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The International Journal of Human Rights
ISSN: 1364-2987 (Print) 1744-053X (Online) Journal homepage: http://www.tandfonline.com/loi/fjhr20
Getting drones wrong
Stephanie Carvin
To cite this article: Stephanie Carvin (2015) Getting drones wrong, The International Journal of Human Rights, 19:2, 127-141, DOI: 10.1080/13642987.2014.991212
To link to this article: http://dx.doi.org/10.1080/13642987.2014.991212
Published online: 24 Feb 2015.
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Getting drones wrong
Stephanie Carvin*
Centre for International Policy Studies, University of Ottawa, Canada
Over the last several years there has been an explosion of scholarly interest in drones, their impact on armed conflict, and the ethics of using such unmanned weaponry. While this attention and inquiry is to be welcomed, an examination of this scholarship reveals that much of it frequently gets drones wrong – focusing too much on the questionable ‘newness’ of the technology, misunderstanding or misapplying the legal principles which govern such conventional weaponry (especially proportionality) and searching for definitive answers from problematic data. This article highlights the trouble with the contemporary debate over drones and sets out a research agenda in a world of murky campaigns and imperfect information.
Keywords: drones; unmanned aerial vehicles; laws of war; ethics of war; international humanitarian law; proportionality; United States foreign policy
Men could not make up their minds whether means of destruction were to be deemed unlawful because of their newness, or their unfairness, or their secrecy, or their cruelty, and they gener- ally solved the difficulty by objecting to what they disliked, and regarding as unobjectionable what suited their tastes or work to their advantage (T.J. Lawrence, Principles of International Law, 1895).1
Introduction
‘In most “drone” conferences, there comes an awkward moment when a panelist realizes that the category “drone” has very little to do with the question that they’re asking.’2
This observation, though somewhat glib, essentially summarises that which is key to the debate over drones: the weapon itself is seldom the true issue at hand. While the technology associated with drones is impressive and in many ways awe inspiring, the novelty of the technology overshadows the fact that international society has faced similar questions and dilemmas posed by technology before. The challenges posed by the rapid change in weapons technology in the mid-to-late nineteenth and early twentieth centuries, and the parallel efforts of humanitarians to tame such developments through law speaks to many of the debates and arguments put forward about drones today. In particular, the advent of long-range artillery and the possibility of remote killing posed new ethical challenges for armies that could now strike at ‘invisible’ targets over the horizon line.
© 2015 Taylor & Francis
*Email: [email protected]
The International Journal of Human Rights, 2015 Vol. 19, No. 2, 127–141, http://dx.doi.org/10.1080/13642987.2014.991212
This article looks at the lessons of weapons past and drone present in order to discuss the implication for both drone and weapons future. Essentially, it argues that the current debate gets drones wrong: first, that much of what is new is actually old and that there are lessons which we can apply to today’s ongoing discussions. Second, the debate misun- derstands or misconstrues some of the key principles regarding weapons regulation, especially that of proportionality. Finally, academic approaches to studying drones have generally applied methods that are inappropriate or problematic.
But to point out that we have ‘been there, done that’ before, or that research into drone warfare suffers from certain flaws is not to simply dismiss the conversation surrounding ethical, legal and moral concerns. Rather, it is to suggest that those interested in issues sur- rounding drones, their use and regulation, should take and apply the lessons of prior debates and apply them to today’s discussions. Additionally, it suggests we need to question a dis- proportionate focus on drones, a weapon that constitutes a relatively small percentage of the current United States (US) arsenal and is responsible for an equally small percentage of casualties. Instead, the focus should be about the use of drones and similar weapons as a tactic – and to what extent they have evolved into a strategy, and meaningful measures of success that are context-specific, but highlight the areas from which we should draw lessons.
But first, there are some arguments which should be dismissed from the outset. Impor- tantly, the idea that drones may be some kind of slippery slope to Terminator-style auton- omous ‘killer robots’ is, at this point in time at least, pure speculation –more science fiction than science.3 While there has been a certain amount of attention devoted to this issue by organisations such as the international ‘Campaign to Stop Killer Robots’,4 as David Blair argues, ‘using these fictions to reason about actual remote aircraft is much like using the Easter Bunny to think about the role of rabbits in ecosystem’.5
Remote killing: been there, done that, 1850–1918
Historical precedence for drones may be found in the modern period beginning in the mid- nineteenth century. Between 1750 and 1850 the development of weapon technology had been relatively stagnant. However, by the 1860s, sustained scientific and technological pro- gress became the norm as new inventions, materials and techniques lead the way to a series of rapid developments in weapons technology. For example, the invention and perfecting of the metal-hulled warship, the machine gun and the national railway, which greatly enhanced the speed at which states could mobilise and deploy national armies, all had an effect on military matters of the period.6 As van Creveld notes, this era marks a transition from an age where inventions were for the most part not only exceptional but accidental and unex- pected, to one in which technological change – and the anticipation of technological change – became ordinary rather than extraordinary. As a result, states that wanted to stay secure had to constantly keep up with the latest developments in these areas. ‘Applied to the mili- tary sphere, this means that war itself became an exercise in managing the future, and the most successful commanders were not those most experienced in the ways of the past but, on the contrary, those who realized that the past would not be repeated.’7
Of course the impact of these changes was bloody. Technology had facilitated an extra- ordinary increase in the size and scale of destruction and killing, as seen in the American Civil War where mass mobilisation and new inventions resulted in the deaths of hundreds of thousands of soldiers and civilians. Indeed, the dawn of modern warfare, with its mass, national armies, and mobilised citizens, placed considerable pressure on the norms that gov- erned war in the West and began a process of breaking down a (theoretical) normative
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distinction between soldier and civilians and certain norms of what constituted a legitimate military target during the eighteenth century, or what Best refers to as the ‘latter Enlighten- ment Consensus’.8
This is, in many ways, ironic, as was the motivation behind the creation of some of the technologies that eventually would make war so deadly. Consider for instance this excerpt from a letter that Richard Jordan Gatling, one of the early machine gun pioneers, wrote on developing the first machine gun during the US Civil War:
It may be interesting to you to know how I came to invent the gun that bears my name… In 1861, during the opening events of the war… I witnessed almost daily the departure of troops to the front and the return of the wounded, sick and dead. The most of the latter’s lost their lives, not in battle, but by sickness and sickness incident to the service. It occurred to me that if I could invent a machine – a gun – that would by its rapidity of fire enable one man to do as much battle duty as a hundred, that it would to a great extent, supersede the neces- sity of large armies, and consequently exposure to battle and disease would be greatly diminished.9
Gatling’s belief that his invention would make war more humane rather than more inhu- mane was typical of the society in which he lived. ‘Technical utopianism’ was increasingly evident within American culture, as Howard Segal noted, ‘a growing number, even majority, or Americans were… coming to take for granted: the belief in the inevitability of progress and in progress precisely as technological progress’.10
Obviously, Gatling’s (professed) vision did not materialise. Although, increasingly, there were weapons to do work on the battlefield, this did not result in a decrease in the number of men who were required to fight battles for their country. There are no better examples of this than the First and SecondWorld Wars where mass conscription and casual- ties became a central element of the conflict.11
The advent of long-range artillery and the emergence of remote killing around this time are key historical developments to consider. Brodie and Brodie note, ‘The science of interior ballistics, which uses a combination of chemistry, mathematics and physics to study the various strains and reactions within the gun itself when fired, led to remarkable improvements in artillery.’ For example, in 1850, the first rifle cannons could shoot within a 9500-yard range. However, by the First World War, the 420 mm 16.5 inch Howit- zer, popularly known as ‘Big Bertha’was successful at destroying Belgian forts up to nearly eight miles away. The ‘Paris Gun’ used by the Germans near the end of the war, was able to hurl a 250 pound shell 75 miles directly into the city of Paris.12
This period marked the first time that armies could target objects that were out of the line of sight from the position of attacking. While this development had important impli- cations for both the tactics and battle strategy, there was (as noted above) a considerable impact on the laws and norms governing warfare. In brief, the capacity and impact of the guns raised new questions and ethical issues in a dramatic way. As Best argues:
The laws of war had historically been developed on the assumption that the man trying to injure or kill an enemy could see what he was doing. Nor was this an unreasonable assumption. Until about the dawn of the twentieth century it was generally true in respect of all major weapons, except long-range artillery, and… it was precisely on the occasions when artillery was used in sieges against invisible targets that basic law-of-war principles were most likely to be thought at risk.13
There were at least three important questions/issues that arose from these developments. First, as Best notes, this period marks the first time in history where soldiers did not
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witness the immediate consequences of their actions. As such, concern was growing that soldiers might not realise the effects of what they were doing. This gave rise to the question whether technology that allows for remote killing lowers perceptions of responsibility? Not for the last time there was concern that it may be difficult for soldiers to experience feelings of common humanity with people 15 miles beyond or, with the advent of the airplane and the first aerial bombardments, five miles beneath.14
Second, although the technology allowed for distance, it did not yet allow for a great deal of accuracy. Armies that aimed their munitions at military targets frequently hit civilian objects instead. Under such circumstances how was it to be determined whether ‘accidents’ were deliberate or not, and whether any apology offered was truly genuine?15 And even where it was established that civilian objects were accidently damaged as a part of a remote attack on a legitimate military target, how was fault and responsibility to be por- tioned out? The individuals who put the civilian object near a military one (or vice versa) or the armed forces that did the targeting? Or both?
Third, even if some of the impetus for the technology was humane, ideas and norms about what constituted a legitimate target came under pressure. As such, questions over what weapons were permitted on the battlefield and what could be done with them became of immediate importance not just to armies but also non-combatants who were now more likely to experience the consequences of armed conflict. It is therefore neither surprising nor entirely coincidental that the first humanitarian organisations, the Inter- national Committee of the Red Cross (ICRC) and the British and American Sanitary Com- missions were all products of this period. And, of course, it is during this period that the first codified international treaties on the laws of war, including weaponry, emerge.
