ADDP 00.

EXECUTIVE SERIES

ADDP 00.6

LEADERSHIP IN THE AUSTRALIAN DEFENCE

FORCE

Australian Defence Doctrine Publication 00.6 is issued for use by the

Australian Defence Force and is effective forthwith.

A.G. HOUSTON
Air Chief Marshal
Chief of the Defence Force

Australian Defence Headquarters

CANBERRA ACT 2600

22 March 2007
 Commonwealth of Australia 2007

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

Announcement statement—may be announced to Defence and its

equivalents in America, Britain, Canada, and New Zealand.

Secondary release—may be released to Defence and its equivalents in

America, Britain, Canada, and New Zealand.

All Defence information, whether classified or not, is protected from

unauthorised disclosure under the Crimes Act 1914. Defence information
may only be released in accordance with the Defence Security Manual
and/or Defence Instruction (General) OPS 13–4—Release of Classified
Defence Information to Other Countries, as appropriate.

ADDP 00.6

First edition 2007

Sponsor:

Commander Australian Defence College

Developer and producer:

Director Centre for Defence Leadership Studies

Publisher:

Director
Defence Publishing Service
Department of Defence
CANBERRA ACT 2600
ADDP 00.6

FOREWORD

1. Australian Defence Doctrine Publications (ADDP) and Australian

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

2. The aim of this publication is to guide the development of leadership

in the Australian Defence Force (ADF). The document describes the basic
leadership tenets, principles, behaviours and considerations necessary for
leadership in the ADF. While well founded leadership principles are included,
the documents purpose is to inform current military thought rather than
present dogma for rigid application.

3. The publication is for all ranks interested in leading in the military. In

particular, it is for individuals in their initial leadership role. The publication
will also be useful for others wishing to broaden their understanding of the
application of leadership in the joint, coalition and interagency environments.

4. This publication focuses on leadership. Although a distinction is drawn

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

5. This publication represents a departure from previous single-Service

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

6. In chapter 1, the publication describes the process of leadership as it

would be observed anywhere. This ‘description of process’ is far from
exhaustive, but it outlines the essential components of any leadership
relationship. The publication builds on this foundation in chapter 2 by
describing what is different about leadership in the military to leadership in

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ADDP 00.6

civilian society. Importantly, these differences are additional to the

components already identified—they are not replacements. The publication
then moves to leadership in the ADF and describes the two leadership
functions of ‘leading people’ in chapter 3 and ‘leading the organisation’ in
chapter 4. Once again, these functions share much with leadership in open
society and leadership in other militaries. Any differences, and there are
some stark ones, generally highlight the various cultures within the ADF
rather than suggest that leadership in the ADF is somehow unusual or
unique. As would be expected with such a popular concept, leadership in the
ADF has far more in common with other organisations and militaries than it
has in variance.

7. Certain themes and principles thread through most chapters. The

exception is chapter 5 in which some controversial leadership issues are
introduced. Cultural alignment, gender, diversity and adaptive change in the
ADF are examined, along with some dysfunctional leadership behaviours
that can surface within the ADF.

8. Like leadership itself, this publication sets out to influence members to

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

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ADDP 00.6

AMENDMENTS

Proposals for amendment of ADDP 00.6 may be initiated in either of the

following ways:

• By Minute to:

Director Doctrine and Training

Australian Defence Force Warfare Centre
RAAF Base
WILLIAMTOWN NSW 2314

• By directly entering comment into the Joint Doctrine Development

Environment (JDDE) found on the Australian Defence Force Warfare
Centre (ADFWC) Defence Restricted Network (DRN) website located at
http://defweb.cbr.defence.gov.au/adfwc/. Select JDDE on the ADFWC
homepage and open either the ADDP or ADFP block as required. Open
the relevant publication and utilise the ‘Add Comment’ function at the
bottom of the summary page for each publication.

Note: The second option is an addition to encourage feedback from the

wider ADF, as well as encouraging use of the JDDE in general.

DOCTRINE PUBLICATION HIERARCHY

The hierarchy of Australian Defence Doctrine Publications (ADDP) and

Australian Defence Force Publications (ADFP) and the latest electronic
version of all ADDPs and ADFPs are available on the JDDE found on the
ADFWC DRN website located at:http://defweb.cbr.defence.gov.au/adfwc/.

This publication is current as at 22 March 2007.

This publication will be periodically reviewed and amended. The latest

version of this publication is available on the ADFWC DRN website
http://defweb.cbr.defence.gov.au/adfwc

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ADDP 00.6

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ADDP 00.6

ACKNOWLEDGEMENTS

The Centre for Defence Leadership Studies acknowledges its intellectual

debt in preparing this publication to a number of overseas military doctrinal
publications, including:

Leadership in the Canadian Forces : Conceptual Foundations, Canadian

Forces Leadership Institution, 2005

United States Army Field Manual No 1, Departments of the Army,

Washington, DC, 2005

United Kingdom Ministry of Defence, Soldier Management: A guide for

Commanders, 2004.

Singapore Armed Forces Centre for Leadership Development, Spirit and

System: Leadership Development for a Third Generation SAF, 2005

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ADDP 00.6

CONTENTS
Page

Authorisation -
Foreword iii
Amendment Certificate v
Contents ix
List of Figures xiii
List of Tables xv

Paragraph

CHAPTER 1 ON LEADERSHIP

Introduction 1.1
Defining ‘leadership’ 1.2
Issues with leadership definitions 1.3
Leadership components 1.7
A definition of leadership 1.8
Leadership–a common occurrence 1.9
Leadership versus management 1.11
Power, authority and influence 1.13
Key leadership considerations 1.16
Leadership outcomes 1.17
Leadership context 1.18
The leader 1.19
The follower 1.20
Leadership theories and models 1.21
Conclusion. 1.23

Annex:
A. Leadership definitions used by the
military
B. Emotional Intelligence
C. Traits and leadership potential

CHAPTER 2 LEADERSHIP IN THE MILITARY

Introduction 2.1
Requirements of Service 2.4
Leadership versus Command 2.6
Command 2.6
Compliance 2.7
Discipline 2.8

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ADDP 00.6

Directing and controlling 2.10

‘Military Leadership’ 2.11
Leadership in the military 2.13
The moral component 2.14
Belief in purpose 2.16
Morale 2.18
Morale and leadership 2.20
Range of military situations 2.21
Trust and credibility 2.23
Leadership on operations 2.24
Apprehension and anxiety 2.25
Reduction of anxiety 2.26
Stress and fear 2.27
Burden 2.30
Military ethos 2.31
Military values 2.32
Values-based leadership in the military 2.33
Military ethics 2.35
Moral development 2.36
Self-discipline 2.37
Military culture 2.38
Mission Command 2.41
Conclusion 2.43

CHAPTER 3 LEADING PEOPLE IN THE ADF

Introduction 3.1
Results through People 3.3
Evolution of ADF leadership style 3.6
ADF values 3.9
Values-based leadership in the ADF 3.11
ADF culture 3.13
Different Service cultures and realities 3.17
ADF leader responsibilities 3.19
Leading ADF people on operations 3.21
Values-based behaviour 3.25
Defence Leadership Framework (foundational) 3.26
The Defence Leadership Model. 3.28
Performance principles. 3.29
Leadership and retention 3.30
Ten principles for leading ADF people. 3.32
Conclusion 3.43

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ADDP 00.6

CHAPTER 4. LEADING THE ORGANISATION—STRATEGIC

LEADERSHIP

Introduction 4.1
Strategic leadership defined. 4.2
External focus 4.3
Indirect influence 4.4
Provide capability 4.5
ADF’s strategic leaders 4.6
The strategic corporal 4.7
The purpose of strategic leadership 4.8
Military capability 4.9
Fundamental Inputs to Capability 4.10
The role of strategic leaders 4.12
Shape capability 4.13
Create conditions for success 4.14
Development of strategic leaders 4.15
Professional military education 4.16
Career progression 4.17
Mentor feedback 4.18
Strategic leader capabilities 4.19
Conclusion 4.22

Annex:
A. Defence Leadership Framework for
One-Star Level

CHAPTER 5. CONTEMPORARY ISSUES FOR LEADERS

Introduction 5.1
Cultural alignment. 5.2
ADF—a learning organisation 5.3
Barriers to cultural alignment 5.4
Tribal nature of Defence. 5.5
Alternative value sets 5.7
‘Can-do’ attitude 5.12
Dysfunctional leadership behaviours 5.15
Self-serving leadership 5.16
Aggressive task focus 5.18
Suppression of moral development 5.20
Diversity 5.22
Adaptive change 5.28
Conclusion 5.32

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CHAPTER 6 DEVELOPING ADF LEADERS

Introduction 6.1
Leadership potential 6.4
Motivation to lead 6.5
Leadership development in the ADF 6.7
Sources of leadership development 6.8
Formal leadership training 6.10
Competency based training 6.10
Learning domains 6.11
Values inculcation and affective domain 6.13
External control of behaviour 6.14
Internally regulated behaviour 6.15
Defence Leadership Framework (Capabilities) 6.17
Leadership capabilities 6.19
Increasing task complexity 6.20
Leadership proficiencies 6.22
ADF Leadership Continuums 6.24
Focused training 6.25
Selection of leadership models & theories 6.26
ADF principles for leadership training 6.27
Leadership assessment 6.29
Group harmony and cohesion 6.30
Peer and subordinate input 6.31
Conclusion 6.32

Annexes:
A. Leadership theory and model
selection.
B. Description of ADF continuum of
leadership courses

Glossary
Acronyms and Abbreviations

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LIST OF FIGURES

Figures Title Page

1-1 Key leadership considerations 1-9

1-2 Functional leadership model 1-10
1-3 An organisations’s culture will determine who 1-13
will lead and what leadership styles and
behaviours are acceptable
1-4 Responsible followers must exercise 1-18
judgement and not just blindly follow a leader
‘come what may’

2-1 Schematic of moral leadership 2-8

2-2 Pre-deployment work up training turns the 2-11
unfamiliar into the familiar.
2-3 Values such as care, compassion and respect 2-15
form the basis for sound leadership.

3-1 Leadership at sea where the Captain ‘is the 3-10

ship.
3-2 ADF leaders continually look for opportunities 3-14
to improve the odds in their favour and build
resilience in themselves and their team
3-3 The Defence Leadership Model 3-17

4-1 Strategic leaders shape capability and create 4-5

conditions for success
4-2 Navy’s Sea Change Project—An example of 4-8
strategic leadership
4-3 Executive construct of the Defence Leadership 4-12
Framework

5-1 Leaders must feel respected and proficient 5-5

enough to assertively communicate resource
implications to superiors
5-2 Navy has the highest proportion of female 5-11
members at approximately 17%

6-1 Integrating Defence Leadership 6-8

6-2 Leadership Capability Areas 6-9
6-3 Effective military leadership training must 6-12
replicate as accurately as possible the
demands of operations

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ADDP 00.6

LIST OF TABLES

Tables Title Page

1-1 Comparison of leadership and management 1-7
behaviours
2-1 Comparison of leadership and command 2-3
concepts
3-1 Defence performance principles and 3-19
leadership behaviour
4-1 Comparison of leading people and leading the 4-3
organisation
6-1 Defence Leadership Framework Capability 6-10
Descriptions

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 ADDP 00.6 Chapter 1

CHAPTER 1

ON LEADERSHIP

The larger topic of which leadership is a subtopic is the

accomplishment of group purpose...

J.W. Gardner 1990

Executive summary:

• Defining leadership is problematic but necessary for doctrinal

deliberations.

• Leadership is more about ‘influence’ than authority or power. Ideally,

leadership influence should be non-coercive.

• There are two leadership functions in any organisation, ‘leading

people’ and ‘leading the organisation’.

• Management and leadership are different concepts that generate

different behaviours.

• Leadership is a relationship involving followers that is affected by

context and situation. Leaders inspire willing commitment.

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

• Trustworthiness, good communication skills and professional

competence are three of the many attributes of effective leaders.

• Organisations need both transactional and transformational leaders.

INTRODUCTION

1.1 This chapter focuses on the concept of leadership in its broadest

sense. The chapter identifies the fundamental characteristics of leadership
as it would be practiced anywhere in the world—either in McDonalds, the
Commonwealth Bank or in a rural bushfire fighting unit. The chapter will

1–1
 ADDP 00.6 Chapter 1

outline the leadership characteristics and behaviours that are common to all
leadership relationships, be that relationship an elected captain within a
volunteer fire fighting team or a supervisor within a small factory.

Defining leadership

1.2 Leadership is a much debated topic. There are more than 13 000
books on the subject that range across the academic disciplines from
anthropology to theology. Academics have reported some 220 separate
definitions of leadership. Annex A to this chapter records 16 different
definitions of leadership drawn solely from Australian and overseas military
doctrine and texts. In order of their published appearance, the following are
four of the more widely cited leadership definitions:

• Leadership is no more than exercising such an influence upon others

that they tend to act in concert towards achieving a goal which they
might not have achieved so readily had they been left to their own
devices. (N. Dixon, 1976)

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

• Leadership is an influence relationship among leaders and followers

who intend real changes that reflect their mutual purposes. (J. Rost,
1993)

• Leadership is a sociological phenomenon (a process) involving the

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

Issues with leadership definitions

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

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 ADDP 00.6 Chapter 1

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

1.5 Most commonly, leadership has been defined as a process, as in the

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

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

Leadership components, or what makes something ‘leadership’?

1.7 Despite the large number of definitions of leadership, a number of

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

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 ADDP 00.6 Chapter 1

• Influence. Leadership is about someone influencing, motivating or

inspiring others. Most commentators believe that ‘influence’ in the
leadership relationship is multi-directional and is not restrained by
position. Some authors believe that these influence behaviours must
be non-coercive (J. Rost, 1993).

• Followers. Other people aside from the leader are a necessary

component of leadership. Some commentators also stress that
followers have responsibilities and obligations to leaders. These
commentators believe that responsible followers must exercise
choice, in other words a responsible follower will choose dissent when
faced with leadership influence that the follower believes is unlawful
or unethical.

