionable absolute of love, situation ethics would have mirrored the permissive society in which it emerged. Of rule-oriented judgments, Fletcher said, “Situation ethics keeps principles sternly in their place, in their role of advisers without veto power.”7 A major limitation of situation ethics is its focus on the unusual, once-in-a-lifetime circumstance. It is not geared to day-by-day living; it provides no game plan. The situations in which we must make ethical decisions, after all, have a sameness about them to which rules or goals do apply. Any realistic person knows that under certain conditions we must act situationally. When shot down behind enemy lines, we know we will lie or steal to survive and return to friendly forces. This admission, however, does not mean that ethical theory should tolerate lying or stealing or should make easy my evasion of the formal mandates on which civilization is structured. While none would fault the importance situationists place on acting in a loving manner, love is a motive, an attitude; love is not a program with content. Situation ethics resists systematization; it can never be normative. Without appropriate checks and balances, situation ethics could lead to ethical anarchy. Military professionals do occasionally find themselves in circumstances where regulations and mission objectives fail to provide sufficient guidelines. In those rare instances the aptitude for innovative leadership can be a virtue. When followed inflexibly, any of the three approaches to understanding the bases for our ethical judgments can result in moral aberration: exclusive attention to rules can result in legalism; rigid adherence to Mill’s utilitarian goal of the greatest good for the greatest number can promote a tyranny of the majority; and preeminent attention to situations can result in loss of directives and moral chaos.
354 THE PREDOMINANT ETHICAL PROBLEMS
tudying ethics theories without relating them to the predominant ethical problems of military professionals would be merely an intellectual exercise. These theories Sare tools to help us think more clearly about our decisions and actions. Three overlapping areas in which our theories may be applied to problems are people, integrity, and career.
People
Human needs are a military commander’s prevailing problem. I asked a newly appointed group commander what he considered the hardest part of his responsibility. Without hesitation he replied, “Making people decisions is the most difficult part of being a commander.” He was rapidly discovering the complexities of leading people. People have needs, they have frailties, and they have great potential. People need consideration, recognition, stroking, and encouragement. In 1976 as a group project, students of the Air Command and Staff College prepared Guidelines for Command: A Handbook on the Management of People for Air Force Commanders and Supervisors. Chapter 2 is entitled “Solving Problems Involving People.” This chapter lists 57 entries on problem situations from AWOL to weight control. It makes no mention of such human problems as abortion, incest, homosexuality, sexual deviance, gambling, marital problems, moral problems, religious problems—the kinds of problems chaplains confront on a regular basis. These are problems people have which a commander cannot ignore. A recurring complaint included in the 1970 Army War College’s Study on Military Professionalism is this: “Across the board the Officer Corps is lacking in their responsibility of looking out for the welfare of subordinates.” Being a commander is working with people. The military is people. America is people. The military exists to serve the people of America. However it may have been understood in the past, military leadership is now measured by management and motivational skills. Leadership is more than giving orders; anyone can give orders. The skilled leader knows how to motivate the people on whom he depends to accomplish the mission. People are the focus of every command and the heart of every mission.
Integrity
The second major ethical concern for military professionals is probably integrity. I asked the commander of the North Carolina Air National Guard what he considered to be the greatest ethical problem in the Air Force; he answered: “Integrity, especially in reporting.” The Army War College’s Study on Military Professionalism (1970) supports this perception. Integrity is a major concern of that study. Typical of the remarks from questionnaires were these:
354 Ethical and Moral Leadership in the Military 355 CPT: …reluctance of middle officers to render reports reflecting the true materiel readiness of their unit. Because they and their raters hold their leadership positions for such short periods, they feel that even one poor report will reflect harshly upon their abilities. MAJ: I am concerned with honesty—trust—and administrative competence within the Officer Corps. …Commander influence impairs calling a “spade a spade.” MAJ: The system forces unethical reporting and practices and punishes variation. This last remark is especially significant, for it places the blame on the system. The system does create pressure, and it is certainly not errorless. Integrity, however, is a human concern; people operate, perpetuate, and validate any system. Responsibility for moral integrity cannot be shifted. Some systems may make honesty more difficult than others, but the system only reveals what an individual’s values really are. Ethically alert military personnel will always be disturbed by the variances between the ideal standards proclaimed by the services and the actual practices that overtly deviate from those standards. At a meeting of the Inter-University Seminar on Armed Forces and Society meeting at Maxwell Air Force Base in October 1976, a graduate of the Air Force Academy voiced his great disillusionment after only four months at his first assignment. The discrepancies between the ideals espoused by the USAF Academy and the operative standards of an Air Force base were leading him to consider resigning his commission.