Responding to these issues, then – as now – would prove to be slow when it came to weapons, and any regulations tended to be generated for practical rather than humane reasons. The first codified weapons treaty, the 1868 St Petersburg Declaration aimed at banning the use of certain exploding bullets, was called for by the Russian Tsar on huma- nitarian grounds. Yet, it is also likely that the Tsar was also concerned over the impact of such bullets on his large, but technologically unsophisticated, manpower-driven forces. Clearly for Russia these bullets represented a real military disadvantage. Nevertheless, and important when considering the regulation of weapons, the declaration was able to establish principles in its preamble that have guided weapons law ever since:
Considering that the Progress of civilization should have the effect of alleviating as much as possible the calamities of war; That the only legitimate object which States should endeavor to accomplish during war is to weaken the military forces of the enemy; That for this purpose it is sufficient to disable to greatest possible number of men; That this object would be exceeded by the employment of arms which useless aggravate the sufferings of disabled men, or render their death inevitable; That the employment of such arms would, therefore, be in contrary to the laws of humanity;…
Spelled out, these principles are military necessity and humanity. Military necessity is the principle which acknowledges the necessity of those measures which are indispensable for securing the ends of the war, and which are lawful according to the modern law and usages of war. In other words the laws of war recognise that states have to actually wage war in an effective manner so as to be able to achieve their aims.16 Humanity, however, places limits on the means that states may use. Specifically, as a principle, it dictates that the employment of any kind or degree of force not required for the purpose of the partial
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or complete submission of the enemy with minimum expenditure of time, life and physical resources is prohibited.17
While these two principles might seem to be at cross-purposes, they work surprisingly well with one another. As Michael N. Schmitt notes, rather than permitting wanton death and destruction, military necessity exists in equipoise with the principle of humanity – pro- scribing any activity that is not strictly required to achieve a military end.18
Additionally, the idea of unnecessary suffering/superfluous injury as a governing prin- ciple emerged at this time. Translated from the original French ‘maux superflus’, this prin- ciple recognises that weapons which uselessly aggravate suffering are prohibited. Typically, this is said to include exploding bullets and poisoned weapons.
Later, following the Second World War and the wars of decolonisation/national-self lib- eration, these three principles were joined by two more – distinction and proportionality. Distinction is the notion that a weapon should, as a matter of law, be capable of adequate control both as to the place of its impact and the nature and extent of its effects. It balances humanitarian concern for civilians and civilian objects and military interest in directing their destructive effects as accurately and reliably as possible.19
Proportionality is something of a trickier concept – not helped by the fact that it may refer to two separate ideas: (i) the proportionality of a military action in response to a grie- vance and (ii) proportionality in the conduct of hostilities. The former usage belongs in the realm of the law that governs the rights of states to wage war – the jus ad bellum. The latter relates to the jus in bello – manifesting itself in three ways: the proportionality of a mili- tary’s response to an adversary’s military actions, the proportionality of a military action in relation to the anticipated military advantage to be gained and proportionality in reprisals.20
As noted above, these principles acknowledge that militaries have a job to do and must be allowed to accomplish their goals within the boundaries of the law. They also clearly acknowledge and presuppose that some suffering is inevitable in warfare and a normal con- sequence of the use of weapons. At the same time, they also embrace a notion of humanity that reminds us that (in the words later codified in Article 22 of the 1907 Hague Conven- tion) ‘The right of belligerents to adopt means of injuring the enemy is not unlimited.’ A state which engages in armed conflict is required to balance these principles when it chooses the instruments that it unleashes when it engages its enemies.
However, despite the codification and development of these principles, it cannot be denied that the response of the international community to the ever-growing and increas- ingly powerful arsenals of major states was lethargic. Where conventional weapons were banned, they were typically outdated and had fallen out of use in most modern militaries.21
And while there were bans in place on certain exploding bullets and poisoned weapons on the grounds that they caused unnecessary suffering, other weapons that were subject to international regulation were hardly the ones which were responsible for most of the killing in modern warfare. As Christopher Greenwood notes, ‘a 1973 survey of the law on weaponry by the United Nations Secretariat cited bayonets or lances with barbs, irregu- lar shaped bullets, and projectiles filled with glass as examples of weapons considered to be outlawed by the unnecessary suffering principle’.22
This slow pace of progress is understandable, if not exactly satisfactory: having invested large amounts of money in developing powerful weapons that were deemed to provide a military advantage, states were not inclined to ban such technology. Yet, there are other less obvious reasons for the sluggish pace of legal regulation. For instance, although it is the case that humanitarian groups emerged during this period and contributed to a nascent humanitarian dialogue, their efforts were largely concentrated on elements of
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law that focused on the protection of victims rather than governing weapons. In other words, there was more emphasis on protecting prisoners of war rather than regulating artil- lery.23 Instead, the perception existed that regulating weapons was the sole business of states. Even for most of the twentieth century, states were left to monitor themselves; assess- ments of the legal validity of a weapon have therefore been left to governments as their pre- rogative, a view that is actually reaffirmed in international law. And few states were inclined to make the regulation of weapons a foreign policy priority.
So, what can we learn from this brief history? First, despite the span of a century and a half, many of the legal, normative and ethical issues that come out of the modern drone debate are ones that have come before. The technology may be very different, but questions arising from distance, regulation and accountability challenged those debating the 1899 Hague Conventions as much as those seeking to establish the rules applicable to drone warfare. Technological innovation will inevitably raise challenging questions in many human endeavours, including armed conflict.
Second, given weapons that appear to provide a military advantage, states are unlikely to push for regulation and resist efforts at banning them. Yet, this does not mean that the activities these weapons are used for are without any form of legal parameters. As noted above, in the midst of the changes being brought about by the Industrial Revolution, prin- ciples emerged that have subsequently been codified into international treaties and applied to armed conflict. These same principles apply today, whether the weapon is a machine gun, daisy cutter or a drone. Drones have not produced some kind of ‘Wild West’ of unregulated warfare – there are rules that apply to how they are used, whether they are run by the Central Intelligence Agency (CIA), US Department of Defense (DoD), or another country entirely.24
Something shiny! Identifying the drone distraction
At the outset of this article it was argued that the current discussion about drones is lacking historical context, neglecting the fact that many, if not most of these conversations have come before. An additional problem is that the disproportionate attention paid to the weapon is on one small aspect of the US arsenal and political and military policy generally.
For example, of the large reports written about drone warfare by journalist or inter- national organisations, the focus typically centres on questions related to proportionality and the effect on civilians who live in areas where there have been drone strikes. The work of the Bureau of Investigative Journalists has focused on documenting strikes, count- ing casualties, estimating civilian casualties and covering legislation/attempts at regu- lation.25 Similarly, the United Nations (UN) has issued a number of reports focusing on similar issues, largely with a view to assessing the promotion and protection of human rights in the war against terrorism. At the time of writing, the most recent of these was a report that:
examines the use of remotely piloted aircraft, or drones, in extraterritorial lethal counter-terror- ism operations, including in the context of asymmetrical armed conflict, and allegations that the increasing use of remotely piloted aircraft, or drones, has caused disproportionate civilian casualties, and makes recommendations to States.26
Other human rights organisations such as Human Rights Watch (HRW) and Amnesty Inter- national have produced reports which investigate specific instances of alleged civilian casualties27 as well as general advocacy against the use of drones in the war on terror.28
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It is important to acknowledge that this work is valuable research and plays an important part in the debate about the use of drones in the war on terror or in armed conflict generally. Such studies help to put forward the points of view of those living in areas affected by drone strikes, and to raise questions about what constitutes proportionality. Further, it is funda- mentally required in order to understand how drones will fit in with the principles of the laws of war.
Yet, in several ways, these reports stand out as an example of some of the more proble- matic elements of the debate over drones. One of these issues is the discussions of issues related to ‘proportionality’. What actually constitutes disproportionality when it comes to drone strikes? Boothby notes that it is important to be careful when applying the question of ‘proportionality’ to weapons:
This proportionality rule has, however, no direct applicability to the legitimacy of a weapon. It is not a criterion against which the legitimacy of a weapon can sensibly be considered, because what is proportionate can only meaningfully be determined in relation to an attack on a particular occasion, perhaps at a specific time, using particular weapons and specified attack profiles… The case-specific nature of these factors means that the proportionality rule is not something of direct relevance to weapons law.29
In other words, proportionality depends on the attack – the way drones are being used, not the weapon itself. Any argument that drones are inherently disproportionate or indiscrimi- nate weapons is mistaken. What then is an indiscriminate attack? Additional Protocol I to the 1949 Geneva Conventions states that an indiscriminate attack is ‘an attack which may be expected to cause incidental loss of civilian life, injury to civilians, damage to civilian objects or a combination thereof, which would be excessive in relation to the concrete and direct military advantage anticipated’.30 This leaves us with the dilemma as to what constitutes ‘excessive’? There is no clear, general answer to this question. Yet, some peculiar answers have been offered in recent years. For example, the International Criminal Tribunal Yugoslavia (ICTY) ruled in 2011 that a 4% error rate in targeting in a complex military operation was tantamount to a war crime,31 a finding that seems out of kilter with any understanding of the history of modern conflict.32 (This decision was later over- turned on appeal in 2012.33)
Letta Taylor, a researcher with HRW, notes that there have been over 400 drone strikes since 2009. However, HRW bases its claims that drone strikes are causing major violations of international humanitarian law (IHL) on an examination of seven of the alleged 400 drone strikes in which two of the seven were found to have breached IHL. While the two attacks she describes are grim, she uses this survey of two out of 400 strikes to support a call for an investigation into every drone strike that may have caused a human rights violation.34
In fairness, most international organisations are sophisticated enough to realise that such a calculation of proportionality is too simplistic. However, it is clear that in some cases that any civilian deaths automatically raise accusations of wrongdoing. As Emmerson’s UN report demands:
Having regard to the duty of States to protect civilians in armed conflict, the Special Rapporteur considers that, in any case in which civilians have been, or appear to have been, killed, the State responsible is under an obligation to conduct a prompt, independent and impartial fact- finding inquiry and to provide a detailed public explanation. This obligation is triggered when- ever there is a plausible indication from any source that civilian casualties may have been sustained, including where the facts are unclear or the information is partial or circumstantial.
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The obligation arises whether the attack was initiated by remotely piloted aircraft or other means, and whether it occurred within or outside an area of active hostilities.35
The issue as to when there is an obligation to have an inquiry when civilians may have been killed in armed conflict is a complex one and outside the scope of this article.36 Yet, despite a demand for an investigation into any circumstances where civilians are killed, there is no discussion of proportionality in the UN reports on these issues, other than that the law of proportionality is a principle that must be taken into consideration. The Interim Report offers a brief mention of the fact that the Israelis use proportionality to justify civilian casualties, but this is countered with a United Kingdom claim that any strike that could kill civilians will automatically be ruled out. What constitutes proportionality – a funda- mental and constant principle of the laws of war – and whether any incidental death is per- missible is an issue that the UN Special Rapporteur does not engage with.37
Instead, what seems to be the most egregious case of disproportionality is the large amount of attention given to death from one weapon and considerably less to others. The groups which are issuing these reports may reply that they are looking at a broader context, not specifically at the weapon itself. Yet, the sheer number of reports on drones, as opposed to other aspects of killing, seem to be the product of the fascination of the tech- nology, rather than the difficulties of civilian casualties. For example, a recent UN report on civilian casualties in Afghanistan suggests that the vast majority were caused by ‘anti-gov- ernment elements’ (such as the Taliban and militants sponsored by the Haqqani Network). Further, of these civilian casualties, the majority were killed by roadside bombs and other improvised explosive devices.38 Regarding deaths attributable to the International Stabiliz- ation Afghanistan Forces (ISAF), of the 182 civilians allegedly killed in aerial operations (2% of the casualties overall) 32% were by drone strikes. The rest were by rotary wing or fixed wing aircraft or the aerial method was undetermined.