• Goal. Leadership also has something to do with a mutual goal,

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

• Purposeful action. Leadership involves doing something or taking

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

• Consent. Another component of leadership has to do with gaining the

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

• Ethical dimension. Related to follower ‘willingness’ or ‘conviction’, is

the concept that leadership has a moral or ethical component.
Followers see the difference between striving for a goal that they

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 ADDP 00.6 Chapter 1

believe to be ethically sound (a justifiable war) and one that is

ethically bankrupt (exterminating a race of people). This distinction is
made to differentiate between those leaders that are influential and
visionary but morally corrupt and those that are equally influential and
visionary but morally sound.

A definition of leadership

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

Leadership—a common occurrence

1.9 Leadership as described above occurs every day at every level of

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

Leadership can be episodic or an ongoing part of a person’s

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

General Peter Cosgrove (retired), 2006

1.10 These same components of leadership are also on display every

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

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 ADDP 00.6 Chapter 1

Leadership vs management

1.11 For many years there has been a running argument about the
difference between leaders and managers with managers generally coming
off second best. Managers are often disparaged as status quo rule-followers
while leaders are seen as groundbreaking heroes. In reality, many members
of large organisations perform both management and leadership functions.
Management has been defined as ‘the process of planning, organising,
directing and controlling organisational resources in the pursuit of
organisational goals’ (Pierce and Durham, 1980). In this definition, no
mention is made of purposeful influence or the willingness of followers.
People are seen as resources to be organised, directed and controlled.
Management is also based on formal organisational authority and entails
responsibility for a broad range of functions that have traditionally included
planning, problem solving, decision-making, organising, informing, directing,
allocating resources, and controlling. Some definitions of management also
include the function of ‘leading’1 while some definitions of leadership include
the activities of ‘directing and controlling’ (see annex A to this chapter).
Although there is clearly some overlap between the two terms, the following
differences between leadership and management are offered:

• management requires an organisational structure, leadership does

not;

• management can only operate downwards, leadership operates in all

directions;

• following the advice of managers is organisationally recommended,

following the advice of leaders is discretionary.

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

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

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 ADDP 00.6 Chapter 1

There is a difference between leadership and management.

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

Field Marshal Sir William Slim,

Governor General of Australia, 1953–60.

Leadership Behaviours Management behaviours

• Visioning - developing and
communicating the vision (B.
Bass, 1996) developing and
communicating commanders’
intent
• Motivating (inspiring) people (J.
Kotter, 1990)
• Influencing change in people,
organisations (J. Rost, 1993)
• Setting an example, acting as a
role model (B. Bass, 1996)
• Engender faith, trust , respect (B.
Bass, 1996)
• Subordinates identify with leader
(B. Bass, 1996)
• Convince individuals they can
perform beyond their
expectations (B. Bass, 1996)
• Planning and budgeting (J.
Kotter, 1990) business planning,
allocating forces and resources
• Organising and staffing (J. Kotter,
1990)
• Controlling and problem solving
(J. Kotter, 1990)
• Producing goods, providing
services (J. Rost, 1993)
• Supervising
• Decision-making
• Monitoring activities
• Co-ordinating
• Administrating
• Controlling.

Table 1–1: Comparison of leadership and management behaviours 2

2
Adapted from ‘Distinguishing the Concepts of Command Leadership and
Management’ by P Bradley in Horn, B and Harris, S (eds) Generalship and
the Art of the Admiral, 2001.

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 ADDP 00.6 Chapter 1

Power, authority and influence

1.13 The concept of ‘influence’ appears central to leadership. Related to

influence is the part played by power and authority. Power is normally
defined as ‘the capability of doing or affecting something’ but has been
extended in management texts to mean the ability to change the behaviour,
attitudes and beliefs of others. In this management sense, the five common
bases of power include reward power, coercive power, legitimate power,
referent power and expert power.3 Research has consistently found that
referent and expert power (also referred to as inspirational appeal and
rational persuasion) are most effective for influencing task commitment.
Conversely, legitimate and coercive power (enforced compliance and
punishment for inappropriate behaviour) are least effective because over
time, they diminish the ability of others to improve themselves. It stands to
reason that if leadership is about inspiring willing commitment, then
coercive and legitimate power are less useful than other forms of power.
Even expert and reward power have their limitations when it comes to
influence. A doctor may have expert power over his or her patient and an
employer may have reward power over a paid employee. Both doctor and
employer may use their power in order to make individuals do as they require
but in both cases the hold over the individual is limited by the patients need
for information and the employees need for money. Neither of these
relationships could be considered examples of leadership.

1.14 Authority has been defined as ‘conferred power to perform a service’

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

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

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 ADDP 00.6 Chapter 1

1.15 The influence referred to in the leadership process is an emotional

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

Key leadership considerations

1.16 The above discussion looks at leadership as a process and suggests

some of the elements that are necessary before a process can be called
‘leadership’. Much more has been written on the factors that impact upon the
leadership process. These factors include the leadership function, situation,
culture, the leader’s and follower’s traits, values, behaviours, competencies
and style. The more important of these factors are discussed below under
the general headings of ‘leadership outcomes’, ‘leadership context’, ‘the
leader’ and ‘the follower’.

Figure 1–1: Key leadership considerations

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1.17 Leadership outcomes. Leadership is a means to an end. Leadership

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

Figure 1–2:Functional leadership model

• Leadership function. Leadership is at the service of the collective,

leadership is about relationships and leadership is about achieving
something that would normally be beyond the individual. These three
things, the team, the individual and the task4 are often cited as the
three most important leadership considerations. Through the eyes of
the captain of a rural bushfire-fighting unit mentioned previously,

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

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 ADDP 00.6 Chapter 1

these three considerations may well be all that s/he is concerned with.
In simple terms, the captain’s ‘task’ is to extinguish the bushfire, ‘the
team’ consists of the mix of people who combine best to extinguish
the fire, and the ‘individual’ represents all the different combinations of
fear, anxiety, experience and training in each and every member of
the team. Although quite distinct in themselves, the three areas of
task, team and individual overlap and action taken to satisfy one
‘need’ will affect one or both of the other ‘needs’. Too strong a focus
on the task of extinguishing the fire could result in the injury or even
death of an individual, too strong a focus on an individual could result
in the unnecessary loss of property. The groups needs in relation to
resources, rest, training and feedback on performance requires
careful consideration by the captain in order to maintain ongoing
group morale.

• Values-based leadership. The behaviour of a group in pursuit of a

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

• Ethical leadership. The use of the phrase ‘values-based leadership’

implies the consideration of ethics, or what one ought to do, in the
leadership process. The point here is that it is not the quality of the
purposeful influence process (value-neutral leadership) that
determines a ‘noble’ outcome but rather the quality and substance of
the values that form the basis for that purposeful influence process
(values-based leadership). Some commentators have referred to the
difference in these two concepts as the difference between ‘positive’
and ‘negative’ leadership. Positive leadership is seen to be

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characterised by socially accepted values such as integrity, honesty

and humility while negative leadership is characterised by self-centred
personalised values such as elitism, individualism and cunning. This
positive/negative concept has previously been referred to as the
moral or ethical component of leadership and is examined in more
detail in Chapter 5.

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

• Situation. Leadership is a contextual phenomenon. The particular

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

HISTORICAL EXAMPLE—SITUATION EFFECTS LEADERSHIP

Bean recorded that Bennett, as a brigadier-general, was ‘a young front-line

leader’...he was more suited to the command of a brigade under the
controlled conditions of the Western Front of 1918 than he was the command
of a division fighting the Japanese in Malaya more than twenty years
later....he was hardly the very model of a modern major-general.

From ‘The Commanders’ edited by D. Horner.

• Culture. Allied to context but far more pervasive and harder to

change, is a group’s or organisation’s culture. Derived from the
organisation’s beliefs, traditions, assumptions and values, an
organisation’s culture will determine who will lead and what leadership
styles and behaviours are acceptable. For any member who wants to
lead within an organisation, it is important that they understand and
appreciate the culture that exists within that organisation. In plain
language, organisational culture is the ‘way things are around here’,
and not necessarily the way ‘things’ should be. Ideally, an
organisation’s culture is an accurate reflection of the espoused values
of that organisation. Normally members do not join (or at least persist

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in) organisations where the culture opposes their own values and
beliefs. Nevertheless, at the strategic level, leaders may attempt to
align an organisation’s culture so that it reflects the values that they
(the leader) espouse. In this respect, strategic leadership can be said
to mould or shape an organisation’s culture.

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

• Organisational Values. ‘Shared values are the bedrock on which

leaders build the edifice of group achievement’. (J. Gardner, 1990).
Organisations within societies identify values that they believe will
lead to behaviours that will benefit the organisation’s purpose or
aspirations. Organisations see values like ‘integrity’ and ‘honesty’ as
important because they believe values like these guide behaviour to a
desirable end-state. Values are not seen by organisations as
replacements for rules but hopefully values act alongside rules as
‘correct-path-beacons’ in ambiguous situations where the strict
application of rules is not obvious. Much has been written about
‘organisational values’ and the importance of aligning an individual’s
values to those of the organisation. This recognises that there may be
a difference between home and workplace values. The leadership
aspect to this notion has two related elements. Firstly, a leader or
follower can’t reasonably espouse organisation values and then be
seen to operate by a different (or opposing) set of values. Put simply,

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a leader or follower is immediately compromised if he/she espouses

‘honesty’ and is then caught being untruthful. Secondly, all leaders
within an organisation have a role to play in aligning the values of
members to the values espoused by the organisation. If the values of
the members do not align with the values of the organisation, then
dissonance will result between the member and the organisation,
resulting in less than optimum performance from both.

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

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

• Character and competence. A leader’s behaviour will be closely

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

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HISTORICAL EXAMPLE—A LEADER’S CHARACTER

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

From The Commanders edited by D. Horner

• A key flow-on from this character and competence perspective is that

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

• Leader’s values. Values are beliefs about what is considered

centrally important in life. Values guide people’s thoughts, decisions,
behaviours and interactions. In the Australian context, the Federal
Government has identified 9 value sets that are taught in Australian
schools. (care and compassion, doing your best, a fair go, freedom,
honesty and trustworthiness, integrity, respect, responsibility and
lastly, understanding, tolerance and inclusion.)5 The Government
believes that encouraging its future adult citizens to adopt and live by
such values will lead to a more cohesive and purposeful society. In a
sense, the Government is outlining an ethical framework that will help
guide individuals to assess the difference between right and wrong.

5
From ‘Values for Australian Schooling’, Department of Education, Science
and Training (DEST) web site, 2006

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• Trustworthiness is one Australian value or trait that deserves special

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

HISTORICAL EXAMPLE—TRUST IN LEADER

Trust in one's leader is no better illustrated than in HMAS Hobart's

'miraculous' survival on 'Black Sunday' 15 February 1942. Under the
command of Captain Harry Howden, RAN, the cruiser formed part of a
combined strike force operating in Banka Strait. The Japanese began their
air attacks at 11AM and successive waves of enemy bombers continued on
until darkness. Hobart was the most targeted of all the ships that day, on one
occasion so blanketed by spray that a consort piped 'Stand by to pick up
Hobart's survivors' before the cruiser steamed clear. Throughout the ordeal
Howden remained on the bridge calling for the most violent manoeuvring and
relying on an instant response from his engineers. Considering it was the
heaviest and most concentrated aerial bombing the ship ever experienced
the toll exacted was remarkably small. All in Hobart's ship's company knew
that they owed their lives to Howden's superb performance. As one Chief
Petty Officer later recounted: 'Only our Captain's split-second manoeuvring
saved us time and again. ...The confidence we had in him was as strong as
our faith in the ship'.

Adapted from The Face of Naval Battle edited by J. Reeve & D. Stevens

• Motivation to lead. Individual motivation is a requirement for

leadership. An individual has to want to lead in order to turn any

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

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

• Leadership style. In a practical sense, leaders employ a variety of

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

• Leadership style has a direct bearing on what has become known as

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

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

Figure 1-4: Responsible followers must exercise judgement and not

just blindly follow a leader ‘come what may’

• Shape leader behaviour. Hersey and Blanchard (1982) have

suggested that the personality and character of followers (be they
lazy, competent, experienced and/or mature) will determine the style
that the leader adopts (directive, coaching, delegating, etc). Leaders
may be required to change their behaviour to satisfy the needs of
followers—in other words, followers shape leader behaviour.
Competent followers with a clear vision of the goal will reject ‘micro-
management’ or authoritarian leadership. Conversely, in unclear or
ambiguous situations, followers will demand goal identification, path
clarity and support. In life and death situations, followers want
confident leader behaviour and care little for warm approval and

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consideration. In summary, followers also influence leaders in a

leadership relationship.

• Relationships that develop between leaders and followers in

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

• Follower feedback. Responsible followers will give feedback on a

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

• Consent. Leaving aside the title ‘leader’ as a designator of a formal

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

HISTORICAL EXAMPLE—IRRESPONSIBLE CONSENT

‘Vice Admiral Sir George Tryon’s actions on 22 June 1893 caused the loss of
his own flagship, the Victoria, after he insisted that the fleet, then split into
two columns, turn towards each other in insufficient space. Despite being
warned by several subordinates that the operation was impossible, Tryon
insisted on its execution and 358 sailors were drowned—including Tryon. At
the subsequent courts martial of Rear Admiral Markham, on the
Camperdown that rammed the Victoria, he was asked, if he knew it was

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wrong why did he comply? ‘I thought’ responded Markham, ‘Admiral Tryon

must have some trick up his sleeve’.

From ‘Followership: The Anvil of leadership’ by K. Grint, 2005

Leadership theories and models

1.21 The first leadership theories to follow World War I were based on
the leader’s possession of necessary personal qualities. This approach
assumes that leaders share some common list of traits that can be identified
and transferred, through training or development to others. Following WW2,
the emphasis shifted from inner qualities to observable behaviours. Leaders
were then thought to share common ways of saying and doing things, and
that these could also be identified and transferred. By the 1960’s, the
emphasis shifted to more complex models that involved greater flexibility and
movement between behaviours of leaders, to accord with changes in
situation. More recently, models are proposed that are based upon the
effectiveness of reward or quasi-economic transactions between the leader
and followers and the more charismatic approach in which the leader
recognises and fulfils the higher order needs of followers.