Career
Integrally related to the problem of integrity is the problem of placing career before honor. The military professional should be concerned about his or her career. Achievement ranks high in the officer’s code of values. A fine line, however, separates valid concern of one’s success in the military from excessive, unhealthy careerism. Crossing this fine line is a problem not unique to the military. John Dean’s Blind Ambition and John Ehrlichman’s Washington Behind Closed Doors confirm the prevalence of excessive careerism. Whatever the profession, personal ambition can cloud ethical judgment and make fools of us all. In the military, preoccupation with career can lead us to be yes- men for the commander instead of constructive critics. It can lead us to cover up for the commander. It can lead us to keep unwelcome reports from him. It can lead us to cover for ourselves in our effort to look good at all costs. It can lead us to do what we know is morally wrong. As one officer in the Study on Military Professionalism observed: “It takes a great deal of personal courage to say ‘the screw-up occurred here’ rather than passing the blame to the lower level.”
356 The September 1977 issue of Human Behavior magazine reported the results of a survey of 173 American generals conducted by Brig Gen Douglas Kinnard (U.S. Army, retired). All the generals had served in Vietnam between 1965 and 1972. This article was summarized by the Washington Post and reprinted in local newspapers. The summary reads: Kinnard found an uneasiness among generals over handling of the war. More than half, for example, felt search and destroy missions at the center of the American strategy should have been better executed. Asked why generals had not spoken out during the war, Kinnard, now a political science professor at the University of Vermont, said, “The only thing I can think of is careerism.”8 Gen George C. Marshall once observed that decisions requiring moral courage are much harder to make than decisions pertaining to physical courage. The reason? “This is when you lay your career, perhaps your commission on the line.” Establishing priorities between goal-oriented career aspirations and rule-oriented obligations may be the most difficult moral choices officers face.
THE ABIDING ETHICAL PRINCIPLES
ilitary professionals can never stray from the time honored principles of “Duty, Honor, Country” and remain true to their calling. The three ethic theories Moutlined—rule-oriented obligations, goal-oriented aspirations, and situation- oriented decisions—are useful in the service of “Duty, Honor, Country.” These theories together with the three abiding principles can be applied to the difficult problems suggested under the subtopics of people, integrity, and career.
Duty: Conduct and Person-Oriented Leadership
The military services are just that—services. They exist to defend and support human values. The key personnel in the military for promoting these services are the military professionals. The duty of the military professional is to conduct person-oriented leadership, leadership consistent with the fundamental commitments of this nation. Most military professionals are aware that those they seek to lead are people first and soldiers, sailors, or airmen second. They have entered the military with unique personalities and individual sets of motivations, interests, attitudes, and values. They share basic needs for survival, belonging, esteem, and self-realization. Each of these needs must be met in turn for the next to become operative. Although servicemen wear uniforms, they also participate in an intricate network of civilian relationships. They have wives, children, husbands, parents, hopes, fears, dreams, religious ideals, and names. The successful leader remembers that he or she is dealing with whole beings, people who are infinitely more than mechanics, clerks, typists, technicians, artillerymen, or pilots.
356 Ethical and Moral Leadership in the Military 357 In our desire to achieve our military missions successfully, we are sometimes tempted to depersonalize those with whom we work along with those against whom we fight. The latter attitude is especially prevalent. We reduce the enemy to objects; we take away their names and nationalities and call them “Huns” or “Gooks” or simply “little yellow bastards.” We try to protect our own self-image by pretending that the enemy we are killing is less than a human being with a name and with a family. Similarly but more subtly, we depersonalize our associates in the military when we treat them as hands or troops who are there to do our bidding or to advance our careers. Person-oriented leaders respect the personhood of each individual in the command, they establish I-Thou rather than I-It relationships. Kant’s dictum applies: people are ends in themselves, never means. The real obscenity in the world is objectifying people, treating them as things rather than as persons. I like the counsel of a staff officer associate. He advised me as follows: “I have never gone wrong by treating those under me as people and respecting them as such.”