However, this focus on numbers – particularly surrounding strikes and casualties – has produced two further myopias: there is considerably less focus on the way drones are actu- ally being used as a strategy by states and the way this technology has been integrated into the armed forces of states. While this may seem a side issue – less important than the death of children at a wedding – the way technology has been integrated is fundamental to appre- ciating, understanding and assessing their use. As Antoine Bousquet notes, the successful use of virtually all technological innovations normally has less to do with the quality and quantity of the device than ‘with its integration within a new organizational and tactical scheme that could take advantage of it’.39
As such, while drone technology may provide new opportunities, it is ultimately its inte- gration into the armed forces of states and resultant tactics and strategies that emerge that actually change warfare. As van Creveld notes:
It was not the technical sophistication of the Swiss pike that defeated the Burgundian knights, but rather the way it meshed with the weapons used by the knights at Laupen, Sempach and Granson. It was not the intrinsic superiority of the longbow that won the battle of Crécy, but rather the way in which it interacted with the equipment employed by the French on that day and at that place. Using technology to acquire greater range, greater firepower, greater mobility, greater protection, greater whatever is very important and may be critical. Ultimately, however, it is less critical and less important than achieving a close ‘fit’ between one’s own technology and that which is fielded by the enemy.40
Finding the right ‘fit’ is key, as is demonstrated by the last 100 years of warfare. As noted above, large artillery guns provided the German army with the capacity to hit cities from
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great, unprecedented distances – well beyond the line of sight of those firing the weapon. Yet, there is a general agreement that these weapons were largely ineffective in the German war effort, amounting to little more than an over-priced terror weapon that solved nothing.41
Adolf Hitler, allegedly impressed with the might and potential of the V2 rocket, focusing the efforts of the German war machine at a crucial time from the cheaper and arguably more efficient V1 rocket, in order to produce a weapon that would help him win the war. However, the V2 rocket, though an impressive invention, was unstable and of limited use. While it may have caused chaos in southern England by the end of the Second World War, the unpredictability of the V2 and the considerable resources it required ulti- mately did little for, and arguably great harm to, the German war effort.42
Research challenges
The above discussion dances around what should be the main focus of the debate: are drones being used effectively and can we offer any evidence regarding the consequences of their use – ethical and otherwise?
The positive news is that we can ground research into these questions in the work that has been done on assassination and the research on ‘targeted killing’ (the planned direct killing of an individual because of their perceived membership – and often perceived lea- dership – of a terrorist movement43), which has continued apace over the last decade. Obviously, though this bears repeating, not all incidents of targeted killing are carried out with drones. Night raids by armed forces (such as the one that killed Osama bin Laden in 2011) or missile strikes by planes are similar and frequent forms of this activity. However, much of the recent attention on targeted killing has come from the US drone pro- gramme in Yemen, Afghanistan and East Africa. And, for the reasons discussed above, it is important to contextualise the drone debate into larger questions of counter-terrorism strategy.
For example, one useful line of questioning of this debate has been whether or not tar- geted killing/drones are as effective as their proponents claim. A number of scholars argue that targeted killing/drone campaigns are able to eliminate terrorists with highly valuable skills that are not easily replaced, disrupt terrorist organisations – throwing them into chaos and preventing them from planning future attacks – and provide an option for states rather than sending troops into harm’s away and when it is not possible to bring the leaders of terrorist groups to trial.44
On the other hand, opponents argue that targeted killing/drones cause more problems than they solve and undermine the stability of communities where the strikes take place. 45
For example, Michael L. Gross argues that such operations are guided by intelligence that disrupts societies and generates mistrust within.46 Exum et al. argue that the campaign ‘has created a siege mentality among the Pashtun population of northwest Pakistan’.47
Additionally, opponents raise concerns about the unpredictability of targeted killing/drone strikes. Although terrorist leaders may be taken out by such operations, there is no way of knowing what the ‘blow-back’ may be. Enraged terrorist groups may seek to strike back against the West and affected societies may become more difficult to work with on other crucial counter-terrorism initiatives. Further, contrary to the point that drone strikes eliminate skilled terrorists that are hard to replace, they raise the possibility that any replacements may in fact be worse or more capable.48
Finally, as Audrey Kurth Cronin notes, ‘dead men tell no tales’. When the purpose of counter-terrorism is to gather further intelligence on other activities, a live terrorist is far more useful than a dead one. Arrested terrorists may be interrogated for information on
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future plots and, as Kaplan et al. argue, the discovery of links to more nodes in terrorist networks.49
So, given these arguments, are drones effective? The less positive news is that determin- ing an answer has proved to be extremely challenging. Certainly there have been a series of quantitative studies in an attempt to answer this question of effectiveness, whether for or against drones/targeted killing.50 However, these and many of the qualitative/normative arguments about effectiveness struggle with three issues which prevent us from drawing definitive or even preliminary answers to the question of effectiveness.
First, there is a dearth of data available to the public. As most countries do not provide information on their drone programmes, most studies rely on news reports – raising doubts over the accuracy of the studies. As Peter Bergen and Katherine Tiedemann note, one of the main challenges in producing an accurate count of fatalities from the strikes is that different sides in the drone debate have different motives for presenting evidence. While the US claims that almost all of those killed are militants, others (including the Pakistani govern- ment and the militants themselves) claim the victims are always civilians. Given the diffi- culty of obtaining accurate information in the remote, mountainous regions of Pakistan, ‘determining who is a militant and who is a civilian is often impossible’.51
Yet, even if scholars and advocates were provided with solid numbers, a second major problem is that definitions as to what constitutes ‘success’ in a targeted killing/drone cam- paign varies widely.52 Further, these definitions are often tweaked so as to produce a level of quasi-scientific certainty or gamed to suit the argument being made. In these circumstances the bar for what constitutes success is set unrealistically high.53 For example, in Jordan’s study, the threshold for success is ‘where an organization was inactive for two years follow- ing the incident of decapitation’.54 Considering the scope and size of modern terrorist net- works, this is a fairly difficult standard to achieve.
Butmore importantly, success is unavoidably subjective. For some,merely degrading the capabilities of a terrorist organisation,making itmore difficult for them to conduct operations against the West, would be sufficient. Others may claim only drone strikes that eliminate a terrorist group entirely should be considered successful. And there are other questions in terms of scope. For example, should researchers be looking at the impact of individual drone strikes or entire campaigns? And how wide should our view of success be? How should we weigh the perceived success of a drone campaign with potential second- or third-level consequences such as difficult bi-lateral relations, upset populations, etc.?
Finally, there is a tendency to generalise the use of drones across different campaigns, by different states. Yes, the US may be using drones in Afghanistan/Pakistan and Yemen all as a part of a ‘War on Terror’, and Israel has used them against Palestinian targets. Yet, these are different campaigns against different kinds of targets in different areas. Making sweep- ing generalisations about the effectiveness of drones based on one campaign is problematic. Trying to assess if drones will work in a campaign against a target in Country A cannot entirely rest upon what has previously happened in Country B and whether the effectiveness of ‘smart bombs’ against Serbia will work against Iraq.
Conclusion: a normative drone research agenda
Bearing these challenges in mind, how should we think about developing a drone research agenda? First, researchers are going to have to deal with the fact that they are not likely to obtain perfect information on drones anytime soon. The US government will probably not release details or statistics on its drone programmes in the near future – if ever. Further, information on casualties, particularly in remote areas of South Asia, will likely be
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flawed, problematic and politicised for at least the medium term. However, this does not mean that analysis of such programmes is impossible – rather, that the focus will have to be on the strategic rather than the tactical level. This means scholars could and should be focusing on the second- and third-order effects of drone/targeted killing campaigns, rather than getting caught up in the nitty-gritty details. Such research would have to be long-term in scope, but would be more successful in providing a bigger-picture analysis that is less focused on the immediacy of the moment.
Second, as a part of a bigger-picture approach, scholars should consider questions such as when is it appropriate to apply the lessons learned from one drone/targeted killing campaign to another? Can scholars identify any underlying circumstances or factors that would make comparison less superficial and more systematic/comprehensive? While circumstances may necessitate the need to compare apples and oranges, we should avoid comparing apples to toasters – and scholars will be instrumental in developing methodologies to avoid doing so.
Third, even if scholars do not wish to contextualise their research historically, they should at least be aware of the lessons of previous innovations in weaponry outlined above: technological change in warfare and weaponry will, and always will, exert pressure on norms related to restraints on the waging of force. However, if history is any guide, this technological change will not break these norms and conventions. Instead, in order to deal with these pressures, states may engage in actual, formal legal change by adopting new laws or adapting old ones or, alternatively, they may adapt a previous understanding of a particu- lar law and principle in order to apply it to the new technological challenge. Following, dis- cussing and debating how this occurs is and will continue to be an important normative issue for researchers and scholars.
Fourth, scholars researching drones should question research that is overly focused on the weapon itself rather than the effects that it causes. As noted above, drones constitute a small part of the US arsenal and are not even likely responsible for most of the targeted killing that has taken place in the last decade. By avoiding a magpie-like distraction from the ‘shiny object’ that in the drone, scholars can focus on the larger issues at stake, such as proportionality (broadly speaking) and necessity.
Finally, good questions and useful inquiry about drones will focus on overall strategy. Are drones being used as a tactic in an overall counter-terrorism campaign? Or are they becoming a strategy in and of themselves? If it is the latter, what are the consequences of this? How do drones impact on gathering intelligence? Or the core functions of intelli- gence agencies? In finding diplomatic/political solutions? Or the stabilisation of territories? Contextualising the drone debate and refocusing research on larger strategic questions does not guarantee that social science will get drones right, but it will likely lead to a more informed discussion, better suited to addressing human rights concerns and issues that have and will inevitably arise.
Disclosure statement
No potential conflict of interest was reported by the author.
Notes on contributor Stephanie Carvin is a fellow at the Centre for International Policy Studies (CIPS) at the University of Ottawa. She holds a PhD in International Relations from the London School of Economics and is the author of Prisoners of America’s Wars (2010) and co-author of Law, Science, Liberalism and the American Way of Warfare (2014) with Michael J. Williams.
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Notes 1. Cited in Geoffrey Best, Humanity in Warfare: The Modern History of the International Law of
Armed Conflicts (London: Methuen, 1983), 160. 2. Dave Blair, ‘Remote Aviation Technology –What Are We Actually Talking About?’, Centre for
International Maritime Security Blog. http://cimsec.org/remote-aviation-technology-actually- talking/
3. Of course this would not be the first time that there have been efforts to ban weapons which do not yet exist. Protocol I of the 1980 Convention on Certain Conventional Weapons (CCW) pro- hibits ‘weapons the primary effect of which is to injure by fragments which in the human body escape detection by X-rays’. Such weapons did not exist at the time that the CCW was drafted, were not under development and do not exist today.