1.22 The utility of leadership models is in explaining leadership theory

and practice. Leadership models are used to explain and simplify many of
the leadership considerations outlined above. For instance, John Adair’s
model of functional leadership explains neatly the relationship between task,
team and individual and is used extensively in initial leadership education.
On the other hand the Hersey-Blanchard situational model includes
leadership context and follower competency to suggest appropriate
leadership styles. These and other leadership theories and models used by
the ADF are outlined in Chapter 6 of this publication. Further information on
leadership theory is also contained in Australian Army Land Warfare Doctrine
(LWD) 0-2 Leadership 2002.

CONCLUSION

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

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values. Although certain behaviours are expected from both leader and
followers, there is no one best leadership style or a leader who excels in all
circumstances.

Annex:
A. Leadership definitions used by the military
B. Emotional Intelligence
C. Traits and leadership potential

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 ANNEX A TO
CHAPTER 1
ADDP 00.6

LEADERSHIP DEFINITIONS USED BY THE MILITARY

1. The following definitions of leadership have been drawn from current

Australian and overseas military doctrine and texts. The first nine are from
Australian military doctrine and texts while the last seven are from overseas
military doctrine and texts.

a. Leadership involves harnessing the energy, enthusiasm and

skills of a group to achieve assigned organisational objectives
in a range of work situations. In a practical sense, it involves:

(1) influencing peers and superiors

(2) motivating and inspiring peers and subordinates, and

(3) directing and controlling subordinates. (Defence

Instruction (General) PERS 10–5, 2006)

b. The art of influencing and directing people to achieve willingly

the team or organisational goal. (Australian Army Land
Warfare Doctrine 0–2—Leadership, 2002)

c. Leadership involves the sometimes tangible, sometimes

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

d. Leadership is about motivating people and the ability to

influence others to achieve planned objectives professionally.
(RAN’s Divisional Staff Handbook, 2003)

e. The ability to inspire loyalty, respect and confidence (Air

Marshal D. Evans, in War: a Matter of Principles, 2000)

f. The direction given by going in front. (Air Vice Marshal E.

Weller, in A Characterisation of Leadership and Command in
the RAAF, 2000)

g. Leadership is about influencing others to gain their willing co-

operation to achieve outcomes. (Dr James Warn—ADFA,
2006)

1A–1
ADDP 00.6

h. Military leadership is the projection of personality and

character to get a force to do what is required of it. (Draft
ADDP 00.1—Command and Control, 2005)

i. Leadership is of the spirit, compounded of personality and

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

j. Leadership is defined as a process of influencing people to

accomplish the mission, inspiring their commitment, and
improving the organisation. (Singapore Armed Forces Centre
of Leadership Development, 2006)

k. Directly or indirectly influencing others, by means of formal

authority or personal attributes, to act in accordance with one’s
intent or a shared purpose. (Leadership in the Canadian
Forces—Doctrine, 2005)

l. Directing, motivating and enabling others to accomplish the

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

m. Influencing people—by providing purpose, direction and

motivation—while operating to accomplish the mission and
improving the organisation. (US Army Field Manual Number 1,
2005)

n. Leadership is influencing other people towards the

achievement of shared goals. (L. Donnithorne—The West
Point way of leadership, 1993)

o. Military leadership is visionary. It is the projection of

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

1A–2
ADDP 00.6

Successful military leaders are those who understand

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

p. Leadership is the phenomenon that occurs when the influence

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

1A–3
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CHAPTER 1
ADDP 00.6

EMOTIONAL INTELLIGENCE

1. Many of the elements of ‘character’ that are desired in a leader,

referred to briefly in paragraph 1.19, are covered in Daniel Goleman’s
concept of Emotional Intelligence. Goleman concluded that emotional
intelligence encompasses five fundamental competencies, namely:

a. Self-awareness. Knowing one’s internal states, preferences,

resources and intuitions. This includes:

(1) Emotional awareness: Recognising one’s emotions and

their effects.

(2) Accurate self-assessment: Knowing one’s strengths

and limits.

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

capabilities.

b. Self-regulation. Managing one’s internal states, impulses and

resources. This includes:

(1) Self-control: Keeping disruptive emotions and impulses

in check.

(2) Trustworthiness: Maintaining standards of honesty and

integrity.

(3) Conscientiousness: Taking responsibility for personal

performance.

(4) Adaptability: Flexibility in handling change.

(5) Innovation: Being comfortable with novel ideas,

approaches and new information.

c. Motivation. Emotional tendencies that guide or facilitate

reaching goals. This includes:

(1) Achievement drive: Striving to improve or meet a

standard of excellence.

1B–1
ADDP 00.6

(2) Commitment: Aligning with the goals of the group or

organisation.

(3) Initiative: Readiness to act on opportunities.

(4) Optimism: Persistence in pursuing goals despite

obstacles and setbacks.

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

This includes:

(1) Understanding others: Sensing others’ feelings and

perspectives and taking an active interest in their
concerns.

(2) Developing others: Sensing others’ development needs

and bolstering their abilities.

(3) Service orientation: Anticipating, recognising and

meeting customers’ needs.

(4) Leveraging diversity: Cultivating opportunities through

different kinds of people.

(5) Political awareness: Reading a group’s emotional

currents and power relationships.

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

includes:

(1) Influence: Wielding effective tactics for persuasion.

(2) Communication: Listening openly and sending

convincing messages.

(3) Leadership: Inspiring and guiding individuals and

groups.

(4) Change catalyst: Initiating or managing change.

(5) Building bonds: Nurturing instrumental relationships.

(6) Collaboration and cooperation: Working with others

toward shared goals

1B–2
ADDP 00.6

(7) Team capabilities: Creating group synergy in pursuing

collective goals.

2. These 5 competencies encompass many of the desired components

of team leadership and will be re-visited in chapter 3, ‘Leading People in the
ADF’.

1B–3
 ANNEX C TO
CHAPTER 1
ADDP 00.6

TRAITS AND LEADERSHIP POTENTIAL

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

a. Self-confidence—High self-efficacy, trust in own abilities,

optimistic with internal locus of control.

b. Adjustment—Stable with low anxiety and the absence of

neurosis, reliable and open.

c. Drive—Pro-social influence motivation, the desire for

achievement, power, ambition, high energy, tenacity and
initiative.

d. Cognitive ability—Intelligence; ability to integrate and

interpret large amounts of information, knowledge of business
and relevant technical matters.

2. Followers are attracted to people who display confidence, who are

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

3. Another psychological trait related to leadership potential relates to

one’s locus of control. People with an external locus of control tend to believe
in luck, tend to believe that most events in life are pre-ordained and outside
their influence. On the other hand, people with an internal locus of control
believe that they are in charge of their lives and can control situations to suit
their desired outcome. Followers are more likely to be attracted to someone
who displays an internal locus of control (as opposed to an external locus of

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control) since that person appears to be more ‘in charge’ of situations.

People with an internal locus of control are better able to accept that change
is something that they can shape and influence rather than change being an
inevitable tidal wave over which they have no control. It is unclear if these
characteristics caused the leadership success or were a consequence of that
success. Nevertheless, these traits can be used to guide selection of leaders
and subsequent leadership development programs.

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CHAPTER 2

LEADERSHIP IN THE MILITARY

The qualities, characteristics and skills required in a leader are

determined to a large extent by the demands of the situation in
which he is to function as a leader

R Stogdill, 1948.

Executive summary:

• The requirements of Military Service differentiate the Profession of

Arms from civilian employment.

• By themselves, the requirements of Service do not necessitate

leadership but rather ‘command’.

• Command, compliance and discipline should not be confused with

leadership.

• The moral component of fighting power is developed through

leadership, rather than command.

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

• Leadership in the military includes adapting to a variety of situations,

ranging from peacekeeping support to joint warfighting operations.

• Leadership on operations includes dealing with member anxiety,

stress and fear in battle.

• Military values help to suppress the fear in battle.

• Internalised values are the foundation for self-discipline.

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

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INTRODUCTION

2.1 Accepting that leadership is an everyday occurrence and that it does

not necessarily belong with a position or title, this chapter outlines what is
different between leadership in the military—any military such as the United
States Army, the Canadian Forces or the Australian Defence Force (ADF)—
and leadership in civilian society. Part of the answer lies in the context or
situation in which military leaders may have to operate. At home running the
local volleyball team or on leave with the family, the leadership skills required
of the service member are no different from those required of the rural
bushfire fighting captain described in chapter One. The difference starts to
emerge when the military member puts on his or her uniform. The difference
becomes even more apparent when the member is required to lead on
operations or armed conflict.

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

2.3 Leadership in the military should not be confused with ‘command’.

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

Requirements of Service

2.4 The mission to defend one’s country requires the maintenance of

operationally capable forces with high levels of fitness, commitment,
efficiency and discipline amongst their members. Certain inherent
requirements which apply to servicemen distinguish the profession of arms
from civilian employment. The Canadian Armed Forces refer to this
1
distinction as ‘accepting unlimited liability’ . Accepting this liability means

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

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that all members understand that they are subject to being lawfully ordered
into harm’s way under conditions that could lead to the loss of their lives.

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

Leadership vs command

2.6 Command. The North Atlantic Treaty Organisation (NATO) defines

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

Leadership concepts: Command concepts:

• Responsibility accepted
• Organisational structure not
required
• Can influence in all directions
• Following a leader’s (actions or
advice) is discretionary
• Authority granted
• Requires a hierarchical structure
• Influence is down chain of
command
• Following a command (given by a
legal commander) is compulsory

Table 2–1: Comparison of leadership and command concepts.

2.7 Compliance. The essence of command is the legal authority to direct

subordinates towards the completion of assigned tasks. This includes

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accepting that one can be deployed to an operational area and placed in

harm’s way, even if it is against one’s will. Assuming that the member has
had little say in the Government’s decision to go to war, then the member is
required to subjugate his/her will to that of the Government. A person in the
military must allow themselves to be ordered to do something that they may
not normally be inclined to do. Once a military superior decides on a legal
course of action, there is little their team can do but obey and comply.

2.8 Discipline. In the military, discipline generally relates to training and

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

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

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

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

HISTORICAL EXAMPLE—LEADERSHIP OVER DISCIPLINE

Australian Airmen serving with the RAF in WWII included those in Bomber
Command where they served often in mixed crews drawn from all parts of
the Commonwealth.

Although the vast majority of Australians enjoyed the experience, especially

the comradeship of mixed Commonwealth crews, British snobbery and
senseless discipline could be vexatious. At many squadrons the traditional
methods of enforcing discipline, such as insisting on exemplary dress and
bearing, saluting, performing trivial duties on non-flying days, and so on,
were ignored, as senior officers implicitly acknowledged the fact that men
who face death on a daily basis did not need artificial contrivances to shape
their behaviour. The qualities that were important in a wartime Air Force—

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professional competence, self discipline in the air, courage and loyalty to

crew and squadron – were not engendered by mindless obedience and
trifling tasks. ‘As long as you were in the briefing room, properly fit to fly
when you were required to fly, was all they asked’

From The Royal Australian Air Force by Alan Stephens.

2.10 Directing and controlling. The process of directing and controlling

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

2.11 ‘Military leadership’. The term ‘military leadership’ is somewhat

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

2.12 A member of the military may be assigned a ‘leadership position’ with

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

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Leadership in the military

2.13 Leadership is not a necessary process to ensure military orders are

obeyed. Leadership is, however, a necessary process to ensure commitment
to purpose and bolstering the will of others to continually pursue military
objectives, even when unobserved. Without leadership, the will to fight is
neither seeded nor nourished and therefore quickly wilts.

2.14 The moral component. ADDP–D.4—Joint Warfighting, identifies

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

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

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

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HISTORICAL EXAMPLE—BELIEF IN PURPOSE

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

Commodore Peter Lockwood, reflecting on Frigate Command in 2003 Iraq

War.

2.17 All leadership, including leadership in the military, offers a choice to

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

2.18 Morale. The NATO definition of Command includes the responsibility

for morale of assigned personnel. Although an often used word in military
doctrine, morale is not clearly defined and tends to mean different things to
different people. It has been variously defined as:

• ‘the state of mind of a group of people as reflected by their behaviour

under all conditions’ (Australian Maritime Doctrine, 2000)

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

• ‘It is that intangible force which will move a whole group of men to
give their last ounce to achieve something without counting the cost to
themselves; that makes them feel they are part of something greater
than themselves’ (Field Marshal Slim, 1956).

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

Figure 2–1: Schematic of moral leadership

2.20 Morale and leadership. The basis of military morale includes

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

2
United States Army Field Manual 1, 2005

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establishing the correctness or the nobility of the action/goal being pursued.

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

2.21 Range of military situations. The purposeful influence of followers is

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

• different leadership styles;

• different emphasis on task/people/team needs;

• different personal and social skills; and

• legitimate methods other than leadership to achieve tasks.

2.22 The difficulty for military members is to resist the temptation to

continually revert to directive and autocratic styles, simply because such
styles are easier to use in the military environment. Followers and
subordinates will quickly tire of such styles and will feel unappreciated and
dis-empowered. Continued use of a directive approach will result in low
morale, the suppression of moral development and loss of initiative.

2.23 Trust and credibility. Leader and follower alike have to believe that
the cause they are fighting for is honourable and just. Having been
convinced of the correctness of the mission being undertaken, followers
need to believe that the leader ‘knows what he/she is doing’ and is capable
of seeing the conflict through and capable of bringing his/her team or crew
home. The leader has to establish his or her credibility in regard to the
looming conflict and gain the confidence, trust and respect of the team. As

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indicated in chapter one, trustworthiness is a most important leadership trait.

This is no less so in the military environment.