Honor: Exemplify Moral Integrity
Any code of ethics devised for military professionals undoubtedly will contain articles that emphasize the importance of professional and personal integrity and that recognize the professional officer’s responsibility to be an example of integrity for subordinates. The current chief of Army chaplains, writing for Parameters some years ago, reported on a study of ethics among businessmen conducted by Harvard Business Review. The study revealed a double-edged situation: some businessmen felt pressured to compromise their integrity in order to please their superiors, others felt pressured by bosses who expected integrity. The study concluded: “If you want to act ethically, find an ethical boss.”9 The lesson for the military is: If you want integrity to prevail in the military, act ethically yourself and expect ethical actions from your subordinates. Integrity, like person-oriented leadership, is a whole-person concept. A former chief of Air Force chaplains reminds us: Integrity is not just truth telling, or kindness, or justice, or reliability. Integrity is the state of my whole life, the total quality of my character, and it is witnessed by the moral soundness of my response in every life situation.10 Integrity is not something that can be turned on and off. It reflects the value systems in which our lives are grounded. The recent series of articles on integrity in TIG Brief has purposefully sought to generate discussion and thought about integrity throughout the military. The remarks by Gen Bryce Poe II, commander, Air Force Logistics Command, merit particular attention. He said: We must remember the complete meaning of “integrity,” not just honesty but also sincerity and candor. Our code of behavior must not tolerate shallowness, expediency, or deception. This rigidity and uncompromising adherence to standards does not in the least mean that we must be self-righteous or lack compassion. On the contrary, individuals who recognize that people make mistakes, even when they are doing their level-best, not only display integrity they reinforce that of their subordinates.
358 In the last analysis, integrity is an entirely personal thing. Important to anyone, it is absolutely vital to the military professional who has responsibility for human life and public property. As General Douglas Macarthur once said, our code “embraces the highest moral laws and will stand the test of any ethics or philosophies ever promulgated for the uplift of mankind. Its requirements are for the things that are right, and its restraints are from the things that are wrong.” Whether we label that code, “Duty, Honor, Country,” or simply, “Integrity”—the requirement is the same.11 Few officers have tried so vigorously to inculcate an appreciation of integrity among those for whom they had responsibility as Adm James B. Stockdale. While president of the Naval War College, he inaugurated a course on the “Foundations of Moral Obligation.” His course was built on principles that became profoundly meaningful for him during 2,714 days of imprisonment and torture in Hanoi’s Hoax Lo prison. He claims that he was sustained as a prisoner of war (POW) more from what he had learned in philosophy than from what he had read in survival manuals. He knew that man needs more than buzzwords and acronyms; he needs the enduring principles articulated by mankind’s most thoughtful spirits. His students read from Job, Epictetus, Plato, Aristotle, Kant, Mill, Emerson, Dostoevski, and the existentialists. He said: I think this is the only way to teach a sophisticated audience “duty, honor, country.” I’m not trying to make fundamentalists out of them. I’m not trying to make warmongers out of them. I’m trying to make more self-confident leaders who will realize half of what comes into their baskets is crap and that they should worry about things that are important.12 Admiral Stockdale would have us regain our moral bearings and rediscover the power and the courage available when we have committed ourselves to fundamental integrity.