4. See the Campaign to Stop Killer Robots: http://www.stopkillerrobots.org/ 5. Blair, ‘Remote Aviation Technology’. 6. Best, Humanity in Warfare, 159. See also Martin van Creveld, Technology and War: From 2000
BC to the Present (London: The Free Press, 1989), 217. 7. van Creveld, Technology and War, 218. 8. It may, of course, be argued that such a distinction had historically been honoured more in the
breach than in reality. After all, neither medieval nor Napoleonic warfare has been noted for its humanity. However, the idea that non-combatants should be protected in war had gained trac- tion during the Enlightenment period and was arguably an important norm by which inter- national society could and often did judge the conduct of armies. See Best, Humanity in Warfare, especially Chapter I: ‘The Later Enlightenment Consensus’.
9. P. Whal and D.R. Toppel, The Gatling Gun (London: Herbert Jenkins, 1966), 18. See also, C.J. Chivers, The Gun (New York: Simon & Schuster, 2010), especially Chapter 1.
10. Howard P. Segal, Technological Utopianism in American Culture (Chicago: University of Chicago Press, 1985), 1.
11. It is worth noting that the creators of the First World War’s gas weapons seem to have applied similar logic as Gatling to their inventions. The German chemist, Fritz Haber argued that gas weapons were humane alternatives to the other technologies that had been deployed on the battlefield. W. Lee Lewis, the inventor of Lewisite (a systematic poison that can kill by being deposited on a person’s skin or exposure in a concentration of only 50 parts per million) argued that the gas was ‘the most efficient, most economical, and most humane single weapon known to military service’. See P.D. Smith, Doomsday Men: The Real Dr Strangelove and the Dream of the Superweapon (London: Allen Lane, 2007), especially Chapter 5. Smith cites W. Lee Lewis, ‘Is Prohibition of Gas Warfare Feasible?’, Atlantic Monthly 129 (June 1922): 834, in Gilbert F. Whittemore, Jr, ‘World War I, Poison Gas Research, and the Ideals of American Chemists’, Social Studies of Science, no. 5 (May 1975): 135–63, 158.
12. Bernard Brodie and Fawn M. Brodie, From Crossbow to H-Bomb: The Evolution of the Weapons and Tactics of Warfare (Bloomington and Indianapolis: Indiana University Press, 1973), 139–40, and 191.
13. Geoffrey Best, Law and War Since 1945 (Oxford: Oxford University Press, 1994), 53. 14. There is an interesting question that may be raised here regarding whether or not this period was
really the first occasion where soldiers did not witness the immediate consequences of their actions. For example, it could be argued that this has been a feature of certain weapons (i.e. cross-bow) and tactics (i.e. siege warfare) for centuries. However, I think it may be argued that the difference in the physical distances experienced for the first time in the late nineteenth century – from yards to many miles away – created a situation that was unique for armed forces on the ground. Sieges were difficult and time-consuming (not to mention expensive and fre- quently ineffective). Armies besieging a castle would have had to be within line of sight to employ any siege weapons they were using – something that made their task very difficult from the well-defended fortresses of the medieval period. Additionally, a besieging army would likely have to have been in relatively close range, surrounding their target fortress to ensure it was completely isolated (another difficult feat to accomplish effectively). In this sense, while medieval soldiers may not have experienced the absolute immediate effects of their actions, by the late nineteenth century soldiers might not have seen their target at all. I do, however, concede that this is a relative point, open for debate. Thanks to Michael Boyle for raising this point. On siege warfare see C.W.C. Oman, The Art of War in the Middle Ages, ed. John H. Beeler (Ithaca, NY: Cornell University Press, 1953), especially Chapter
138 S. Carvin
IV; John Keegan, A History of Warfare (London: Pimlico, 1993), 150–2; and Konstantin Nossov, Ancient and Medieval Siege Weapons: A Fully Illustrated Guide to Siege Weapons and Tactics (Guilford: The Lyons Press, 2005), especially Chapter 10.
15. Best, Law and War Since 1945, 53. 16. It is worth noting that this is true regardless of what those aims might be. The laws that govern
when a state is permitted to engage in armed conflict, the jus ad bellum, is separate and distinct from the law which governs the means states use to achieve their goals, the jus in bello.
17. The definitions here are based on those found in Adam Roberts and Richard Guelff, Documents on the Laws of War, 3rd edition (Oxford: Oxford University Press, 2005), 10.
18. Michael N. Schmitt, ‘Military Necessity and Humanity in International Humanitarian Law: Preser- ving the Delicate Balance’, Virginia Journal of International Law 50, no. 4 (2010), 796–837, 796.
19. William H. Boothby, Weapons and the Law of Armed Conflict (Oxford: Oxford University Press, 2009), 69.
20. Roberts and Guelff, Documents on the Laws of War, 9–10. 21. It is important to note that the idea that states only ban weapons that they tend not to use or that
are out of date tends to apply better to conventional weapons rather than weapons of mass destruction. There have been several international treaties which govern the use of biological, chemical and nuclear weapons – weapons still clearly in the arsenal of many states. Thanks to Michael J. Boyle for raising this point.
22. Christopher Greenwood, ‘The Law of Weaponry at the Start of the New Millennium’, in The Law of Armed Conflict: Into the New Millennium, ed. Michael N. Schmitt and Leslie C. Green, International Law Studies, Vol. 71 (Newport: Naval War College, 1998), 185–232.
23. And of course most modern states felt that they had a strategic interest in protecting their cap- tured soldiers.
24. There is an important debate as to whether the CIA’s drone programme is legitimate as it is unclear as to whether their operators have any training in the laws of war or follow a responsible chain of command as required by the 1949 Geneva Conventions. This would have implications on the legal protections afforded CIA operators in the drone programme. As of 2013, the Obama administration reportedly began to transfer responsibility for this programme over to the DoD, although at time of writing it is not clear to the extent this has occurred. However, the point here is that regardless of who is operating the drones, the principles governing their use remain the same. Though it was unlikely the CIA programme was conducted without extensive legal gui- dance, the question of accountability/responsibility is important. It would be addressed by the transfer of responsibility to DoD.
25. See the series of stories and reports by the Bureau of Investigative Journalism, http://www. thebureauinvestigates.com/category/projects/drones/. There is, of course, a considerable norma- tive component to the work of the bureau, with considerable attention devoted to speaking with victims and anti-drone activists.
26. At the time of writing, the most recent of these was ‘Report of the Special Rapporteur on the Promotion and Protection of Human Rights and Fundamental Freedoms While Countering Ter- rorism’, 28 February 2014, A/HRC/25/59. http://www.ohchr.org/EN/HRBodies/HRC/ RegularSessions/Session25/Documents/A-HRC-25-59.doc
27. Human Rights Watch, ‘AWedding That Became a Funeral: US Drone Attack on Marriage Pro- cession in Yemen’, 20 February 2014. http://www.hrw.org/node/123245
28. Amnesty International, ‘“Will I be Next?” US Drone Strikes in Pakistan’, 22 October 2013. http://www.amnestyusa.org/research/reports/will-i-be-next-us-drone-strikes-in-pakistan
29. Boothby, Weapons and the Law of Armed Conflict, 79. 30. Additional Protocol I 51(5) b. 31. Gotovina et al. (2011). A summary of the original ruling can be found at the ICTY website:
http://www.icty.org/x/cases/gotovina/tjug/en/110415_summary.pdf 32. This argumentwas raisedby a series of formermilitary lawyers fromseveral countries in anAmicus
Brief to the Appeals Chamber in January 2012. Available online at: http://icr.icty.org/LegalRef/ CMSDocStore/Public/English/Application/NotIndexable/IT-06-90-A/MSC7958R0000353013. pdf
33. Prosecutor v. Ante Gotovina, Mladen Markač, November 2012. http://www.icty.org/x/cases/ gotovina/acjug/en/121116_judgement.pdf
34. Letta Taylor, ‘The Truth about the United States Drone Programme’, Policy Review, March 2014. http://www.policyreview.eu/the-truth-about-the-us-drone-programme/. Taylor refers to
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a HRW report she researched and authored, ‘Between a Drone and Al Qaeda: The Civilian Cost of US Targeted Killings in Yemen’, 22 October 2013. The report notes that there may have been violations in the other incidents but they cannot draw a definitive conclusion. Available online at: http://www.hrw.org/reports/2013/10/22/between-drone-and-al-qaeda-0
35. ‘Report of the Special Rapporteur on the Promotion and Protection of Human Rights and Fun- damental Freedoms While Countering Terrorism’. Emphasis added.
36. For example, there is no such legal obligation in the laws of war but there is in human rights law under the guarantee of ‘right to life’. Whether such an investigation would be possible in the tribal areas of Afghanistan/Pakistan and Yemen is, likewise, another issue entirely.
37. See the ‘Interim Report of the Special Rapporteur on the Promotion and Protection of Human Rights and Fundamental FreedomsWhile Countering Terrorism’, 25 October 2013. http://www. lawfareblog.com/wp-content/uploads/2013/10/Emmerson-Report.pdf
38. Of the remaining 26%, 11% were by ‘pro-government’ forces, of which 8% were the Afghan national forces and 3% international forces. A further 10% seem to have been caught in the cross-fire between anti- and pro-government forces and the remaining 5% the result of unknown causes, but mostly explosive remnants of war. United Nations, ‘Afghanistan Annual Report 2013: Protection of Civilians in Armed Conflict’, February 2014. http://unama.unmissions.org/ Portals/UNAMA/human%20rights/Feb_8_2014_PoC-report_2013-Full-report-ENG.pdf; see also, TimCraig, ‘Civilian CasualtiesAreUp inAfghanistan, aNewU.N. Report Says’,Washington Post, 8 February 2012. http://www.washingtonpost.com/world/asia_pacific/civilian-casualties-are- up-in-afghanistan-a-new-un-report-says/2014/02/08/de7389f0-90e5-11e3-878e-d76656564a01_ story.html
39. Antoine Bousquet, The Scientific Way of Warfare: Order and Chaos on the Battlefields of Mod- ernity (London: Hurst, 2009), 96.
40. van Creveld, Technology and War, 319–20. 41. Brodie and Brodie, From Crossbow to H-Bomb, 192. 42. van Creveld, Technology and War, 76 and 221–2. 43. The author has written about the effectiveness of targeted killing in greater detail in Stephanie
Carvin, “The Trouble with Targeted Killing”, Security Studies 21, no. 3 (2012): 529–55. This section draws on some of the research and conclusions reached in that article.
44. See Kenneth Anderson, ‘Predators over Pakistan’, The Weekly Standard, 8 March 2010, 26–34; Daniel Byman, ‘Do Targeted Killings Work?’, Foreign Affairs 85, no. 2 (2006): 95–111; Steven R. David, ‘Fatal Choices: Israel’s Policy of Targeted Killing’, Mideast Security and Policy Studies 51 (2002); and Steven R. David, ‘Israeli’s Policy of Targeted Killing’, Ethics and Inter- national Affairs 17, no. 1 (2003), 111–26; Amitai Etzioni, ‘Unmanned Aircraft Systems: The Moral and Legal Case’, Joint Force Quarterly 57, no. 2 (2010): 66–71.