Leadership on operations

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

2.25 Apprehension and anxiety. Modern warfare is continually changing

as technological developments transform the way that wars are fought, and
might be fought in future. Although some of its characteristics may change
with the times, the nature of war is immutable. Warfare invariably involves
terror, violence, chaos, suffering, social and economic dislocation and
destruction of life and property. All military personnel face the possibility of
deploying to or near war zones should major hostilities occur. Military
members may be called upon to engage in direct action against enemy
forces. Even though there may be some similar civilian situations - like
emergency response to civil disaster, bushfires or police riot action - such
situations are generally (1) less deadly than close combat, and (2) don’t have
the same level of compulsion inherent in operations. An additional
dimension, and one that differentiates operations from civil disasters, is that
military operations are often carried out far from home in a foreign and
aggressive environment. All the above circumstances can be expected to
produce great apprehension and anxiety in military personnel, their families
and friends.

2.26 Reduction of anxiety. A member’s pre-conflict anxiety stems

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

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Figure 2–2: Pre-deployment work up training turns the unfamiliar into

the familiar by allowing members to prove to themselves that they can
accomplish likely tasks.

2.27 Stress and fear. The responsibilities of leadership can be stressful in

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

The leader must be able to manage fear, first in himself for if

he cannot then his leadership must begin to fail: but in others
also for otherwise they may collapse.

General Sir John Hackett in Serve to Lead, Royal Military

Academy 2001

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

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• Explain that fear is a normal occurrence and encourage discussion. In

so doing, members are then less likely to suffer self-recrimination
after danger has passed.

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

daily routines.

• Timely and accurate passage of information. Knowledge dissipates

the unknown and quells rumours.

• Understand and monitor signs of stress in self.

• Suppress own fear and try to behave calmly in stressful and

dangerous situations.

HISTORICAL EXAMPLE—CALM UNDER ATTACK

‘Being on a ship whilst it is being attacked by aircraft was a completely new

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

The Captain clearly understood how everyone was feeling. He calmly

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

British soldier on board HMS Fearless, Falklands War.

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

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confident manner. In the heat of combat, this drill and automation will focus
the attention of individuals and drive fear and stress to one side.

2.30 Burden. Operational leaders must be perceptive and responsive to

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

Military ethos

2.31 The fundamental spiritual characteristics of a culture are represented

by its ethos. Military ethos comprises the values, beliefs and the ethical
framework for the military profession. Military ethos enables professional
self-regulation, creates desired military culture and establishes the trust that
must exist between the military and the society it serves.

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

2.33 Values-based leadership in the military. Professional military

values are more complementary to ‘followership’ in battle than they are to
leadership in non-operational environments. Professional military values like
courage, loyalty and selfless commitment lead to behaviours that are highly
desirable in operational situations. Although few in the military would want to

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see professional military values down played in the operational context, it is

important to remember that these values alone are not a sufficient basis for
leadership in all military situations. Militaries require their leaders to carry out
their duties well in both peacetime and operational environments. Military
leaders need to embrace values that underpin both the law of the country
and the rules of engagement. Values such as ‘care’, ‘compassion’ and
‘respect’ form the basis for sound leadership in both war and peace, even
though these values are rarely stated in military ‘value sets’.

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

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

3
From Duty with Honour—The Profession of Arms in Canada, 2003
4
See Living by the Sword: the Ethics of Armed Intervention by Tom Frame
(2004) for an outline of just war theory and its application to contemporary
operations.

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ambiguous situations. The issue of military professionalism and conflicting

values is revisited in chapter 5.

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

2.36 Moral development. The relationship between the development of

ethical reasoning, internalised values and self-discipline is strong. The
behaviour of young military recruits is at first externally controlled by the use
of rules and regulations through imposed discipline. Although effective, this
method of behaviour control is time consuming and collapses when the rules
don’t extend to an unexpected situation. Similarly, in the early stages of
moral or ethical development, an individual defines right or wrong in terms of
what results in rewards or punishment. Over use of the directive style of
leadership simply reinforces moral retardation. It is a leader’s responsibility to
encourage individuals to break free from the shackles of this early moral
development stage and progress to a more ‘internally controlled’ state. When
certain values are internalised and used to regulate individual behaviour, the
need for regulations and constant supervision diminishes. Not surprisingly,
there is a similar progression in the development of ethical or moral
reasoning. At higher levels of moral development, an individual stops
defining right and wrong in terms of rules and punishment and instead
develops internal moral principles that define right and wrong from a

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universal-values point of view. This is why the inculcation of civil and military
values is so important. A simple example of this progression is when
someone decides not to bully subordinates because of the value of human
dignity rather than any fear of punishment. A leader’s responsibility in the
development of his or her people involves both modelling moral and values-
based behaviour and encouraging discussion and reflection on moral or
ethical dilemmas.

2.37 Self-discipline. A general goal of military training and education is to

develop in individuals a sense of judgement and a capacity for self-regulation
so that reliance on external discipline is minimised. In so far as self-
discipline relates to the internal regulation of behaviour, the advantages of
this behaviour (over externally regulated behaviour) in terms of consistency,
initiative and adaptability make the inculcation of self-discipline in others a
key responsibility of military leaders. The development of self-discipline in
members is revisited in chapter 6 of this publication.

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

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

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

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Mission command

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

HISTORICAL EXAMPLE—TRUST IN TEAM

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

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

2.42 Ironically, the concept of mission command has more to do with

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

CONCLUSION

2.43 Leadership in the military is required to gain commitment rather than

just compliance to operational service. Leadership in the military is required
to secure deep connections with others—connections to values, beliefs and
the morality of conflict. Leadership in the military is required to ensure

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endurance, a persistence that mere authority can’t generate. Leadership in

the military is required to progress individuals from resource-intensive
discipline to more reliable self-discipline. Leadership in the military is
required so that all members can overcome the fear, stress and anxiety of
war. In some respects, the role of leadership in a military environment is to
achieve those things that command alone is unlikely to achieve. It is folly to
rely on positional power alone to bring about long term effects. A position of
authority may give a person a ‘jump start’ in achieving military missions, but
the well-spring of commitment will soon fade without leadership.

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CHAPTER 3

LEADING PEOPLE IN THE ADF

‘Objective One—Maintain Quality Leadership’, Defence People

Plan 2006-16.

Executive summary:

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

results.

• ADF values are instilled by leader example.

• An appreciation of the different Service cultures assists leading

people in the joint environment.

• There are distinct responsibilities associated with leading people in

the ADF.

• ADF leaders develop individual, team and unit capabilities—including

individual and team resilience and ability to handle operational stress.

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

• The ADF endorses ten ‘principles for leading people’.

INTRODUCTION

3.1 The ADF recognises the importance of leadership in maximising the

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

3.2 This chapter covers those aspects of military leadership that are of
heightened importance to the ADF. These concepts build on the concepts

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developed in the previous two chapters. There is a strongly held belief by

most members of the ADF that our Defence Force is as good as the best in
providing specialist capabilities. This will remain so only as long as every
leader continues to develop individual, team and unit capabilities to
accomplish results.

Results through people

3.3 The world faced by today’s ADF is an environment of rapid change,

complexity and uncertainty. Coupled with the increase in technology, leading
people in the ADF now requires additional skills to those identified twenty
years ago. The overall objective, however, remains much the same—ADF
leaders achieve results through people.

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

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

Evolution of ADF leadership style

3.6 A short examination of our military history indicates that in early

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

HISTORICAL EXAMPLE—EVOLUTION OF ADF LEADERSHIP STYLE

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

his diary:

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

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

Extract from ‘Return to the Hellfire Corner’ by Chris Murphy

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

3.8 The ‘ADF Way’ also implies that we value and encourage the
resourcefulness of subordinates in allowing them to achieve the means
without necessarily worrying about the method used to get there. This
approach sits well with the concept of ‘Mission Command’ as covered in
chapter 2. Values also play a vital role in the ‘ADF Way’ of leadership.
Previous influence and inculcated values will guide an individual or a group
when they are separated from their normal leader or confronted with an
unfamiliar situation.

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

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ADF values

3.9 The ADF subscribes to a set of six values, namely professionalism,

loyalty, integrity, courage, innovation and teamwork. This set of values,
which goes by the memorable acronym ‘PLICIT’, resonates well with the
value sets of the three single Services. The single-Service values reflect the
uniqueness of the separate Services and they both compliment and expand
the Defence values.

3.10 As stated in chapter 1, single word values are open to wide

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

• Professionalism is striving for excellence in everything we do. We

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

• Loyalty is being committed to each other and to Defence. We serve

the government of the day and support our leaders and colleagues to
undertake tasks and achieve results in line with Government direction.
We treat everyone at all levels with respect, care and compassion.
We work to uphold the best interests of the Australian people.

• Integrity is doing what is right. We behave honestly and ethically, and

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

• Courage is the strength of character to honour our convictions (moral

courage) and bravery in the face of personal harm (physical courage).
In Defence we stand up for what we believe is right and we speak out
robustly and openly against what is wrong. We have the courage to
accept valid criticism, admit to errors, learn lessons and improve. We
give honest feedback on work performance.

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HISTORICAL EXAMPLE—COURAGE

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

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

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

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

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

As the wireless operator later reflected;

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

From ‘The Royal Australian Air Force’ by Alan Stephens

• Innovation is actively looking for better ways of doing our business.

In Defence we are open to new ideas and strive to identify and
implement better ways of doing business. We are clever and make

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best use of the resources that we have to do our job. We encourage

sensible risk taking, and strive to identify opportunities to eliminate
inefficiency and waste.

• Teamwork is working together with respect, trust and collective

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

HISTORICAL EXAMPLE—LOYALTY, COURAGE AND TEAMWORK

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

He took control and tried to bring calm in the disastrous situation. He

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

From ‘50 Australians’—Australian War Memorial

Values based leadership in the ADF

3.11 Like most military value sets, the PLICIT values are more
complementary to ‘followership’ in battle than to leadership in non-
operational environments. Courage, loyalty and teamwork are highly relevant
to any group based organisation that is involved in intrinsically dangerous
undertakings. The PLICIT values alone do not make a substantial basis for
the activity of leadership which, by its nature, has a focus on relationships
and follower aspirations. This issue is addressed in the ADF through:

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• the amplification of the professional military values (PLICIT) so that

they include the values of respect, care, compassion and trust, and

• the recognition that all ADF members embrace Australian civic

values.

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

I found myself a little while ago talking to primary Principals

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

LTGEN Peter Leahy, Chief of Army, 2005.

ADF Culture

3.13 Australian is a country with a history of stable government under a

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

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• The Anzac legend ‘a legend not of sweeping victories so much as

triumphs against the odds, of courage and ingenuity in adversity’2

• ‘Mateship’. Australian servicemen place more importance on ‘not

letting down their mates’ than on their own well-being.

• The Australian ‘can-do’ attitude, leading to both resourcefulness and

adaptability, and

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

and compassion.

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

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

3.16 The emphasis on cultures and values within Defence is being driven
from the highest levels throughout the organisation, reflecting the
commitment by Chief of Defence Force and the Secretary to ensuring that
people are treated with care, consideration and compassion. The 2005 ADF

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

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military justice review provided a good opportunity to address the issues of

fair play, justice and ‘a fair go’ that should underpin Defence and reinvigorate
the important role of culture and values.

Different Service cultures and realities

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

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

• The crew of sea-going Navy vessels are required to live in confined

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

• The Navy also has a somewhat omnipotent approach to leadership at

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

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Figure 3–1: Leadership at sea, where the Captain ‘is the ship’

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• The Army has a command practice of including a senior soldier as an

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

• Army members are more likely to physically face the enemy in

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

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

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

• To be adaptable, flexible and responsive to future challenges, Air

Force is striving to develop an adaptive culture in which its people are
values-based, open, have a shared sense of purpose, understand
and value relationships, value learning and adopt a systems thinking
approach. These attributes are underpinned by leadership at all
levels.

ADF leader responsibilities

3.19 Leading people effectively is both an opportunity and a responsibility.

As previously discussed, the occupation of a ‘leadership position’ doesn’t

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necessarily imply influential leadership behaviour, nor does it imply that

subordinates automatically become followers. Nevertheless, the ADF
expects that members placed in positions of authority will exercise both
leadership influence and fulfil the management roles and command
obligations attached to that position.

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

We need to empower our people. Once we have skilled and

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

ACM Angus Houston, addressing the Senior Non

Commissioned Officer Forum, 2005.

Leading ADF people on operations

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

3.22 Leadership on operations relies heavily on the training and

development of members that has occurred before operations. ADF leaders
train and develop individual, team and unit capabilities, including individual
and team resilience and ability to handle operational stress. Realistic team
training in simulated environments and focused adventurous training in harsh
climatic conditions can prepare members for the inevitable fear and
uncertainty encountered on operations.

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HISTORICAL EXAMPLE—LEADING PEOPLE ON OPERATIONS

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

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

A full personnel and material rehearsal of the activity was conducted in a

safe area of the Persian Gulf to demonstrate that the task could be done
safely. The unfamiliar had thus become familiar and the ships company
could see that they could do it—although still apprehensive, the anxiety
levels over that task then significantly dropped’.

From Navy Combatant Command in Wartime-Frigate Experiences from the

2003 Iraq War, Commodore P. Lockwood.

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

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

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

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HISTORICAL EXAMPLE—DEFENCE VALUES SUPPORTING

OPERATIONS

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

Mr Andrew Wood, Director General Navy Aviation Systems, 2005

Values-based behaviour

3.25 Defence espouses a philosophy of values-based behaviour. Values-

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

Defence Leadership Framework (foundational)

3.26 Although leadership is defined as a ‘process’ in chapter 1, leadership

in the ADF is viewed almost exclusively as a capability that resides within the
‘leader’. Furthermore, the ‘leader’ invariably occupies a formal position and
therefore ideally practices both leadership and management behaviours.
Defence has developed a leadership framework which indicates the generic
capabilities, proficiencies and associated behaviours for employees at all
levels in Defence. The Defence Leadership Framework (DLF) provides a
structured listing of the skills, capabilities and knowledge for Defence
personnel to perform at eleven identified levels—Australian Public Service
(APS) levels 1 to 6 and Defence levels 05 to 09.