Country: Initiate Moral Concern in America
The moral quakes of Hiroshima, My Lai, and Watergate have fractured the confidence of many in America’s current commitment to honor, integrity, and high humanitarian ideals. Those events have changed the way Americans think about themselves: they have produced a tidal wave of moral uncertainty, self-doubt, alienation, and rebellion. Just as thinking well of self is vital for personal mental health, so apparently must a nation have a good self-image for its corporate well-being. One of the great national tasks for the 1980s, therefore, is the recapturing of a spirit of moral integrity in America. Military professionals with their avowed commitments and goals occupy a favorable position in the United States. They can lead the way. They can become the catalysts who initiate throughout society a reawakening of integrity and moral awareness. Through philosophy and ethics, is it possible for the military—and through the military for the nation—to regain its moral concern and its concomitant moral self-confidence? Wilson Carey McWilliams has projected this possibility. In Military Honor After My Lai, he tentatively conjectures that “perhaps the Army may, in its own interest, help free civilian America to rediscover its own honor.”13 He implies that the Army can first find its own moral compass. McWilliams and Sir Thomas More have similar hopes. Long before he
358 Ethical and Moral Leadership in the Military 359 was made Henry VIII’s Lord Chancellor, More debated whether moral philosophy had any place “in the council of princes.” His conclusion was yes, but only subtly and obliquely. “You must strive,” he wrote, “to guide policy indirectly, so that you make the best of things, and what you cannot turn to good, you can at least make less bad. For it is impossible to do all things well unless all men are good, and this I do not expect to see for a long time.”14 The wisdom of More has supplied a necessary clue to the reality of the human situation. Military professionals can pioneer a return to fundamental integrity, though not by bold frontal attacks. They must start with themselves as individuals who, like Thomas More, commit themselves to first principles and to selfless goals. They must be courageous people who place “Duty, Honor, Country” ahead of careers, people who say the cover- ups stop here. The exploitation and objectifying of people can stop if leaders in sensitive positions consistently treat people as ends, never as means to ends; consistently perceive enemies, peers, subordinates, and superiors as persons of great value. Dishonesty, misrepresentation, and false reporting can only be reversed if key professionals insist on honor and exemplify integrity. Selfish careerism that exalts personal advantage above the well-being of others and of the whole can only be reduced if commanders stop rewarding self-aggrandizement and become models themselves of responsible service. Reshaping the moral climate within the military and the nation needs only a few dedicated professionals to make a beginning. Then, beyond the level of individual example, must come unit example—a squadron, a company, a battalion, a group, a base, a post, a division, a major command, a service. To that noble end studies of ethics in the military are committed. Chaplain (Col) Samuel D. Maloney, North Carolina Air National Guard, earned his ThM and ThD degrees from the Union Theological Seminary. During World War II, he was an aircraft commander in the Pacific theater. He has lectured at National War College, Air Command and Staff College, Command and General Staff College, and the Professional Military Education Center, and has published numerous articles in the Tar Heel Times.
______Notes 1. Immanuel Kant, Foundations of the Metaphysics of Morals, trans. Lewis W. Beck (Indianapolis: Bobbs-Merrill, 1959), 16. 2. Ibid., 18. 3. Ibid., 47. 4. Aristotle, Nicomachaen Ethics, trans. Martin Ostwald (Indianapolis: Bobbs-Merrill, 1962), bk. 1, pt. 4. 5. Jeremy Bentham, “An Introduction to the Principles of Morals and Legislation,” in The English Philosophers from Bacon to Mill, ed. Edwin A. Burt (New York: Modern Library, 1939), 791.
360 6. John Stuart Mill, “Utilitarianism,” in English Philosophers, 908. 7. Joseph Fletcher, Situation Ethics: The New Morality (Philadelphia: Westminister Press, 1966), 55. 8. Charlotte Observer, 21 August 1977, sec. A, 22. 9. Kermit D. Johnson, Chaplain (Col), USA, “Ethical Issues of Military Leadership,” Parameters 4, no. 2 (1974): 38. 10. Henry J. Meade, Chaplain (Maj Gen), USAF, “Commitment to Integrity,” Air University Review 28, no. 3 (March–April 1977): 88. 11. Bryce Poe II, General, USAF, “Integrity,” TIG Brief 20 (October 1978): 2. 12. Charlotte Observer, 16 April 1978, sec. A, 2. 13. Wilson C. McWilliams, Military Honor After My Lai (New York: Council on Religion and International Affairs, 1972), 32. 14. Thomas More, Utopia, ed. H. V. Ogden (Arlington Heights, Ill.: AHM Publishing Corp., 1965), 23.
360 Ethical and Moral Leadership in the Military 361 CAPSTONE: Remember the Titans
Activity Statement: • Participate in discussion relating concepts of Leadership Studies to the movie Remember the Titans.
Affective Lesson Objective: • Value the relationship of the Leadership Studies curriculum as it relates to the movie Remember the Titans.
Affective Samples of Behavior: • Actively participate in classroom discussion by relating Remember the Titans to experiences in AS 300/OTS. • Assert how specific scenes in the movie illustrated/reinforced concepts, principles, and ideas taught in AS 300/OTS.