45. Philip Alston, ‘The CIA and Targeted Killings Beyond Borders’ (New York University School of Law: Public Law & Legal Theory Research Paper Series Working Paper No. 11-64). http:// papers.ssrn.com/sol3/papers.cfm?abstract_id=1928963; Michael L. Gross, ‘Fighting by Other Means in the Mideast: a Critical Analysis of Israel’s Assassination Policy’, Political Studies 51 (2003): 350–68; and Michael L. Gross, ‘Assassination and Targeted Killing: Law Enforce- ment, Execution or Self-Defence?’, Journal of Applied Philosophy 23, no. 3 (2006): 323–35; Mary Ellen O’Connell, ‘Unlawful Killing with Combat Drones: A Case Study of Pakistan, 2004–2009′ (Notre Dame Legal Studies Paper No. 09-43, 2010). http://papers.ssrn.com/sol3/ papers.cfm?abstract_id=1501144; Yael, Stein, ‘By Any Name Illegal and Immoral’, Ethics and International Affairs 17, no. 1 (2003): 127–37.
46. Gross, ‘Fighting by Other Means in the Mideast’. 47. Andrew M. Exum, Nathaniel C. Fick, Ahmed A. Humayun, and David Kilcullen, Triage: The
Next Twelve Months in Afghanistan and Pakistan (Washington, DC: Center for a New American Security, 2009). http://www.cnas.org/files/documents/publications/ExumFickHumayun_ TriageAfPak_June09.pdf, 18.
48. Brian Michael Jenkins, ‘Should Our Arsenal Against Terrorism Include Assassination?’ (RAND Paper P-7303, January 1987). http://www.rand.org/pubs/papers/P7303.html, 8.
49. Audrey Kurth Cronin, How Terrorism Ends: Understanding the Decline and Demise of Terror- ist Campaigns (Princeton, NJ: Princeton University Press, 2009), 232.
50. See Cronin, How Terrorism Ends; Mohammed M. Hafez and Joseph M. Hattfield, ‘Do Targeted Assassinations Work? A Multivariate Analysis of Israeli Counter-Terrorism Effectiveness during Al-Aqsa Uprising’, Studies in Conflict & Terrorism 29, no. 4 (2006): 359–82; Jenna
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Jordan, ‘When Heads Roll: Assessing the Effectiveness of Leadership Decapitation’, Security Studies 18, no. 4 (2009): 719–55; Edward H. Kaplan, Alex Mintz, Shaul Mishal, and Claudio Samban, ‘What Happened to Suicide Bombings in Israel? Insights from a Terror Stock Model’, Studies in Conflict & Terrorism 28, no. 3 (2005): 225–35; and Aaron Mannes, ‘Testing the Snake Head Strategy: Does Killing or Capturing its Leaders Reduce a Terrorist Group’s Activity?’, Journal of International Policy Solutions 9 (2008) 40–9.
51. Peter Bergen and Katherine Tiedemann, ‘Washington’s Phantom War: The Effects of the U.S. Drone Program in Pakistan’, Foreign Affairs 90, no. 4 (2011).
52. The same point from a more critical perspective can be found in Michael J. Boyle, ‘Is the US Drone War Effective?’, Current History 113, no. 762 (2014): 137.
53. This is a point also made by Patrick B. Johnston, ‘Does DecapitationWork: Assessing the Effec- tiveness of Leadership Targeting in Counterinsurgency Campaigns’, International Security 36, no. 4 (2012): 47–79.
54. Jordan, ‘When Heads Roll’, 731–2.
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- Abstract
- Introduction
- Remote killing: been there, done that, 1850–1918
- Something shiny! Identifying the drone distraction
- Research challenges
- Conclusion: a normative drone research agenda
- Disclosure statement
- Notes on contributor
- Notes
Leadership Approaches Regarding Organizational Change.pdf
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of Economics and
Public Administration
Volume 13,
Issue 2(18),
2013
146
LEADERSHIP APPROACHES REGARDING THE
ORGANIZATIONAL CHANGE
Associate Professor Ph.D. Camelia BĂEŞU
Stefan cel Mare University of Suceava, Romania [email protected]
Assistant Ph.D. Ruxandra BEJINARU
Stefan cel Mare University of Suceava, Romania [email protected]
Abstract: The purpose of the present paper is to capture the readers’ attention towards the relationship between different
styles of leadership and the process of implementing organizational change. Throughout the paper we debate issues like the role of leadership in the moments the organization deals with radical changes; the importance of acknowledging the necessity of change for the organization; the presentation of phases and possible effects of change; the correlation between different leadership styles and phases of change. The paper approaches all issues systematically in order to create logical connection of ideas that should be easy to comprehend for all readers, specialists and non-specialists.
Key words: change; leadership; leadership style; organizational change; resistance to change;
JEL classification: M12; M13; M19.
I. INTRODUCING THE ROLE AND IMPORTANCE OF ORGANIZATIONAL CHANGE
Nowadays business trends are changing rapidly all over the globe and the organizations that
don’t change cannot survive. (Hage, 1999) Creating a change readiness climate within the organization is the leaders’ job. Not only managers have to be prepared for any change process but also employees. Employees’ readiness to accept and embrace change is critical for the process success. Even if managers lead the organizations the transformation power lies within the people that form the organizations and leaders may only try to stimulate and support the change. Employees decide whether to work towards change or against it. If leaders want the success of the organization then they have to prepare their employees for change. Leaders have to choose or re- create the wright means to prepare, implement and sustain change. Until now, theorists and practitioners have come with several methods, procedures, models and strategies applicable for various contexts but customization is absolutely necessary for each case.
Change means, in the first place, to alter the present shape/estate in order to become a better one. Change management is defined as the coordination of a structured period of transition from situation A to situation B in order to achieve lasting change within an organization. (Bartkus, 1997) In general, individuals focus more on what is that they have to give up when change occurs and not on what they could gain. This is the main factor for the resistance that individuals manifest towards change, which is rather paradoxical as any change is done for the good reasons.
A leader is a promoter of change that has to customize management styles according to the features and behavior of their employees. A leading style is influenced by numerous factors and may be analyzed from the managers’ position. The success of change depends on the way the manager cooperates with employees and various collaboratives, on the way he stimulates the employees to involve within the change process. (Bejinaru & Băeşu, 2013)
Organizational change refers to a set of actions that come to amend previous methods, procedures, organizational behaviors or something else, through assigning some directions. The organizational change consists in the set of different actions that results shifting in directions and/or processes that affect the way in which organizations worked before. (Hage, 1999) The author argues
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that successful organizational change indicates the enhanced learning capabilities of an organization which may lead an organization towards innovation. (Hage, 1999)
Questioning about what change is, what determines it and which are its purposes should make things easier to understand how to manage change and profit from it. “Change is a constant; has always been with us, and will continue to dictate reality. In fact change is reality.” (Beerel, 2009, p.6)
Discussions about change share different perspectives like whether change is internally determined or environmentally determined. In this sense Beerel (2009) argues that change should be environmentally determined which means that the factors generating change are external to the system changing. Other perspective useful to consider is whether change is a radical or an incremental phenomena. In this case the question is if change is rather transformational then evolutionary. A diplomatic and well-balanced answer is given by Beerel (2009) that “both types of change occur simultaneously in a far less definable and controlled fashion than we like to imagine.” (Beerel, 2009, p.8)
II. LEADERSHIP ROLE IN THE ORGANIZATIONAL CHANGE PROCESS Nowadays the interest is focused upon the effects leadership generates for the organization.
Today managers consider leadership as an instrument with great potential for shaping the organization, of course through directing the employees. Their attention turns toward the determination of that style/model/strategy of leadership that should lead to the wanted results in a certain context as in this case we refer to organizational change. (Bejinaru & Băeşu, 2013)
Leadership is a process of generating change, not maintaining the status quo. This change is not imposed by the leader, but it is a sharing process of the same purpose and values. (Brătianu & Anagnoste, 2011) Inside the organization, leaders must be promoters of change. Leaders have the power to influence others and motivate them in order to achieve certain goals. A leader of change is an individual with the ability to influence and ultimately change behaviors of employees, teams, and/or organizations; an individual who influences the commitment of any key group within the organization.
In many turns, we have observed that in practice leadership plays a central role when it comes to implementing organizational change. The arguments in favor of this statement are many, as it follows. According to Gardner (1993), leadership is the process of persuasion or example by which an individual induces a person or a group to pursue objectives held by the leader or shared by the leader and his or her followers. Considering this definition, then leadership style is the way in which that process is carried out. “Change is toward an outcome that leader and followers both want a desired future or shared purpose that motivates them toward this more preferable outcome. An important aspect of leadership is influencing others to come together around a common vision. Thus, leadership involves the influence of people to bring about change toward a desirable future”. (Daft, 2008, p. 5)
Reviewing specialists’ opinions becomes obvious that initiation and coordination of a change process always requires well developed leadership skills. Leading people through a change is an arduous process along which may be encountered various levels of resistance. People have a natural instinct to resist changes and especially they resist most to radical changes and it is only the leader’s ability to overcome this. (Reardon, 1998)
The immediate resistance to change is generated by the person’s instinct but the rejection aggressiveness is the result of taking things/change personally. The starting point to lower the resistance force towards change of employees is to depersonalize the problem. “Depersonalizing the problem decreases the emotional reactivity to the situation, which allows for, and even encourages, change. Once the emotional reactivity has dissipated, the firm and employees are able to move into the change mode. The ability to respond appropriately requires five essential skills: 1. Self- awareness, 2. Emotional maturity, 3. Self-motivation, 4. The ability to show empathy, 5. The ability to develop and maintain positive relationships.” (Balestracci, 2003 p. 42)
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Nowadays, the leader’s effectiveness resides in the capability to manage employee resistance and mold their behavior towards the implementation of successful changes.
Even if this kind of process – change implementing- can be rigorously described, in practice it becomes a real hardship. Some changes, like incremental changes are easier accepted and implemented as these are gradually and informally applied. In time people get used to this kind of changes and become a routine, unlike radical changes. In contrast, radical changes are much more difficult to be accepted and resistance is stronger that is why are necessary true leadership competencies. Radical changes require a certain level of acceptance in order to create willingness to relinquish old styles of working in favor of new ones. (Reardon 1998)
In recent literature, specialists have extended the research and discussions about the leaders’ role in the organization to other in depth issues like the effects of different leadership styles upon the process of implementing organizational change. Different leaders will have different views about the innovation and will approach their role in facilitating implementation in different ways. The views, styles, and behaviors of individual leaders should be understood, and system support strategies should take these differences into account.