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3.27 The DLF is constructed around five major capability areas, which are
further broken down into proficiencies for each classification. Against each of
these proficiencies there are a number of behaviours. The outline below,
extracted from the foundational construct of the leadership framework,
indicates the five capability areas and associated proficiencies for staff from
the APS1 to the APS 6 level. (chapter 4, Strategic Leadership, outlines the
executive level construct)

Strategic thinking

• Contributes to organisational purpose and direction

• Thinks strategically

• Keeps self and others informed and contributes to planning and

decision making

• Shows judgement, intelligence and commonsense

Results

• Manages team and own ability effectively

• Applies and builds professional expertise

• Adapts to, supports and manages the impacts of change

• Takes responsibility for managing work projects to achieve results

Relationships

• Develops and maintains effective internal and external relationships

• Acknowledges and understands others

• Values individual difference and diversity

• Positively responds to feedback and assists in knowledge transfer

and learning.

Personal Drive and Integrity

• Behaves professionally and ethically

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• Commits to action

• Shows initiative in managing work outcomes, opportunities and

challenges

• Adopts a positive and balanced approach to work

• Seeks and applies ongoing improvement and learning

Communication

• Communicates clearly and concisely

• Listens, understands and adapts to audience

• Negotiates and works to reconcile diverse views

THE DEFENCE LEADERSHIP MODEL

3.28 The Defence Leadership Model, illustrated below, is a model that

indicates the relational chain, where desired leadership behaviours are
underpinned by leadership capabilities, performance principles and the
Defence Values.

Figure 3–3: The Defence Leadership Model

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Performance principles

3.29 The performance principles and leadership capabilities listed below

are loosely aligned to those outlined in the DLF discussed above. Together
they form the basis for appropriate leadership behaviour in the ADF.

PERFORMANCE LEADERSHIP LEADERSHIP

PRINCIPLE CAPABILITY BEHAVIOUR

Challenge • Articulate and

People like a challenge Set the standard communicate
and set new for performance performance
performance standards expectations
when they are clear • Explain where people’s
about our purpose and Associates with contribution fits in
understand where their ‘Achieves Results’ • Exemplify the standard
contribution fits in from the DLF and encourage/assist
others to perform.
• Involve people in
Elbow-room Give meaningful decision-making
People are responsible, direction. • Communicate the
accountable, exercise objective with clarity
self-direction and self- • Link direction to
control when their Associates with corporate goals
supervisor involves ‘Strategic Thinking’ • Ensure people have
them in decisions from the DLF what they need to get
affecting their the job done, within
workplace and allows resources allocated
them to do their job
Feedback Make • Tell it as it is
People exercise communication a • Make sure messages
imagination, and priority. are understood
creativity to solve • Listen and respond
problems when they Associates with • Actively create a
get constructive ‘Communication’ trusting environment
feedback on their ideas from the DLF
and are confident that
communication lines
are open

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Self-esteem Create the climate • Take an interest in

People who feel good for success people as individuals
about themselves do • Explain people’s roles
good work when their in the organisational
supervisor recognises a Associates with direction
job well done – praise ‘Relationships’ • Value and
from supervisors does from the DLF acknowledge people’s
wonders for self- contribution
esteem • Recognise people by
name
Pride Persist until the • Celebrate the team’s
People are proud of the job’s well and truly achievements
job they do and the done • Continually review
organisation they work progress and adjust
for when the priorities
organisation is making Associates with • Help people
a meaningful ‘Personal Drive understand why the job
contribution to society, and Integrity’ from is important
engendering trust and DLF • Understand the
mutual respect resources necessary to
complete the task

Table 3–1: Defence Performance Principles and Leadership Behaviour

Leadership and retention.

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

3.31 Leadership is therefore the most influential variable affecting job

performance and job satisfaction. Defence needs to maintain a well-tuned,
long-term and integrated focus on leadership that creates the conditions for
leaders at all levels and in all functions to be responsible for their people.
ADF leadership plays a decisive role in enhancing employee commitment.

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Leader behaviours that have a direct bearing on the intention of members to

stay include clearly articulating organisational goals, demonstrating honesty
and integrity, the provision of positive feedback and the setting of realistic
performance expectations.

At a time when the Army’s senior leadership is struggling to

find ways to retain its people the evidence suggests that the
solution lies in an area on which the Army has always prided
itself—leadership.

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

2002

TEN PRINCIPLES FOR LEADING ADF PEOPLE

3.32 These principles, first included in Army’s leadership doctrine in 1973,

have withstood the test of time and are directly relevant to all arms of the
ADF. The principles are useful for self-assessment and development of a
personal leadership action plan. They reinforce the leadership behaviours
outlined above and support the observation that leadership is best taught by
example.

3.33 Be proficient. Leaders must ‘know their stuff’. Sailors, soldiers and
airman trust leaders who are confident in their own abilities. To be confident,
a leader must be tactically and technically proficient. The leader is also
responsible for training subordinates. Proficiency can be attained through a
combination of formal training, on-job experience and self-improvement.
Successful leaders recognise that developing proficiency is a lifelong pursuit.
It is the capacity to develop and improve their skills that distinguish good
leaders from others. They have the self-discipline to develop themselves.
Some suggestions for expanding proficiency include:

• study the techniques of successful leaders and adopt the approaches

that best suit;

• seek balance in all that one does;

• maintain confidence; all leaders at some time in their lives have

doubted their ability;

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

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• motivate self to take positive goal oriented action.

3.34 Know yourself and seek self-improvement. To know themselves,

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

3.35 Seek and accept responsibility. Leading always involves

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

3.36 Lead by example. Sailors, soldiers and airmen will want and need
the leader to be a role model. No aspect of leadership is more powerful. If
the leader expects courage, competence, candour, commitment and integrity
from followers, then the leader must personally demonstrate those qualities.
High, but attainable, standards should be set, and the leader should be

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willing to do what is required of the rest of the team, and share dangers and
hardships with them. The leader’s personal example will affect followers
more than any amount of instruction or form of discipline. The leader must
become a model that others trust and choose to follow.

3.37 Provide direction. A team must understand its purpose. Each

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

• be sure there is a need for an order;

• use the established chain of command;

• study the military appreciation process;

• develop the ability to communicate clearly;

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

clear;

• by questions and scenario based quick decision exercises, confirm

the team’s understanding of orders, the context of the situation, and
the superior commander’s intent;

• supervise the execution of orders to ensure the intent is being

achieved; but do not stifle initiative by over supervising; and make
every possible means available to the team to assist them in their
task.

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

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• be fair and approachable;

• obtain as much knowledge as possible from personal records and

personal contact with the team;

• be concerned for subordinates’ domestic circumstance, living

conditions and work environment;

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

• provide opportunities to assist subordinates’ personal development;

and

• support the team with loyalty and respect.

3.39 Develop the potential of your subordinates. By delegating

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

• use the chain of command;

• tell subordinates what to do, not how to do it and then supervise,

intervening only when necessary;

• provide opportunities for team members to perform higher duties;

• be quick to recognise the accomplishments of subordinates, be open

with praise and correct any errors constructively; and

• support subordinates - have faith in their performance until convinced

otherwise.

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

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• Clarifying the issue and gathering the facts. Don’t rely on

assumptions. The most frequent mistake in decision making is trying
to decide before all the facts are known. Also seek to balance
gathering facts with the need to be ‘timely’ in decision making.

• Practice making logical assessments of all factors before coming to

any decision, even the everyday ones.

• Plan ahead and work out answers to problems, including possible

risk.

• Listen to your subordinates and value their knowledge. Seek their

opinion and use their thoughts to assist in your decision making
process.

• Consider the short and long term effects of decisions and answer the
question: ‘Is it ethical?’

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

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

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

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

• educate subordinates in the duties of other team members and in the

duties of adjacent groups;

• let each individual know the importance of his or her role in the
success of the team; and

• use the full capabilities of the group before requesting assistance

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3.42 Communicate and keep your team informed. Individuals have

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

CONCLUSION

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

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CHAPTER 4

LEADING THE ORGANISATION—STRATEGIC LEADERSHIP

I am committed to seeing the ADF develop as a balanced,

networked and deployable force, staffed by dedicated and
professional people, which excels at joint, interagency and
coalition operations

ACM Angus Houston, articulating his vision to the Senior

Non-Commissioned Officer’s Forum, Nov 2006

Executive summary:

• Leading the Australian Defence Force (ADF) involves developing and

maintaining the ADF’s military and professional capabilities and
creating the conditions for operational success.

• Although strategic leaders are generally senior officers, any member

of the ADF can lead strategically.

• Strategic leaders shape capability by adapting internal systems to fit

the external environment. They have no option but to become change
agents.

• Orientation to the external environment is the hallmark of strategic

leadership.

• Strategic leaders build and maintain Service culture by exemplifying

ADF values.

• Defence has identified the generic capabilities and behaviours

required of its strategic leaders.

INTRODUCTION

4.1 There are two major leadership functions in the ADF. The one that
has been dealt with thus far is leading people. The other major leadership
function, primarily concerned with developing and maintaining the ADF’s

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military and professional capabilities and creating the conditions for

operational success, is leading the organisation—or strategic leadership.

Strategic leadership defined

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

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

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

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

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Leading People: Leading the Organisation:

• Influence is directed towards
team members.
• Influence is close and direct,
usually face-to-face.
• Mission is tactical or operational
in scope, normally discrete and
well defined.
• Short time frame, achievement of
results expected in leader’s
tenure.
Table 4–1: Comparison of leading people and leading the organisation
• Influence is directed towards all
within ADF as well as many
external agencies.
• Influence is generally distant or
indirect.
• ‘Mission’ is national in scope—
providing Government with
military capability.
• Long time frame, results may not
been seen for 20 years.

ADF’s strategic leaders

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

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

The purpose of strategic leadership

4.8 The overriding purpose of strategic leadership in the ADF is to ensure

that the Australian Government always has at its disposal a capable Defence
Force. As simple as this task may sound, it is an exceedingly complex
undertaking.

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4.9 Military capability. The many possible permutations of future

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

4.10 Fundamental Inputs to Capability. In the ADF, military capability is

defined as ‘the combination of force structure and preparedness, which
enables the nation to exercise military power’ (ADDP 00.2 Preparedness and
Mobilisation). Military capability is managed using a systems approach where
the more tangible inputs, termed the Fundamental Inputs to Capability (FIC),
are combined to achieve Government goals. To ensure consistency across
Defence in establishing and reporting levels of preparedness, the FIC have
been consolidated into a single check list. The eight FIC are:

• command and management,

• organisation,

• collective training,

• major systems,

• supplies,

• facilities,

• support, and

• people.

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

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The ADF needs to be balanced because in my experience I

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

ACM Angus Houston in addressing the Senior Leadership

Group, August 2005

The role of strategic leaders

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

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

4.13 Shape capability. Strategic leaders develop, shape and maintain

ADF capability in two major ways. Firstly, by adapting the FIC to fit the
current and future external environment, through strategic planning and the
implementation of subsequent change. Secondly, by influencing the external
environment through public affairs, strategic partnerships and professional
networking.

• Adapting FIC to fit external environment. The number of people

predicted to enter the Australian workforce in 2020 will be a quarter of
the size of the entry pool experienced in 2001. The ADF will clearly
have to adapt to this external situation by adjusting some, if not all, of
the FIC listed above. Major systems will have to be adapted to
operate with fewer people. Facilities may have to be rationalised and
supplies adjusted. Although the Australian demographic situation is
one of the ADF’s biggest strategic challenges, any major change in
the external environment will most likely require consequent
adjustment to the FIC. Recent examples of FIC adjustments to fit
changing environmental circumstances include the increase in

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intelligence personnel and the purchase of C–17 Heavy Lift aircraft as

a response to changing security threats. Adapting internal systems as
a result of external pressure invariably involves change. As a result,
strategic leaders have no option but to become agents of change.

• Influencing the external environment. The defining feature of

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

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

• Aligning systems. The CDF’s vision precedes the executive

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

HISTORICAL EXAMPLE—ALIGNING SYSTEMS

‘To fulfil my role as a leader in this organisation, I needed to focus a huge

effort on vision and communication. We needed to develop a clear picture of
where the organisation was headed in the future and how we were going to
get there. We needed to understand why the future organisation would be

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more fulfilling for staff than the current one. I needed to use a range of
communication methods from personal briefings to newsletters to e-mails.
Most importantly though, I needed to cascade the right leadership style
delivering the right messages through my Directors and Regional Managers.
Getting the whole organisation on the same wavelength, aligned to the vision
and understanding their place within that vision was my most important task’.

Air Commodore Julie Hammer, addressing the Macquarie Graduate School

of Management in 2002, about her time as CO Electronic Warfare Squadron.

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

• In achieving alignment of effort, strategic leaders have to work hard at

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

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

leadership

• Shaping ADF Culture. Perhaps the two most important stewardship

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

• The behavior of strategic leaders sends a very clear message to

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

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AIR FORCE ADAPTIVE CULTURE PROGRAM—AN EXAMPLE OF

STRATEGIC LEADERSHIP

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

Values Based—Being values-based means that our skill as living and

thinking people matters more than a set of arbitrary rules. Values are the
expectations we have about how we are treated, and how we should treat
one another. Values shape our behaviour, they do not rule our behaviour.

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

Understanding and Values Relationships—Air Force relies on a complex

web of relationships in achieving capability outcomes. Trust based
relationships encourage the sharing of knowledge and consideration of
‘others’ in decision making.

A Shared Sense of Purpose—A team of Air Force people working together

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

Valuing Learning—This is about recognising the value of knowledge in Air

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

Systems Thinking—Systems thinking recognises that everything is

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

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

Air Force Adaptive Culture Program, 2003.

Development of strategic leaders

4.15 Considering the complexity and broad nature of a strategic leader’s

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

4.16 Professional military education. The professional military education

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

• Strategy and the development of strategic thought.

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

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

• Regional military technology as well as the cultural and social fabric of

Australia’s near neighbours.

• The likely threats to Australian security and a solid coverage of

Australia’s regional and international relationships.