362 Have you wondered how all the lessons you’ve been taught this year tie together? Maybe you’ve asked, “how can I use this stuff?” Remember the Titans is based on a true story. In the movie, Coach Boone applied the very same leadership and management techniques you’ve learned here in AS 300/OTS. This lesson will cover many of those “theories” you’ve learned this year.
A QUICK LOOK BACK
A quick review of leadership and management principles is necessary to help you focus on the movie. This is merely a review of the high points to refresh your memory. If you need to read the chapters of the particular lessons, by all means refer back to those lessons. 1. Followership
-- Sheep don’t play an active role and simply comply with orders. -- Yes People readily carry out orders uncritically. -- Survivors are rarely committed to work/group goals and have learned not to make waves.
-- Alienated Followers are festering wounds in an organization that are happy to criticize, but never offer support or solutions.
-- Effective Followers are active role players, but not “yes” people. They reflect on organization goals and are not hesitant to bring concerns to their boss. 2. Team Building
-- Forming...when group initially comes together. -- Norming...when the group takes on an identity, begins to work together, and shares a common goal.
-- Storming...when the group has been fully challenged by a task and there are bids for power, competing, boundary testing.
-- Performing...the stage of effective performance. Group members capitalize on each others strengths and weaknesses. 3. Power and Influence
-- Personal expertise comes from the power of knowledge, capability, and experience.
-- Personal attraction refers to the appeal one has due to charisma, agreeable behavior, and physical characteristics.
362 CAPSTONE: Remember the Titans 363 -- Personal effort is the potential to influence others due to one’s commitment and motivation.
-- Personal legitimacy is credibility due to one’s formal or official authority. -- Positional centrality is based on one’s access to information in a communication network.
-- Positional flexibility is the amount of discretion vested in a position. -- Positional visibility is the degree to which task performance is seen by influential people in the organization.
-- Positional relevance is the alignment of assigned tasks and organizational priorities. 4. Full-Range Leadership
-- Laissez-faire...This leadership behavior can be characterized by, essentially, the absence of action or leadership.
-- Transactional...As the title indicates, there is a ‘transaction’ between leaders and subordinates where performance equals reward. There are two methods of accomplishing this transaction: Management by Exception and Contingent Reward.
-- Transformational...Focus becomes motivating/ inspiring others. Four types: Individual Consideration (IC), Intellectual Stimulation (IS), Inspirational Motivation (IM), and Idealized Influence (II). 5. Effective Supervision: Five Rules -- Get involved -- Open channels of communication -- Give your people a chance to develop -- Establish standards and stick to them -- Provide feedback 6. Motivation
-- Survival needs are the lowest and must be met. -- Safety needs are physical and psychological. -- Belonging needs are love, warmth, and approval from others.
364 -- Esteem needs make us feel important—achieving something and doing a job well done. These needs are largely external.
-- Self-actualization needs make people strive to reach their ultimate potential. These needs are largely internal. 7. Leadership Competencies (Air Force Doctrine, Vol II, Leadership)
PERSONAL ORGANIZATIONAL Embodiment of the Airman’s Culture Employing Military Capabilities -- Ethical leadership Enterprise Perspective -- Followership Strategic Thinking -- Warrior ethos Managing Organizations and Resources -- Develops self Communication -- Speaking and writing -- Active listening
PEOPLE/TEAMS Leading People -- Develops and inspires others -- Takes care of people -- Diversity Fostering collaborative relationships -- Builds teams and coalitions -- Negotiating
364 CAPSTONE: Remember the Titans 365 Below is the cast of characters you should pay attention to during the movie. Although there are many characters in this movie, your guided discussion will focus on the ones listed below.
REMEMBER THE TITANS CAST OF CHARACTERS
Coach Boone: Head coach Coach Yoast: Defensive coach; former head coach Julius Campbell: Main African-American player; linebacker Gary Bertier: Team Captain Coach Hines: Offensive line coach Deke Jones (Petey): Running back Jerry Harris (Rev): Quarterback Louis Lastik: Big Caucasian lineman Coach Tyrell: Special teams coach Ronnie Bass (Sunshine): Quarterback Ray: #87
Conclusion
Knowing and understanding leadership and management is a key to success as a leader. It is up to you to take the theories and information presented this year and displayed in this lesson and apply them both in Leadership Lab and when you become an officer. Just as Julius said in the movie, “Attitude reflects leadership.” Make sure your people have a positive attitude.
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