For example Higgs and Rowland (2000, 2001) have researched upon the link between several styles of leadership and organizational change. In accordance with their results we present five broad competency areas of leadership related to successful implementation of organizational change:
Creating the case for change – building awareness among employees regarding the imminence of change and its necessity;
Creating structural change – insistently working on people understanding the essence of the specific change phenomena and providing its support through consistent tools and processes;
Engaging other – getting people involved and committed to run along the change process; Implementing and sustaining changes – elaboration strategies and development of effective
action plans and supervising the progress towards the desired change; Facilitating and developing capability – sustain people to find their own motivation for
achieving change. There are some extremist theorists who argue that leading change is the fundamental role of a
leader and everything else is secondary. Yukl considers that a leader is only effective if he or she succeeds to adapt the organization to a changing environment through continuous revitalization. He emphasizes on understanding the reasons for resistance to change, the sequential phases in the change process, and different strategies to change will greatly enhance its likelihood of successful change implementation. (Yukl, G., 1998)
III.RELATIONSHIP BETWEEN LEADERSHIP STYLES AND IMPLEMENTATION
OF ORGANIZATIONAL CHANGE We envision leadership styles like persons’ character styles or like personalities which in social
life design different behaviors. For this reason we shall further approach the relation between different styles of leadership and organizational change in order to observe the effects on each other.
There are two main leadership styles that literature refers to: transactional leadership and transformational leadership. Transactional leadership style is characterized by the fact that the leader acts like an agent of change and supports the employees through procedures of fundamental changes that improve productivity. Transformational leadership style implies that the leader empowers the subordinates to assume the organization’s vision which reflects into growth of productivity, of employees’ motivation, of work satisfaction and of individual performance. (Burns, 1978)
According to Bass’s (1998) research, a big issue about transformational leadership is whether it positively influences all organizational layers. In this case, the author suggests that it is necessary to
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continuously supervise and support the development of human capital and the enhancing of key capabilities that will contribute to organizational success.
An important research instrument that was frequently used by specialists to observe the leaders’ style is the MLQ – Multifactor Leadership Questionnaire created by Bass and Avolio (1990). The authors reveal four competency areas that ensure the success for a transformational leadership:
Idealized behavior (IB) – it makes a leader to be trusted and respected; Inspirational motivation (IM) – the ability to stimulate employees to outrun themselves; Intellectual stimulation (IS) – leaders stimulate the employees to ask questions and to solve
old problems in new ways; Individual consideration (IC) – refers to the habit of listening the needs and wishes of
subordinates. In 2004 a Gallup survey revealed that the strengths and weaknesses for a group of 782 top managers were mostly the following:
- Strengths: integrity, ability to communicate, seriousness, intelligence, business knowledge, leadership skills and education;
- Weaknesses: limited perspectives, incapacity to understand other members of the team, incapacity of working with others, indecision, lack of initiative, lack of responsibility, lack of integrity;
Higgs and Rowland identified three distinct groupings of change leadership behaviors. These were: 1. Shaping Behavior: the communication and actions of leaders related directly to the change;
‘making others accountable’; ‘thinking about change’; and ‘using an individual focus’. 2. Framing Change: establishing starting points for change; ‘designing and managing the
journey’; and ‘communicating guiding principles in the organization’. And 3. Creating Capacity: ‘creating individual and organizational capabilities’; and
‘communication and making connections’ (Higgs & Rowland, 2005) Analyzing knowledge about leadership competencies, leaders’ strengths and weaknesses, and change behaviors will lead to identifying pragmatic strategies to be applied through the change process. The above observations built the conclusion that an effective leader relies on personal and behavioral characteristics and on fine abilities to relate with others. Thus, leaders have to be perfectly aware of the areas they are good at and the ones they have yet something to improve.
The standard structure of a change process is described through three main stages, well known as Lewin’s model: unfreeze-change-refreeze. The change process starts with “unfreezing”, that means the dissolving of existing systems. In a “fluid” estate, the organization may be easily modeled, as it is more flexible. When organizational environment becomes more relaxed any change will be assumed naturally, and shall not be perceived as something imposed. The third stage of “refreeze” has to be understood as an end of a certain change procedure and not as a return to the solid initial estate. This is Lewin’s approach to restructure one’s thoughts, perceptions, feelings and attitudes. Lewin’s model of organizational change may be associated to a spiral movement as the three stages infinitely succeed one another within the organization’s life.
Reardon and Rowe analyzed in more detail the phases of change, identified what effects each phase produces and associated to every set of procedures a specific leadership style. We consider, as the mentioned authors also did, that it is of great relevance and real help for promoters of change to know how to act each step throughout the change process. It is nothing to be strictly respected but leaders have at least to be aware of what might happen or should happen in order to successfully complete the change protocol.
Observing Figure 1, below, we can notice the division of the change process into five phases. For each phase there are emphasized the main actions and effects to be achieved and the third column suggests the appropriate leadership style to be applied for each set of actions.
In order to understand the association or the link between the leadership styles and the change phases we have to review and to point out each style’s specificity. We consider that these leadership styles were named after the effects they generate through the leaders’ behavior. Following we briefly describe what each style does. The commanding style – focuses on results,
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persuades by directing, makes changes rapidly and applies the tactic learning by doing. The logical style – differentiates by its focus on innovation, persuades goals through pertinent explanations, makes changes with great cautiousness, and gathers knowledge by studying. The inspirational style – focuses on identifying and creating opportunities, achieves goals by growing employees’ trust, makes radical changes and learns by permanently questioning upon various issues. The supportive style – offers others consistently support and gets involved in activities, makes changes slowly and learns by listening.
As we previously mentioned we continue by associating to each phase of change the appropriate leadership styles and actions. Our work consists in the attempt to explain and match change phases and leadership possible initiatives towards the change process. The planning phase refers to: acquiring information, creating ideas, formulating strategy. For these phase should be applied leadership styles like: the inspirational and logical styles. The planning phase has to base on big doses of innovation and also on logic judgment. The planning phase is of fundamental importance for any process. When approaching change, it is obvious why the planning phase consists in innovation, explanation, studying, creating opportunities and permanent questioning. A good planning should be done in complete awareness of all factors and targeting towards important goals.
The enabling phase refers to: convincing employees, empowering employees, assisting employees, explaining the plans. This phase requires in different doses the following leadership styles: logical, inspirational, and supportive. Along each phase, these characteristics of the leadership styles combine in order to best accomplish the phase’s good progress.
Throughout the enabling phase there have to be found compatibilities between the existing procedures and the new tasks. The right combination of the three leadership styles should develop the expected results.
The launching phase refers to: implementation in steps, meeting goals, getting results, assessing the progress. The success of this phase must be ensured by mixing the commanding and logical style. This phase requires a more demanding approach as it represents the moment of launching the plans and strategies for change and these must have a precise debut. This phase has to be managed through the commanding and logical styles as they consist of directing and explaining, and of doing and studying.
The catalyzing phase refers to: inspiring, energizing, and assisting. For the activities in this phase should be applied the inspirational and supportive styles as these develop through exploiting opportunities of change in order to accomplish positive goals. The supportive style has the role to facilitate the work of employees and provide the necessary involvement of leaders by listening and cooperating.
The maintaining phase refers to: overseeing the progress, guiding others, energizing, and assisting. Leadership styles that give positive results throughout this phase are the logical, inspirational, and supportive ones. The maintaining phase is also a complex one and needs a mix of actions and tactics. The combination of the three styles provides the necessary guidance for employees to continue the good work and gain more confidence along the way. Even if it is the final phase, leaders have to continuously search for innovations. For this phase the style emphasis is once again on people. “Persuasion becomes crucial. Persuasion calls for an ability to listen well enough to know what matters to people.” (Reardon, K.K. & Rowe, 1998, p.139)
The above ideas form a consistent approach towards the relationship between the change process and various leadership styles. As Reardon & Rowe (1998) state, it is impossible for a leader to apply all leadership styles during implementing the change process but, in our view, is not impossible that more leaders to apply certain leadership styles in order to ensure the optimal match between style, skill, and capabilities and what is required by each situation. We consider that any leader who would pay attention to these observations could succeed to design particular strategies for implementing change.
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Figure 1 - Relationship between phases of change and leadership style Source: (Reardon, K.K. & Rowe, 1998, p.134)
IV.CONCLUSIONS Throughout the paper we focused on the leadership concept and its role for the organization’s
critical moments, like implementation of organizational change. We have presented some details regarding the phases of the change process and argued about the necessary characteristics and competencies that leaders should possess in order to face any challenge of change.
Whatever the style, leadership of change in simple or more complex settings entails: building capability and capacity in a team through supporting employees to improve their talents; creating conditions for learning to occur by ensuring personal and team working time; creating a climate which encourages individual and organizational development through growing trust and confidence attitudes among employees; emphasizes collaborative working by appreciating results of teams; provides a focus for effects of innovation and change. Overall we consider that leadership styles which base on support, facilitation and collaboration appear to be more successful in case of change implementation. Leadership and change cannot be separated not in theory neither in practice as they are interdependent.
Though each leader is characterized by mainly a style it is important for him/her to be aware of all the other leadership styles. Even if it is difficult to switch from one style to another, being aware of each style opportunities it is a great step towards applying what is best for each phase of change. This final idea could represent a topic for another research work.
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V.REFERENCES: 1. Balestracci, D. (2003) Handling the human side of change, Quality Progress, vol. 36(11),
pp.38-45 2. Bartkus, B. (1997) Employee ownership as a catalyst of organizational change. Journal of
Organizational Change Management, 10(4), 331-344 3. Bass, B. M. (1998) Transformational leadership: Industrial, military, and educational
impact. Mahwah, NJ: Erlbaum 4. Bass, B. M., & Avolio, B. J. (1990) Training and development of transformational
leadership for individual, team, and organizational development. In R. W. Woodman & W. A. Passmore (Eds.), Research in organizational change and development. Greenwich, CT: JAI Press
5. Beerel, A. (2009) Leadership and Change Management, Sage Publications Ltd., pp.6 6. Bejinaru, R., Băeşu, C. (2013) Approaches to organizational change within modern
companies, The USV Annals of Economics and Public Administration, Volume 13, Issue 1(17), 2013
7. Brătianu, C. & Anagnoste, S. (2011) The role of transformational leadership in mergers and acquisitions in emergent economies, Management & Marketing, Challenges for the Knowledge Society, Vol. 6, No. 2, pp. 319-326
8. Burns, J.M. (1978) Leadership, New York: Harper and Row 9. Daft, R.L. (2008) The Leadership Experience, 4th Edition, Thomson South-Western, New
York 10. Gardner, J.W. (1993) On Leadership. New York: Free Press 11. Hage, J. (1999) Organizational innovation and organizational change, Annual Review of
Sociology, Vol. 25, pp. 597-622 12. Higgs, M and Rowland, D. (2005) All Changes Great and Small: Exploring Approaches to
Change and its Leadership. Journal of Change Management, Vol. 5, No. 2, pp. 121-151, June 2005
13. Higgs, M. & Rowland, D. (2000) Building leadership change capability, Henley Working Paper Series, HWP 2000/04
14. Higgs, M. & Rowland, D. (2001) Developing change leaders: assessing the impact of a development program, Henley Working Paper Series, HWP 2001/06
15. Reardon, K.K, Reardon, K.J & Rowe, A.J. (1998) Leadership styles for five stages of radical change inventory, pp129-146
16. Yukl, G. (1998) Leadership in Organizations, Prentice-Hall, Upper Saddle River, New Jersey, 4th Edition
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Leadership in Crises, Disasters, and Catastrophes..pdf
Introduction Th e importance of leadership in emergency manage- ment is widely acknowledged (Demiroz & Kapucu, 2012; Kapucu & Van Wart, 2008; Rubin, 1985; Waugh & Streib, 2006). Popular culture reinforces this focus. It is common for mass media outlets (newspaper, televi- sion, cinema) to demand or portray charismatic lead- ers who “save the day” by simultaneously handling in- formation, resources, and wild authority (Littlefi eld & Quenette, 2007). It is also common for real situations to be compared to these idealized images and for individuals to be hailed as heroes, as was the case for Rudy Giuliani after 9/11, or decried as villain, as was the case for both George W. Bush and Michael Brown after the impacts of Hurricane Katrina. But it is not enough to know lead- ers matter and make summary judgments. It is vitally important to understand how leadership in emergency management really works and the range of issues, con- siderations, and variables that aff ect leadership effi cacy.