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• Australian culture, values and social trends.

• ADF and Service culture—given that an understanding of one’s

culture should precede any attempt at shaping that culture.

4.17 Career progression. Individuals destined for strategic leadership

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

4.18 Mentor feedback. Both informal and formal mentoring are

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

HISTORICAL EXAMPLE—STRATEGIC LEADERSHIP

Vice Admiral Collins considered himself too young at 49 to fill the post of
Chief of Navy Staff but Prime Minister Ben Chifley was adamant that an
Australian must lead the RAN. Collins proved to be a shrewd and capable
administrator who enjoyed the respect of the higher echelons of Defence and
Government. These qualities were much needed as the Navy was reshaped
to meet changing strategic, social and fiscal circumstance. Collins oversaw
the introduction of aircraft carriers into the Fleet as well as the involvement of
the RAN in the Korean War and the Malayan Emergency. He also instigated
coordinated strategic and operational planning by the RAN, RN and RNZN.

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He followed this success in 1951 with similar arrangements with the USN.
The resultant Radford-Collins Agreement came to symbolise the post-war
primacy of the RAN’s relationship with the USN.

Adapted from Australian Naval Personalities, G. Gilbert, 2006

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

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Strategic leader capabilities

4.19 Defence Leadership Framework. As stated in chapter 3, Defence

has developed a leadership framework which indicates the generic
capabilities, proficiencies and associated behaviours for all employees in
Defence. The executive level of the DLF includes 05/EL1 to 09/SES Band 3
levels and provides a structured listing of the proficiencies and expected
behaviours for Defence personnel to perform at any of these identified levels.

4.20 Executive level capabilities. The Defence Leadership Framework is

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

4.21 Against each proficiency are a number of behaviours. Each behaviour

amplifies the proficiency by describing it in more detail. An example of the
One-Star/ SES Band 1 level framework, complete with associated
behaviours, is attached in at Annex A to this chapter.

CONCLUSION.

4.22 The world of the strategic leader is a complex one—broader

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

4.23 The defining aspect of strategic leadership is the requirement to

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

Annex:
A. Defence Leadership Framework for One-Star Level

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CHAPTER 4
ADDP 00.6

DEFENCE LEADERSHIP FRAMEWORK FOR ONE-STAR LEVEL

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

a. Shapes Strategic Thinking

(1) Inspires a sense of purpose and direction.

(a) Develops the strategic direction for the business

unit and creates a shared sense of purpose by
demonstrating how elements of the strategy fit
together and contribute to higher level goals.

(b) Encourages others’ input and communicates

required actions and expected outcomes.

(2) Focuses strategically

(a) Understands the organisations direction and role

within Government and society, including the
whole of government agenda

(b) Considers multiple perspectives when assessing

the ramifications of issues

(c) Develops plans that address both current and

likely future requirements.

(d) Seeks to align business unit activities with

strategic priorities

(3) Harnesses information and opportunities

(a) Draws on information and alternative viewpoints

and monitors information channels to
understand new issues of importance to the
government.

(b) Monitors change in the environment

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(c) Seizes opportunities and adjusts approach to

respond to threats

(d) Addresses any critical information gaps.

(e) Uses knowledge of the organisation to provide a

context for others.

(4) Shows Judgement, Intelligence and Commonsense

(a) Applies intellect and knowledge to weigh up

complex information and identify critical factors
and issues.

(b) Works effectively when all of the information is

not available.

(c) Explores the options in full and makes sound

decisions under pressure.

(d) Considers opportunities and anticipates risk.

(e) Applies lateral thinking and identifies innovative

solutions.

b. Achieves Results

(1) Builds organisational capability and responsiveness

(a) Investigates ways to improve effectiveness by

harnessing technology and implementing
continuous improvement activities.

(b) Builds team with complementary skills and

engages in succession planning.

(c) Responds flexibly to changing circumstances,

deploys resources astutely and identifies
optimum resourcing combinations.

(d) Creates a flexible environment that enables

others to meet changing demands.

(2) Marshals professional expertise.

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(a) Integrates professional expertise into the

organisation to improve overall performance and
delivery of business unit outcomes.

(b) Manages contracts judiciously.

(c) Actively ensures relevant professional input from

others is obtained and shares own experience.

(3) Steers and implements change and deals with

uncertainty

(a) Adopts a planned approach to the management

of programs.

(b) Defines high-level objectives and supports

translation into implementation strategies.

(c) Operates effectively in an environment of

ongoing change and uncertainty and maintains
flexibility.

(d) Actively ensures stakeholders are kept informed

during times of change.

(4) Ensures closure and delivers on intended results

(a) Drives a culture of achievement

(b) Ensures ideas and intended actions become

reality and that planned projects result in
expected outputs.

(c) Strives for quality and ensures compliance with

regulatory requirements.

(d) Puts systems in place to establish and measure

accountabilities.

(e) Manages risk that may impede on project

outcomes and ensures that key stakeholders are
across all relevant issues.

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c. Cultivates Productive Working Relationships

(1) Nurtures internal and external relationships

(a) Builds and sustains relationships within the

organisation, with the Ministers office and with a
diverse range of external stakeholders.

(b) Looks for shared agendas and uses these to

bring people together.

(c) Shows a commitment to client service through

own actions and those of the business unit.

(2) Facilitates cooperation and partnerships.

(a) Brings people together and encourages input

from key stakeholders.

(b) Facilitates cooperation within and between

organisations.

(c) Promotes the reciprocal sharing of information to

build knowledge.

(d) Fosters teamwork and rewards cooperative and

collaborative behaviour.

(e) Resolves conflict and manages the sensitivities

involved.

(3) Values individual differences and diversity.

(a) Recognises the positive benefits that can be

gained from diversity and capitalises on these
for the benefit of the business unit.

(b) Harness understanding of differences to

anticipate reactions and enhance interactions.

(c) Recognise the different working styles of

individuals and tries to see things from different
perspectives.

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ADDP 00.6

(4) Guides mentors and develops people.

(a) Encourages and motivates people to engage in

continuous learning, and empowers them by
delegating responsibility for work.

(b) Sets clear performance standards and gives

timely praise and recognition.

(c) Makes time for people and offers full support

when required.

(d) Delivers constructive feedback and manages

under-performance.

(e) Offers support in time of high pressure and

engages in activities to maintain moral.

(5) Promotes and adopts a positive and balanced

approach to work.

(a) Pursues corporate strategy to maintain personal

health and wellbeing for the workforce.

d. Exemplifies Personal Drive and Integrity

(1) Demonstrates professionalism and probity.

(a) Adheres to and promotes organisational values

and code of conduct and acts with upmost
integrity and professionalism.

(b) Encourages these standards in others.

(c) Operates professionally and within the

boundaries of organisational processes and
legal and public policy constraints.

(d) Represents the organisation effectively in public

and internal forums, and advocates the
corporate agenda.

(2) Engages with risk and shows personal courage

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ADDP 00.6

(a) Provides impartial and forthright advice.

(b) Is prepared to make tough corporate decisions

to achieve desired outcomes

(c) Challenges and encourages debate on difficult

or controversial issues.

(d) Stands by own position and supports others

when required.

(e) Takes responsibility for mistakes and learns

from them.

(f) Seeks guidance and advice when required.

(3) Commits to action.

(a) Commits to achieving key outcomes for the

organisation.

(b) Demonstrates personal drive, focus and energy.

(c) Galvanises others to act.

(d) Acts decisively and initiates urgent action to

overcome difficult problems

(4) Displays resilience.

(a) Persists with, and focus on achieving

organisational objectives even in difficult
circumstances.

(b) Monitors own emotional reactions and responds

to pressure in a controlled manner.

(c) Displays a positive outlook and maintains

momentum in difficult situations.

(5) Demonstrates self-awareness and a commitment to

personal development.

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(a) Examines own performance and regularly seeks

feedback from others.

(b) Confidently promotes areas of strength,

acknowledges development needs and
proactively identifies related learning
opportunities to extend skills and experience.

(c) Reflects on own behaviour and recognises the

impact on others.

e. Communicates with influence

(1) Communicates clearly and concisely

(a) Confidently presents messages in a clear,

concise and articulate manner.

(b) Focuses on key points for the audience and

uses appropriate, unambiguous language, and
explains the implications and ensures the
conclusion is clearly conveyed.

(c) Selects the most appropriate medium for

conveying information and structures written and
oral communication to ensure clarity.

(2) Listens, understands and adapts to audience

(a) Seeks to understand the audience and tailors

communication style and messages accordingly

(b) Listens carefully to others and checks to ensure

their view have been understood.

(c) Anticipates reactions and prepares a response

to address the audiences concerns.

(d) Checks own understanding of others comments

and does not allow misunderstandings to linger.

(3) Negotiates persuasively

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(a) Approaches negotiations with a strong grasp of

the key issues.

(b) Presents a convincing and balanced rationale

(c) Anticipates the position of the other party, and is

aware of the extent of the potential for
compromise

(d) Acknowledges and addresses disagreements to

facilitate mutually beneficial solutions.

(e) Encourages the support of relevant

stakeholders.

(f) Focuses on the desired objectives and ensures

negotiations remain on track.

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CHAPTER 5

CONTEMPORARY ISSUES FOR LEADERS

There will always be leaders who have it in them to brutalise

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

B. Kellerman, 2004

Executive summary:

• Australian Defence Force (ADF) culture and subcultures can be major

barriers to an aligned and adaptable Defence Force.

• Dysfunctional leadership may bring immediate and impressive results

but is corrosive in the long term.

• Authoritarian leadership styles can suppress the moral development

of subordinates.

• Modern militaries need to reflect as far as possible the cultural and

gender diversity of the society it defends.

• Rapidly changing environmental conditions require leaders at all

levels to be adaptive and open to innovation.

INTRODUCTION

5.1 The transformation of work with the information technology revolution

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

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• cultural alignment,

• dysfunctional leader behaviours,

• diversity and gender balance, and

• adaptive change.

Cultural alignment

5.2 Chapter 4 indicated that an important role for strategic leaders was to
shape ADF culture. Typically, military organisations are characterised by
hierarchical structure, strategy formulated at the top, centralized decision
making and a rigid, or at least conservative, culture. These organisational
characteristics, although excellent for producing reliable and predictable
outcomes, are not necessarily well suited for dealing with today’s knowledge-
intense and turbulent external environment. Organisations that are more
flexible, adaptable and able to quickly modify their procedures to reflect new
knowledge and insights are more likely to prosper in today’s environment.
The term ‘Learning Organisation’ has been used to describe organisations
that are more flexible, adaptive and responsive.

5.3 ADF—A learning organisation. Strategic leaders in the ADF are

now starting to emphasise behaviours that typify learning organisations. The
RAAF’s ‘Adaptive Culture Program’, briefly outlined in chapter 4, stresses the
behaviours that are required to adapt to changes in the environment rather
than just react to them. Such ‘Learning Organistaion’ behaviours include:

• Encouraging critical and creative thought

• Taking appropriate risks to explore opportunities

• Creating a climate conducive to individual and team learning

• Encouraging learning from mistakes rather than a culture of blame

• Providing incentives for learning, experimentation and innovation.

5.4 Barriers to cultural alignment. Chapter 3 outlined the different

Service cultures and suggested that an appreciation of the three cultures
was necessary when leading in the joint environment. Although few would
suggest that the three Service’s cultures should be ‘made the same’, most
would agree that no matter what the culture, all Defence members should be
pulling in the same direction, share the same sense of purpose and agree on

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appropriate methods to achieve tasks. A team of ADF people working

together towards a shared goal will get there much faster than a group of
people pulling in various directions. Some of the barriers to cultural alignment
in the ADF (or ‘habits’ that allow members to pull in different directions)
include entrenched tribes, alternative value sets, and even the normally
positive ‘can-do’ attitude.

5.5 Tribal nature of Defence. The different Service cultures, outlined in a

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

5.6 These intra-service distinctions create differing levels of expectations

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

5.7 Alternative value sets. As noted previously, Defence’s values and

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

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5.8 The values espoused by the ADF, such as ‘teamwork’ and ‘integrity’,
are not necessarily the values that are rewarded within some ADF
subcultures. The ‘values’ of competition, hierarchy and power dominate in
some sections of the ADF, as evidence by the rivalry and blocking tactics
between ‘tribes’ as discussed above. The rewarding of alternative values
tends to push aside or ‘sideline’ Defence values. Even more telling is when
espoused values are publicly stated but privately punished. At least one
whistle-blower scheme was discredited because the person with the moral
courage to step forward was branded a ‘dobber’ and ostracised from the
work group. In 2004, the media reported a story from a disgruntled member
who claimed he was driven from the ADF by his ‘mates’ because the
individual alerted the authorities to incidents of marijuana or social drug use
within his group (Nathan Moore in the Weekend Australian, October 2003)

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

5.10 Fortunately, conflict between agreed values is more common than

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

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

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5.12 ‘Can-do’ attitude. The military emphasis on mission achievement,

irrespective of the associated human performance constraints and costs, has
been termed the ‘can-do’ attitude. (Falconer and Murphy, 2005). In the ADF,
the ability to achieve a task or mission on time, no matter the resource or
human challenge, is a source of professional pride. Indeed, the ‘performance
principles’ contained within the Defence Leadership Model (see chapter 3)
stress the importance of ‘challenge’ to both team and leader. Teams and
individuals often perform beyond their expected limitations when challenged
and guided by experienced leaders. However, such challenges can generate
trade offs, and in safety-critical domains these compromises may eventually
come at great cost in the form of accidents. Members routinely applying a
‘can-do’ attitude may be blind to the subtle build-up of risks, shortcuts or
exhaustion that can align to cause injury or even death. This ‘can-do’ attitude
has been seen as a partial cause for some of Defence’s worst peacetime
disasters, including the crash of two Black Hawk helicopters in 1996 resulting
in the death of 18 servicemen.