A systematic and thorough understanding of emer - gency management leadership demands that we examine
S Y M P O S I U M
Th e goal of the Symposium is to bring researchers and practitioners together to seek out and build common frameworks for discussion. We hope to provide a meeting ground for dialogical discourse among diverse approaches to leadership theory and practice, with an eye to developing models for implementation.
—Th e Editors
LEADERSHIP IN CRISES, DISASTERS, AND
CATASTROPHES
JOSEPH E. TRAINOR AND LUCIA VELOTTI
JOURNAL OF LEADERSHIP STUDIES, Volume 7, Number 3, 2013 ©2013 University of Phoenix View this article online at wileyonlinelibrary.com • DOI:10.1002/jls.2129538
the role and activities of leaders and leadership in the context of previous leadership and disaster management studies (e.g., Boin, Hart, Stern, & Sundelius, 2005; Kapucu & Van Wart, 2008; Patton, 2007; Rubin, 1985), but the broad and increasingly important range of topics in disaster management implies we need to dig further. For example, leadership needs to be understood across all phases of comprehensive emergency management (i.e., mitigation, preparedness, response, recovery). Further, we need to build our often neglected dimensions of leadership such as fl exibility, communication and networking abilities, decision making, urgency, teambuilding, sensemaking, information seeking, accounting, learning, and planning among others (Boin et al., 2005).
Major catastrophic events such as 9/11, Hurricanes Katrina and Sandy, and the tornado outbreaks in 2011 often draw attention to the actions of governmental actors. However, if one looks more closely, government is only one place where leaders emerge. Decades of research have shown that disaster response is the result of large networks of often-disparate public, private, and
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Stern continues on a similar issue, providing an in- depth discussion of the tasks necessary to prepare for crisis. According to Stern , preparing is made up of four subtasks: (a) organizing and selecting, (b) planning, (c) educating and training, and (d) cultivating vigilance and protecting preparedness. Stern concludes his discussion by addressing leaders’ responsibilities for ending crises. He claims that a leader’s responsibilities are twofold. First, leaders should ensure that learning from previous experiences and organizational adjustments are part of the ending of a crisis (Boin et al., 2005); and second, leaders should make sure “that the entities they lead are prepared to rise to future challenges.”
Th e articles by Morrison and Kielkowski both address leadership eff ectiveness in the private sector. Morrison highlights how the chief executive offi cer’s (CEO’s) often aloof modus operandi in addressing business continuity has an impact on the employees’ perception of lack of preparedness. He advocates a holistic approach to crisis in which CEOs engage members of their organizations as well as external parties to get everyone collectively to act as one in the case of a crisis. According to Morrison, the adoption of a collective thought process and the building of new internal and external relationships will benefi t leaders so that they can make better informed decisions and will benefi t employees, their families, and fi rst responders.
Kielkowski provides an example of private sector best practice on eff ective crisis leadership. Th e author contributes by addressing eff ective crisis leadership as a process resulting from a leader’s continuous eff orts to engage all the members of the organization through eff ective communication and practice. Th e author concludes by stating that learning from crisis is important even though there should always be awareness that the next crisis will be diff erent from the previous one. In sum, eff ective crisis leadership “starts well in advance of an event. It is the result of leadership in planning, awareness, and response.”
Finally, Buschlen and Goff nett turn attention to the task of creating new leaders. Th e authors refl ect on and describe the importance of higher education in learning about leadership and logistics for disaster relief. Th ey discuss how to develop experiential skill for disaster relief and how to assess disaster relief learning.
nonprofi t organizations. Th ere can literally be thousands of nonprofi t entities involved in disaster responses providing key and critical resources, including leadership (Dynes, Quarantelli, & Wenger, 1990; Kapucu & Van Wart, 2008; Simo & Bies, 2007). Consequently, it is important to look at how such entities approach disaster leadership. Additionally, despite little formal literature on private sector responses (Tierney, Lindell, & Perry, 2001), there is an increasing awareness of how important it is that emergency management consider how private sector actions can improve disaster outcomes.
Given these insights, the symposium considers the role of leadership across the spectrum and aims to expand the debate by focusing on insights from both academic scholarship and “boots-on-the-ground” experience. Because knowledge about disaster leadership is not exclusive to the academy or to practice, we recruited authors who could provide both sets of insights. By including more voices in the dialogue from more positions in society, we can improve our understanding of leadership in this context. Yet considering the relatively sparse literature focused on disaster leadership, authors were simply asked to provide an analysis or refl ection on some dimension of disaster leadership that they felt was important. Th e authors have provided an interesting set of articles that meet that challenge, and the symposium takes on a number of these important issues.
Boin and Renaud start the symposium with a discussion of the process of sensemaking and meaning- making (crisis communication) in the aftermath of a crisis, highlighting how strategic and operational leaders on the basis of diff erent cognitive needs make diff erent assessments of the situation, thus generating what they term an “appreciative gap.” Th e authors suggest that the accomplishment of a joint picture of the situation requires both operational and strategic leaders to be aware of each other’s cognitive needs and tasks. Following on the notion that a leader’s perception (and consequent actions) matter, Canton asks whether diff erent leadership styles are required of emergency managers during planning and disaster operations. Th e author suggests that persuasive rather than directive leadership is the key style of leadership emergency managers need for both types of operations.
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Th e authors conclude by suggesting further areas to be explored in order to advance the training of future disaster-based leaders and better defi ne the role of higher education in disaster relief.
Even though the symposium has provided some great insights and additional dialogue on leadership in disaster, there are still many unanswered questions. For instance: Are disasters fundamentally diff erent context for leaders? How do we balance management and leadership? What role do diff erent structures play in facilitating leadership? How does leadership change throughout the emergency management cycle? To what degree do the events themselves rather than our interventions in those events dictate our assessments of these outcomes? Th ese are among the many questions in need of further exploration. It is our hope that readers of the symposium will not only learn from these authors’ insights, but will also take up the call to explore the complexities of leadership in crises, disasters, and catastrophes.
References
Boin, A., Hart, P., Stern, E., & Sundelius, B. (2005). Th e politics of crisis management: Public leadership under Pressure. New York, NY: Cambridge.
Demiroz, F., & Kapucu, N. (2012). The role of leadership in managing emergencies and disasters. European Journal of Economic and Political Studies, 5(1), 91–101.
Dynes, R. R., Quarantelli, E. L., & Wenger, D. (1990). Individual and organizational response to the 1985 earthquake in Mexico City, Mexico. Newark: Disaster Research Center, University of Delaware.
Kapucu, N., & Van Wart, M. (2008). Making matters worse: An anatomy of leadership failures in managing catastrophic events. Administration and Society, 40, 711–740.
Littlefield, R. S., & Quenette, A. M. (2007). Crisis leadership and hurricane Katrina: Th e portrayal of authority by the media in natural disasters. Journal of Applied Communications Research, 35(1), 26–47.
Patton, A. (2007). Collaborative emergency management. In W. Waugh, Jr., & K. Tierney (Eds.), Emergency management: Principles and practice for local government (2nd ed.). Washington, DC: ICMA Press.
Rubin, C. B. (1985). The community recovery process in the United States after a major natural disaster. International Journal of Mass Emergencies and Disasters, 3, 9–28.
Simo, G., & Bies, A. (2007). Th e role of nonprofi ts in disaster response: An expanded model of cross-sector collaboration. Public Administration Review, 67, 125–142.
Tierney, K. J., Lindell, M. K., & Perry, R. W. (2001). Facing the unexpected: Disaster preparedness and response in the United States. Washington, DC: Joseph Henry Press.
Waugh, W. L., & Streib, G. (2006). Collaboration and leadership for eff ective emergency management. Public A dministration Review, 66(s1), 131–140.
Joseph E. Trainor, PhD, is an assistant professor in the School of Public Policy and Administration at the University of Delaware and a core faculty member at the Disaster Research Center. Trainor’s research focuses on human behavior and organizational activities associated with crises, disasters, and catastrophes. In particular, he focuses on understanding the basic science of human behavior during these events as well as their implications for policy and planning. Trainor is also interested in international and comparative emergency management and academic/ practitioner integration. He teaches substantive courses in the Disaster Science and Management program as well as the Undergraduate Public Policy Program. He also teaches qualitative research methods to students across the school’s programs.
Lucia Velotti has a PhD in public management and governance from the University of Salerno, Italy. Currently, Dr. Velotti is a PhD student at the School of Public Policy and Administration and a graduate research assistant at the Disaster Research Center, University of Delaware. Dr. Velotti has carried out disaster field work and research both nationally and internationally. Her research interests include collaborative public management and governance, cognitive and behavioral response to crisis, and international disaster response. Currently, Dr. Velotti teaches Sociology of Disaster.
Copyright of Journal of Leadership Studies is the property of John Wiley & Sons, Inc. and its content may not be copied or emailed to multiple sites or posted to a listserv without the copyright holder's express written permission. However, users may print, download, or email articles for individual use.
Learning New Management Viewpoints.pdf
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DISCUSSION
Learning New Management Viewpoints: Recontextualizing Strategic Leadership in Global and Regional Context
Ahmad Raza,
Hasan Sohaib Murad School of Business and Economics
University Of Management and Technology, Lahore Pakistan Abstract:
This paper makes a theoretical critique of the current paradigm on strategic leadership and proposes an epistemology of managerial practice as unfolded in the business contexts. It is argued that there exist diachotomic views of managerial practice based on profit-logic versus responsibility- logic throughout the corporate world. The strategic leaders, instead of practicing one of these logics, should try to synthesize best of the both at the cognitive level and then apply them into the business and management environment. The rapid technological changes coupled with the profound cultural heterogeneity at the workplace have also created the determinants of humanly responsive and socially aware strategic leadership, which must respond sensibly to the hyper-transformative forces both at the regional as well as global level. Therefore, this paper suggest that strategic leaders in business, society and industry must cultivate a culture of courage, vision and will to transcend the established strategic straitjackets and usher into the new brave world of strategic opportunities and alliances.