Figure 5–1: Leaders must feel respected and proficient enough to

assertively communicate resource implications to superiors

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5.13 Associated with this ‘can-do’ attitude is the pressure put on leaders to
accomplish tasks handed down to them. If the leader points out concerns or
is reticent about achieving the tasks, they are often replaced by someone
who will achieve the task, with obvious implications about the career
prospects of the replaced leader. The alignment that is required to deal with
the ‘can-do’ attitude relates to balancing the productive aspects of team and
individual challenge with a sensible risk management approach. Leaders
should continue to ‘stretch’ their teams but be ever aware of team stress and
safety (see chapter 1—‘Leadership outcomes’). Members must be trained to
recognise conflicting goals and to seek or to make specific priorities among
them. They must feel respected and proficient enough to assertively
communicate resource implications to superiors who may not be aware of
the full ramifications of their decisions at the level of the operator.

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

Dysfunctional leadership behaviours

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

• self-serving leadership,

• an aggressive task-focus to impress supervisors, and

• the suppression of moral development in subordinates by the overuse

of autocratic leadership styles.

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5.16 Self-serving leadership. ADF leaders must guard against their own
sense of self importance and recognise that leadership in the ADF is about
serving others, not serving themselves. As noted in chapter 1, all leaders
need considerable self-confidence, ambition and some amount of narcissism
to strive for leadership positions. Too much leader narcissism, however, can
be very damaging to subordinates and eventually the organisation1 . Overly
narcissistic or self-serving leaders tend to ‘personalise’ their vision of the
organisation, pursue results for their own benefit and are contemptuous
towards others that do not agree with them. The behaviour of self-serving
leaders is not necessarily brash or loud but can be very subtle. Self-serving
leaders are very good at image management and tend to surround
themselves with sycophantic ‘yes-men’. They tend to use stereotypes to
describe other groups and ingratiate themselves with their followers through
an appeal to the group’s uniqueness. They are able to influence others by
emotional appeals rather than the use of rational argument. They are
therefore more likely to engender envy, greed, hate and conflict rather than
altruism, harmony and cooperation. Tribal cultures with strongly held but
exclusive norms, appeals to racism and appeals to elitism all point towards
self-serving leadership.

It is also possible to produce lists of leadership traits that are at

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

Chief Of Navy Command Guide, 2003

5.17 The ADF condemns self-serving leadership but supports values-

based leadership where the values of the leader reflect social responsibility
and benefits the greater good. As highlighted in chapter 3 and 4 of this
publication, leadership in the ADF is about serving other people and the
organisation.

5.18 Aggressive task focus. At times, ADF leaders are required to drive
their subordinates very hard to achieve tasks. This drive may be to meet an

1
Kets de Vries M. & Miller D. Narcissism and Leadership: An Objective
Relations Perspective. Human Relations. 1985

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urgent contractual deadline or to satisfy an important political imperative. A

leader with a continuous and unrelenting drive to achieve, sometimes
referred to as a ‘fire-fighter’, can be counter-productive over the long term.
Such individuals are good at getting tasks done but often hurt people in the
process. Impressive short-term results are achieved but with a legacy of long
term damage to the individuals involved—often a legacy that is passed on to
the next supervisor to rectify.

5.19 For many years, leader behaviour has been viewed along two
independent variables, one being a ‘task focus’ (or structure orientation) and
the other being a ‘people focus’ (or consideration orientation). Briefly, a task
focus includes behaviour in which the leader defines roles, outlines
expectations and pushes for achievement. On the other hand, a people focus
includes behaviours in which the leader encourages participation in decision
making and promotes two-way communication. Not surprisingly, research
has shown that a leader who shows high people focus or consideration is
rewarded with lower subordinate grievances and lower turnover. Conversely,
a leader who shows high task focus (alone) is faced with high subordinate
grievances and turnover. What is interesting, however, is that the level of
grievance and turnover stays constant when the leader initially establishes a
high people focus and then increases task focus or structure. The lesson
here for the ADF is that leaders should first focus on individual consideration
and then build task structure upon this foundation. Within the Service, there
will always be periods of high operational tempo. These times are more
easily weathered when ADF leaders have established a foundation of
consideration. In terms of retaining a productive and satisfied workforce, the
ADF leader must first focus on their people.

5.20 Suppression of moral development. In the early ‘Pre-

Conventional’2 stage of moral development, individuals define ‘good
behaviour’ as behaviour that is praised or rewarded and ‘bad behaviour’ as
behaviour that is punished. A young child will believe that stealing is wrong,
not because of broken trust or property concerns, but because ‘you get
punished if you get caught’. Any discipline system that relies totally on
reward and punishment to control its members will reinforce this Pre-
Conventional stage and retard further moral development within its
members. Autocratic or directive leadership styles also rely heavily on
obedience, reward and punishment and similarly retard moral development.
When members are encouraged to obey orders for fear of punishment rather
than any appreciation of the order’s purpose, they are in effect suspending

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

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any moral judgement. As indicated in chapter 2, the moral development of

military women and men is often suppressed by the predominant leadership
pattens associated with military service. Autocratic or directive leadership
relies on uncritical obedience to external authority and results in dependable
task completion—but it also suppresses moral development.

5.21 The ADF encourages a balance in leadership styles rather than an

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

Diversity

5.22 Diversity relates to differences based on two broad dimensions.

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

5.23 Gender. In contemporary management literature, men are

stereotyped as being task focused and assertive—and therefore favour a
more autocratic and directive style of leadership. By contrast, women are
stereotyped as being more empathetic and people focused—and therefore
favour a more democratic and collaborative style of leadership.
Nevertheless, research has failed to find these stereotypes in organisational
settings where it has been discovered that organisational norms override

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sex-differentiated styles. Organisational leadership roles usually provide

clear and unambiguous behaviour guidelines. Supervisors of both sexes are
more concerned about leading effectively than representing societal gender
roles. More recent research has focused on the effect of organisational
culture on leadership style. Within most Australian organisations, a
numerically male dominated hierarchy nurtures male leadership stereotypes
while at the same time suppresses female leadership stereotypes. (Eagly
and Johnson, 1990). This research is cause for concern in modern
organisations where people focused and democratic leadership (stereotypic
female styles) are of increasing importance when compared to traditional
male leadership styles. The proceeding sections of this chapter have also
indicated that overly task-focused and autocratic leadership styles (typical
male) have some severe short-comings when overused.

5.24 In the aggregate, male and female leaders are equally effective but
this is not so in every situation. Research has indicated that female leaders
do not fare well in those situations that are perceived as masculine in nature,
such as the military, just as men do not fare well in situations that are
perceived as feminine in nature, such as social service organisations 3. For
leadership roles that are typically regarded as especially suitable for men,
negative attitudes towards female leaders prevails. Such negative
perceptions are evident in the ADF where some long serving members tend
to have negative attitudes about women occupying leadership roles.

HISTORICAL EXAMPLE—DISCRIMINATION

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

From The Royal Australian Air Force by Alan Stephens.

3
Eagly, A. Karau, S. & Makhijani, M. ‘Gender and the effectiveness of
leaders: A meta-analysis’ Psychology Bulletin 117 (1995) pp125-145.

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Figure 5–2: Navy has the highest proportion of female members at

approximately 17 per cent. On the other hand, Navy has the lowest
proportion of members with non-English speaking backgrounds at 7
per cent.

5.25 Women are under pressure to adopt male stereotypic styles of

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

5.26 Although women now have increasing presence in the ADF

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

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5.27 The impact of cultural diversity on leadership is perhaps not so

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

• at the system level, embracing diversity as a policy supports resource

acquisition through the benefits of a reputation as a preferred
employer,

• at an operational level, the insight and cultural sensitivity that people

from other culture can bring when engaged in multinational
operations,

• at group level, greater creativity and less conformity is possible when

accessing diverse perspectives, and

• within teams, research points to better problem solving with the

increased range of perspectives and knowledge offered through
cultural diversity.

Adaptive change

5.28 When a group or organisation is facing a problem, members often

look to the ‘leader’ to provide solutions. Leaders feel compelled to come up
with a solution in order to maintain trust and credibility in the eyes of their
followers. Some problems, however, do not have any routine or easy
solutions. In these cases, the leader must avoid the temptation of shifting
blame, fudging answers or accepting sole responsibility for eventually
providing the solution. Instead, the leader must skilfully turn the problem

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back to the members for examination—with the intention of producing new

learning and innovative solutions.

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

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

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

CONCLUSION

5.32 Leadership is a very rich and complex subject. To practice it requires

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

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CHAPTER 6

DEVELOPING ADF LEADERS

Executive summary:

• The Australian Defence Force (ADF) recognises that leadership ability

is a function of a given potential, relevant motivation and certain
developmental processes.

• Leadership development in the ADF starts at recruit and initial officer

training and continues until discharge.

• Leaders in the ADF are developed through a combination of career

progression, exposure to other leaders, mentoring, formal training and
performance appraisal.

• Competency Based Training is used to deliver fundamental

leadership knowledge, skills and attitudes through a continuum of
career courses.

• Attitude and values inculcation, or character development, is the

principal focus of ADF leadership training.

• The ADF trains towards the Defence Leadership Framework (DLF)

which outlines the behaviours expected of leaders and managers at
all levels.

• The ADF encourages feedback from team members since followers

are very well placed to comment on a leader’s effectiveness.

INTRODUCTION

6.1 In the study of world military history, leadership is often credited as

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

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6.2 Training and development are two distinct, yet related processes.
Training involves the conduct of formal exercises and activities as part of a
structured program. The principal elements of ADF leadership training
include the Services leadership training continuums, most often including
leadership education, adventurous training activities and military exercises.
Development involves an overarching process that integrates professional
military education, mentor and peer interaction, career progression,
operational postings and even life experiences. The potential for leadership
is inherent in all those selected to join the ADF, the fundamentals of
leadership are delivered on ADF courses, and the practice and continued
fine tuning of leadership is gained throughout an ADF career.

6.3 The inculcation of Service values is an example of leadership training

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

Leadership potential, motivation and development

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

6.5 Motivation to lead. Leadership potential alone is not sufficient. Many

individuals have the psychological capabilities to become leaders but choose
not to. Many people are more comfortable as part of a group and shun any
opportunity to stand out in front of that group. Many people simply do not
want the responsibilities and hardships of leadership. A potential leader, on
the other hand, requires the desire and motivation to lead. This motivation
may vary according to the situation (some people are happy to lead in non-

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vocational settings but not at work) but it is strongly related to an individual’s

self-esteem and self-confidence. The ADF selects people who are motivated
to lead and subsequently uses development interventions to increase
member’s self-esteem and self-confidence, thereby maintaining leadership
motivation.

6.6 A new musician, blessed with a musical ear (potential) and an

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

LEADERSHIP DEVELOPMENT IN THE ADF

6.7 For many European nations, modern thought on military leadership

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

6.8 Sources of leadership development. Like the development of other

life skills, leadership is ‘learnt’ from a variety of sources. Within the ADF,
these sources include (1) exposure to other leaders through job rotation and
mentoring programs, (2) career progression and other structured
opportunities to take responsibility of people—including operational
experience, (3) formal leadership training and other less-structured
opportunities for reflection on leadership performance (4) examination of
leadership performance of others via lessons learnt databases, case study

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and professional reading, and (5) feedback on individual leadership

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

• Job rotation. In order to gain broad-based experience, members of

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

• Mentoring. The ADF encourages mentoring and coaching on an

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

• Formal leadership training. All three services conduct formal

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

HISTORICAL EXAMPLE—ADVENTUROUS TRAINING (AT)

‘Within an operational context, the skills I picked up from Adventurous

Training (AT) had to do with ground appreciation, weather analysis, group
dynamics—particularly when that group is afraid—and thinking logically
under pressure. These skills had a direct bearing on my performance in East
Timor. Certainly, in the 02 August 2000 contact in which two enemy were
killed in action, my ability to overcome personal concerns and motivate the
lads, I believe, was influenced by being under similar pressures in AT
situations....Confidence in yourself is the biggest issue, and its my belief that
AT has had a direct effect on my competence as a Platoon Commander’.

CAPT Michael Humphreys, Army, 2005

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• Career progression. By its very nature, career progression will

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

• Additional responsibility. There are many types and forms of

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

• Performance appraisal. In the ADF, performance appraisal is the

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

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

HISTORICAL EXAMPLE—LEADERSHIP DEVELOPMENT THROUGH

EXPERIENCE

‘Within a few months of graduating from Duntroon in 1968, I found myself,

like many young men of my generation, fighting a war in Vietnam. What
perhaps made my situation different from most—though by no means
unique—was the fact that at the age of twenty-two I was in very real,
practical terms responsible for the lives and well being of 30 other
Australians—an infantry platoon of soldiers in our Army’s 9th Battalion. While
Duntroon had gone a long way to preparing me for this role, the stark

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actuality of that responsibility was initially very confronting. An acute

awareness of that responsibility has remained with me always.’

General Peter Cosgrove in address to 2003 Disaster Conference, 11 Sept

2003

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

Formal leadership training

6.10 Competency based training. Within the ADF, competence is

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

6.11 Learning domains. Knowledge, skills and attitudes are three

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

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

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inter-personal characteristics. The affective domain of leadership is the

dimension on which the bulk of ADF leadership programs focus.

Values inculcation through the affective domain

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

6.14 External control of behaviour. Discipline is a time honoured military

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

6.15 Internally regulated behaviour. Self-discipline stems from the

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

6.16 Effective leader development comes from having fundamental values

that underpin leadership behaviour. Leadership values such as care,
compassion, trust, integrity, respect, tolerance and moral courage provide a
benchmark against which leaders may reflect on and judge their actions.

HISTORICAL EXAMPLE—CARE AND COMPASSION

LCDR Harry Howden, RAN, serving in HMAS AUSTRALIA, put his life on the
line for one of his Petty Officers. During a gale in the North Atlantic in 1928 a
heavy sea swept Petty Officer Evan Allan over the side. The Captain brought
the ship alongside Allan but the sea was too rough to lower a boat. The

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jumping ladder was lowered but the exhausted man was unable to grasp it
firmly and was in imminent danger of being lost. His heavy sea boots and
oilskins were dragging him under. Harry Howden yelled to him to ‘hang on’
and then went down the ladder to make the rescue. He had to let go the
ladder. Eventually Howden was able to come up right under Allan and
cradled him in his arms till the ladder and both men clinging to it were hauled
30 feet up to the deck. Harry Howden went on to command HMAS HOBART
as a very distinguished Cruiser Captain in World War II. Petty Officer Evan
Allan served through WWII and died on Oct 17 2005 aged 106—the last
living Australian to have served in World War I. Harry Howden’s compassion
and daring that day in 1928 meant that Evan Allan lived for a further 77
years.

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

Defence Leadership Framework (capability areas)

6.17 This publication defines leadership as ‘the process of influencing

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

Figure 6–1: Integrating Defence Leadership

6–8
 ADDP 00.6 Chapter 6

6.18 The DLF is a ‘whole of Defence’ framework that provides guidance

and information on the development of leadership skills for all levels within
Defence. The DLF integrates Defence’s civilian and service requirements.
Figure 6–1 above illustrates this. The focus of the DLF is on developing the
Defence Executive and supporting foundational competencies for APS staff.
Foundational competencies for military staff below the 05 level are
developed through existing service specific frameworks and practices.

Figure 6–2: Leadership Capability Areas

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 ADDP 00.6 Chapter 6

6.19 Leadership capabilities. The DLF is constructed around five core

capabilities; strategic thinking, results, relationships, communication, and
personal drive and integrity as illustrated in figure 6–2

6.20 Increasing Task Complexity. As rank and level increase; tasks

become more complex and Defence’s expectations of its people becomes
greater. To focus this expectation the DLF competency areas are phrased
differently for the executive and foundational levels as described in table 6–1.

Capability Areas

APS 1 to APS 6 05-09 / EL1 – SES3

• Strategic Thinking • Shapes Strategic Thinking
• Results • Achieves Results
• Communication • Communicates with Influence
• Relationships • Cultivates Productive Working
Relationships
• Personal Drive and Integrity • Exemplifies Personal Drive and
Integrity
Table 6–1: Defence Leadership Framework Capability Descriptions

6.21 The Executive DLF is modelled on the Integrated Leadership System

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

6.22 Leadership proficiencies. Each capability area has a number of

proficiencies. A proficiency can be defined as ‘knowledge of, and / or the
ability to demonstrate a skill or behaviour’. For each proficiency the
framework describes further the behaviours that the effective person should
demonstrate at each level. These leadership proficiencies and behaviours,
selected for the appropriate level or rank, are used as the basis for
curriculum development in the ADF leadership training continuums. In formal
training, where command, management and leadership are often taught in
the same module, other related command and management proficiencies are
also included in the ‘leadership’ continuum. An example of a behaviour that

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 ADDP 00.6 Chapter 6

falls under the ‘Relationships’ capability is ‘takes time to listen to colleagues

and appreciates and responds to their views and needs’.

6.23 Such proficiency statements can appear mechanical or rule-like

without the guidance provided by underlying values. In the above case, the
values of respect, tolerance and compassion underpin and bring alive the
stated proficiency.

ADF leadership continuums

6.24 All Services deliver a continuum of leadership courses that

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

• self awareness, to

• leading a team, to

• leading a network of teams, and finally concludes with

• strategic leadership.

6.25 Focused training. The goal of ADF leadership training continuums is

to satisfy the leadership needs at each promotional level. In doing so,
consideration must be given to the limited time available to training and the
general context in which the outcomes of the training are to be applied. In
considering context, military training rightfully focuses on the possibility of
conflict. At the fundamental level, the application of leadership training
outcomes will occur in the workplace environments of peace, or of tension
and conflict. Given the ‘consequences of an imperfect performance’ for each
of these environments, and the brevity of our courses, ADF training must
necessarily give its greater focus to training for leadership in tension and
conflict. Effective military leadership training must replicate as accurately as
possible the psychological and physical demands likely to be encountered
during operations. Exhaustion, fear and uncertainty cannot be simulated but
to ensure some element of realism and subsequent success, leadership
training continuums must take individuals, teams, and leaders outside their
established comfort zones.

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 ADDP 00.6 Chapter 6

Figure 6–3: Effective military leadership training must replicate as

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

6.26 Selection of leadership models and theory. Leadership is a

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

6.27 ADF principles for leadership training. Some training methods and
interventions are deliberately emphasised in the early stages of ADF
continuum of leadership courses while others are not embraced before some
Service leadership experience has been accumulated. Self-confidence
building ‘challenge’ type exercises and ‘right of passage’ activities are typical

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 ADDP 00.6 Chapter 6

components of recruit and initial officer courses. Other interventions, such as

reflection on performance and 360 degree feedback, require Service
leadership experience before they are relevant and so are placed mid-way
through the leadership development continuum. Other leadership training
interventions, such as conceptual ‘vision creation’ and strategies to
understand and shape Service culture relate more to strategic leadership
and are therefore placed later in the ADF continuum of leadership courses.
To ensure that ADF leadership and management training best utilises
available time and builds on a member’s prior experience base, the
continuum of courses adopts the following principles:

• The Defence Leadership Framework is used to develop leadership

and management curriculum and assess the behaviours expected of
leaders and managers at the various rank levels,

• The ADF continuum of leadership courses address all three learning

domains, as defined in paragraph 6.11, with a particular focus on the
affective learning domain,

• A selection of leadership theories and models are utilised within the

ADF leadership continuum, depending on the perceived leadership
needs of the graduate, and

• ADF leadership continuums use a broad range of training methods

and interventions, ranging from confidence building obstacle courses
through to multi-source leadership feedback tools.

6.28 An outline of the generalised ADF leadership continuum, for both

NCO and Officer up to and including the rank of MAJ (E), is contained at
Annex B to this chapter.

Leadership assessment

6.29 The objective of ADF education and training programs is to change

the attitudes, knowledge and skills of individuals and teams so that they can
perform competently in the work environment. An observable outcome of
education and training is the behaviour of the individual and or team. This
observed behaviour is very often the only indication that the education or
training program has had any real effect. When the desired behaviour is
observed consistently in the work environment under a variety of conditions,
the education or training program is assessed as being successful. It
therefore follows that he leadership behaviours listed under each rank within
the Defence Leadership Framework form an excellent foundation for
leadership assessment.

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 ADDP 00.6 Chapter 6

6.30 Group harmony and cohesion. Further guidelines for assessing the
leadership performance for all ranks up to LTCOL (E) are given in Defence
Instruction General–Personnel (DI(G) PERS) 10–8. One of the DI(G) PERS
guidelines relates to group harmony and cohesion. In the leadership context,
an implicit organisational objective is group harmony and cohesion. Failure to
establish and maintain group harmony and cohesion is therefore assessed
as a failure of leadership.

6.31 Peer and subordinate input. Leadership behaviours, such as

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

CONCLUSION

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

Annex:
A. Leadership theory and model selection
B. Description of ADF continuum of leadership courses

6–14
 ANNEX A TO
CHAPTER 6
ADDP 00.6

LEADERSHIP THEORY AND MODEL SELECTION

1. Range of theories and models. The first leadership theories to

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

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

3. Which theory and model? Complex phenomena are often subjected

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

4. The issue for the ADF is one of finding which combinations of models
and theories provide the best platform for our leadership training. The issue
has been a confusing one. Every model or theory has been found to be
deficient. No two lists of ‘indispensable’ leadership qualities are the same

6A–1
ADDP 00.6

and leadership behaviours have varied dramatically. The greatest deficiency

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

6A–2
 ANNEX B TO
CHAPTER 6
ADDP 00.6

DESCRIPTION OF ADF CONTINUUM OF LEADERSHIP COURSES

1. ADF recruit courses are important in initiating leadership training.

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

2. The recruit’s exposure to leadership concepts is continually

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

3. The Leading Seaman or Corporal rank generally presents the ‘first

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

6B–1
ADDP 00.6

in subordinate development and on-job training. Adventure Training type

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

4. The Petty Officer or Sergeant are team leaders. While the

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

5. Again, the brief time constraint determines that ‘leadership’ underpins

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

6. The workplace role of the Chief Petty Officer/Flight Sergeant/WO2

is to lead more than one team or work group, and to coordinate their
activities and outputs. The Chief Petty Officer (or equivalent) act as the
workplace intermediary of their warrant officer, and are identified as the NCO
with the highest levels of personal, workplace interactions. The increased
need for personal interaction determines this faculty as the training need for
newly promoted CPO/Flight Sergeant/WO2 as a logical continuation of their
previous leadership training. The ADF has selected a ‘Professional
Capability Framework’ that encompasses technical expertise, generic skills,
diagnostic maps and emotional Intelligence (EI). The EI approach isolates
the elements responsible for individual success, and identifies them as
‘competencies’ that are capable of transfer through competency-based
training. Again, ‘leadership’ (and EI) is closely related to other course
outcomes to maximise the training’s effectiveness. This involves the

6B–2
ADDP 00.6

relationship of EI to project management. Other roles involve the personal

interactions required for the management of rosters, and project
management supervision

7. The workplace role of the ADF Warrant Officer has characteristics

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

8. As the continuum of leadership training is continually evolving, one

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

9. Officer leadership continuum (Cadet to Major or equivalent).

Much like the NCO leadership training continuums, leadership development
for ADF officers is carried out by the individual Services. For instance, year
one Navy Officers (even those destined for ADFA) spend six months
undertaking Navy Initial Training and then a further six months of specialist
training that includes up to five months at sea. Initial Officer Training of about
20 weeks duration is also carried out by Army and Air Force. The large
exception to this rule is the joint education and training conducted by the
Australian Defence College (ADC). About one third of all ADF officers
commence their careers at the Australian Defence Force Academy (ADFA),
the first and largest of ADC’s three joint components. Over a three year
period, ADFA cadet and midshipmen undergo a thorough leadership
development program that culminates with a five day practical exercise that
requires each graduate to lead a small team in a military environment.
Coverage of leadership theory is also very thorough and the three year
period of training allows for reflection and opportunities to take up leadership

6B–3
ADDP 00.6

positions within the cadet body. Cadets and midshipman study self-esteem,
morality of conflict and ethics in leadership amongst many other topics. To
align and prepare for their single Service programs, cadets and midshipmen
cover both Adair’s functional model and Blanchard’s ‘Situational Leadership
II’ model of leadership.

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

11. Training is undertaken to the extent necessary to familiarise the junior

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

12. Lieutenant Commander, Major or Squadron Leader. The mid-

ranking officer represents the link between the workplace and senior officer
direction; it is the first level of senior officer rank. The major’s role is to act as
the intermediary for higher level strategic direction, and to coordinate the
functions and outputs of larger work groups, that are generally under the
control of junior officers. The major is the senior officer rank with the highest

6B–4
ADDP 00.6

volume of personal and workplace interactions. In a real sense, the major

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

13. Training for the command roles of Major and equivalents includes
presentations and experientials in Service doctrine, and in strategic level
planning and command in the ADF. Presentations include HQAST and joint
operations, and the application of JMAP. Training is also delivered in
workforce planning, and the appropriation and financial management
systems. A course emphasis is placed, throughout, on effective interpersonal
and workplace relations, the management of stress and fatigue, and the
reinforcement of ADF values and culture.

6B–5
ADDP 00.6

GLOSSARY

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

competency
The specification of a knowledge and skills standard of performance
required in the workplace, as set down by Defence Instruction
(General) DI(G) PERS 05–29 of the National Training Framework
within Defence vocational education and training

Defence Force Discipline Act

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

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

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

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

1
ADDP 00.6

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

fighting power
Fighting power is the result of the integration of three interdependent
components: 1. the intellectual component provides the knowledge to
fight, 2. the moral component provides the will to fight, and 3. the
physical component provides the means to fight.

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

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

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

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

Network Centric Warfare

The style of operations that can be undertaken by a networked force
where the automatic and rapid transfer of information enables the

2
ADDP 00.6

most effective use of combat power and takes place when the force
can operate as a single virtual network

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

organisational capital
Our organisation. The strategies, systems, methodologies, and
operational processes within Defence that allows it to utilise its
human, knowledge and relationship capital. Organisational capital is
founded on Defence’s culture and values (Professionalism, Loyalty,
Integrity, Courage, Innovation and Teamwork). It is owned by Defence
as its intellectual property and proprietary systems.

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

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

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

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ADDP 00.6

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

training
A planned process to inculcate and modify attitude, knowledge or skill
behaviour through a learning experience to achieve effective
performance in an activity or range of activities against a pre-
determined standard. (ADFP 7.0)

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

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

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ACRONYMS AND ABBREVIATIONS

ACSC Australian Command and Staff Course

ADC Australian Defence College
ADDP Australian Defence Doctrine Publication
ADF Australian Defence Force
ADFA Australian Defence Force Academy
ADFP Australian Defence Force Publication
ADFWC Australian Defence Force Warfare Centre
AMD Australian Maritime Doctrine
APS Australian Public Service
AT Adventurous Training

CA Chief of Army
CAF Chief of Air Force
CDF Chief of the Defence Force
CDLS Centre for Defence Leadership Studies
CDSS Centre for Defence and Strategic Studies
CLM Command, Leadership and Management
CN Chief of Navy
CO Commanding Officer

DFDA Defence Force Discipline Act

DI(G) Defence Instruction (General)
DLF Defence Leadership Framework
DRN Defence Restricted Network

EI Emotional Intelligence

FIC Fundamental Inputs to Capability

HMAS Her Majesty’s Australian Ship

HMS Her Majesty’s Ship
HQAST Headquarters, Australian Theatre

JDDE Joint Doctrine development Environment

JMAP Joint Military Appreciation Process

LMPD Leadership, Management and Personal Development

LWD Land Warfare Doctrine

NASPO Navy Aviation Systems Program Office

NCO Non-Commissioned Officer

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OIC Officer in Charge

PLICIT Professionalism, Loyalty, Integrity, Courage, Innovation and

Teamwork
PMET Professional Military Education and Training

RAAF Royal Australian Air Force

RAF Royal Air Force
RAN Royal Australian Navy

US United States

VCDF Vice Chief of the Defence Force