Key words: Strategic Leadership, Epistemology, Managerial Practice, Profit Logic, Responsibility Logic.
Context of Strategic Leadership
The hyper transformative business markets of the world have created conditions,
which impress upon the local as well as international business leaders, to think and lead their firms strategically. As described by Hitt etal (2003), “strategic leadership is the ability to anticipate, envision, maintain flexibility, and empower others to create strategic change as necessary”. The emerging competitive scenarios of international finance, trade, communications technologies, and business have set the stage for a new kind of strategic leadership in the arena. Because of the unfolding complexity and fluidity of the business firm’s global environments, strategic leaders must demonstrate an ability to interact across divergent behavioral and cultural recipes, and of course, in an unpredictable environment. They must demonstrate skills, personal and visionary in nature, which can influence the behaviors, thoughts and feelings of those with whom they work (Peters 2001).
Managing the human capital may be the most critical skill of strategic leadership
(Collins,2001;Finkelstien etal, 1996).In the new millennium, intellectual capital, including a dynamic knowledge resourcefulness and an ability to create and commercialize innovation, can affect a strategic leader’s success very significantly (Teece, 2000). Business contexts are also important in the effectiveness of strategic leaders performance. The competent strategic leaders also establish the context through which stakeholders can perform at peak efficiency
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(Kets de Vries, 1995).The firm without leadership may be a rudderless ship, wavering amongst the changing market winds and stormy business environment. The effects are experienced both within the firm and outside. The employees within the firm may suffer crisis of confidence, resulting in lower productivity, coupled with the stake holder’s fears about the security of their investments. The primary focus of the strategic leadership happens to be its ability to manage the firm’s operations effectively and sustain high performance overtime (Maccoby, 2001).
The locus of strategic leadership happens to be multidimensional in its nature. The
strategic leaders are primarily concerned with managing large enterprises through others. They are not interested in managing the small business units (Hitt etal, 2003) They focus on rapid business and economic changes which may affect their business enterprise and its competitiveness as well as performance in the dynamic global environments. The failure of the strategic leaders, to respond quickly to the changing global business realities can weigh heavily upon the firms’ strategic competitiveness and earn above average returns (Hitt etal, 2003).The global business competition is not just a competition between company versus company, or product versus product. It is also as Hamel and Prahald (1993) have commented a case of competing, “mindset versus mindset, managerial frame versus managerial frame”. The strategic leaders must know how mindset of the firm be aligned with the mindset of the diverse global competitors, in order to retain the competitiveness and business advantage of the firm. The ability of strategic leader to interact across the cognitively complex competitive situations, demand from him the application of five interrelated competencies of, “ foresight, systems thinking, visioning, motivating, and partnering”(Hammer and Stanton,1997).
Several strategic actions can be identified which characterize the structure of
strategic leadership. As they have to execute the strategic intent of the firm in order to realize its strategic vision, understandings borne out of the analysis of internal and external environment of the firm constitute a prerequisite for the success of strategic leaders. Apart from this they should be capable enough of taking what Hitt etal (2003) have identified key strategic actions, which include interalia, “determining strategic direction, establishing balanced organizational controls, exploiting and maintaining core competencies, developing human capital, sustaining an effective organizational culture and emphasizing ethical practices”. These strategic actions necessitate a higher order managerial skill from the strategic leaders. The effectiveness of the strategic leadership largely depend upon the fact that how far they can see into the futuristic market developments, how far they can make courageous yet calculable decisions in the midst of volatile global markets, and how far they can steer and maintain the sustainability of their firm in the unfolding strategic business realities (Lasserre, 2003; Hitt etal, 2003). Moreover, strategic leaders dealing with hyper transformative contexts in business, economy and technology, must demonstrate managerial skills to interact across different cultures and be able to respond to the diverse emotional and cultural needs of the stakeholders (Dreskey,2003;Schein,1985). Strategic leaders in many ways can change the organizational culture of the firm and transform it into social capital through which the competitive advantage of the firm in the marketplace can be retained. In the process strategic leaders have to formulate effective business strategies through a consultative partnership of the employees, peers, and superiors and desire to seek, what Hitt etal (2003) describe as a , “corrective feedback” about their, “difficult decisions and vision”. This helps the strategic leaders to foster alliances and partnerships, both internally and externally for their firms, in order to materialize the broader features of their strategic vision (Hammer and Stanton, 1997).
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The top management of the firm holds the basic responsibility of strategic leadership, particularly the CEO (Hitt etal, 2003).Other significant position holders of strategic leadership within the firm may include members of board of directors, top management team and divisional general managers (Wright etal, 1996;Hitt etal.2003 ).Apart from their routine organizational responsibilities, strategic leaders have considerable decision- making powers which cannot be delegated (Finkelstein and Hambrick, 1996).As Hitt etal (2003) have commented very aptly that, “ strategic leadership is an extremely complex, but critical, form of leadership. Strategies cannot be formulated and implemented to achieve above-average returns without effective strategic leaders”. In the hyper transformative global economic scenario, effective strategic leadership needs to cultivate a mastery of technological innovation coupled with cultural imagination, to decide strategically and reach across the cultures to secure the financial and business advantage of their firms in a responsible manner (Deresky, 2003).
Recontextualizing Global and Regional Managerial Practice
The managerial practice of strategic leadership appears to be divided in two types of
logic. There is one school and perhaps a dominant one in the management sciences, which takes managerial practice as rational, based on the analysis of ‘forces’ effecting strategic decisions, consequently leading to the competitive advantage of the firm. The strategic leader can lead his organization to sustained profitability and growth by rationally calculable and tangible business results (Friedman, 1962; Porter, 1979; Filbeck, 1996; Larson, 2004). The managerial practice remains justified unless it can lead to tangible growth and above average profits for the firm whatever the social, environmental or human consequences may be. The hallmark of strategic leadership is shown by its ability to apply strategy as a competitive advantage and value creating instrument which should lead the firm to tangible profits and financial gains in the marketplace (Hitt etal, 2003; Wright.1996). The logic of business enterprise is driven by a rational instrument, objectively, regardless of emotional, cultural and moral consequences of the profit making. The logic of profit maximization as a sole motive of business and economic enterprises is in itself a sufficient moral justification of ‘competitive’ operations in the market place. The notion of profit as a competitive advantage, culminating in a strategic decision, internalized by rational human actors is raised to the level of universal economic ethic. All strategic actions which terminate in measurable business profits have full ‘moral’ justification. One can see the simple law of profit logic operating underneath the myriad labyrinth of free (we may add blind and objective) rational market forces. Either your enterprise make sustainable competitive profits or you perish and languish in the marketplace. This crave for profit and competition as strategically plausible end has created an ugly mess of corporate exploitation of human as well as material resources having no regard for the human and moral costs of such actions. Several cases of corporate crime have been reported in the management literature, such as Enron Scandal, Union Carbide gas leakage at Bhopal in which thousands died and still thousands suffering, sexual and human abuses of particularly woman workforce by Nike contractors in Vietnam, sacrilegious shoes marketed in Bangladesh by Footwear International and Child labor malpractices in hand stitched footballs in Pakistan, stare at the face of ardent advocates of business as profit logic (Dreskey.2003; Hitt etal, 2003;Lassere, 2003).
The alternative to this view of business as profit logic is offered by responsibility
logic. The proponents of responsibility logic argue that economic and business enterprise holds profound social responsibility towards the society and its moral concerns. The business
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enterprise must satisfy the emotional, moral and social needs of the society. The strategic leadership must formulate business strategies keeping in view the social contexts in which they operate. Several researchers have shown that a business firm can still yield profit, when it takes into consideration the environmental, social and moral contexts of the business into account (Mintzberg, 1994; Curcio etal 1996; Hall etal1998; Baldridge etal, 2004; Liljenquist etal, 2004). The relevance of responsibility logic as interpreted in moral and ethical terms has now assumed an indispensable significance in the managerial strategic leadership. The rapid global interdependence of business and technology has caused the managers to interact with diverse ethical and cultural values. As underscored by Dreskey (2003), “managers today are usually quite sensitive to issues of social responsibility and ethical behavior because of pressures from the public, from interest groups, from legal and governmental concerns, and from media coverage” .We find several instances, in corporate world, where, profitability of the enterprise have been strategically realigned with ethical and human consequences of global strategic business engagements. For example, Reebok, a global athletics sports and fitness company have made clear commitment to human rights in carrying out its business across the globe with its contractors, subcontractors, suppliers and other business partners. They have what they call a, Reebok Human Rights Production Standards. Some of its important elements include, a healthy and safe work environment, refusal to do business with firms who indulge in child labor(under 14), refusal to work with firms that use forced labor motivated by political coercion or holding different political views, and a preference to do business with those firms who observe a 48 work week (Dreskey,2003).
The activities of firm cannot be seen in isolation from the larger social, ecological,
moral and cultural implications (Allenby and Graedel, 1995). From manufacturing of a product to its marketing and eventual disposable have serious and tangible human social consequences. The MNCs’ must develop a systemic view of their business and economic pursuit in the regional and local host countries. They must take note of the moral and cultural diversities across the globe and how these are going to be affected by them. The economic profitability must be balanced against the ecological and social consequences of such actions. As commented by Dreskey (2003) that, “MNCs must take the lead in dealing with ecological interdependence by integrating environmental factors into strategic planning. Along with an investment appraisal, a project feasibility study, and operational plans, such planning should include an environmental impact assessment”. The strategic leaders must fully know that the secret of sustainable business growth lies in realizing the strategic interdependence of business, economy, society and ecology. The real challenge for managerial strategic leadership in executing their strategic business goals across a culturally and morally diverse and unpredictable global business environment, reside in cultivating a uniform and worldwide posture on social and ethical responsibilities and see as to how it is implemented. (Dreskey, 2003)
Apart from the ecological dimensions of strategic business venture; the issues of
corporate corruption, kickbacks, and business malpractices have raised serious concerns about the role of strategic leadership in handling the corrupt practices in their corporations. According to Mr. Peter Eigen, Chairman of German based non-governmental organization, Transparency International which keeps an eye on the corruption culture in the world, “The scale of bribe-paying by international corporations in the developing countries of the world is massive” (cit in Dreskey, 2003). Although US and other countries have enacted laws (e.g. Foreign Corrupt Practices Act of 1977) to check the corrupt practices in business and economy, nonetheless, it remains a menace which continuously engages the attention of
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global leaders. International corporations indulge in unethical practices in order to retain their competitive advantage over the rival companies in the local and regional markets. Even a company like IBM have not escaped the trap of corrupt practices in securing business with the largest commercial bank in Argentine, Banco de la Nacion (Dreskey, 2003). The international managers in order to make correct decisions in strategic business deals, with sound ethical considerations, must ponder whether a business decision or transaction is of questionable nature and therefore illegal and secondly, how the transaction could be made without indulging into scandalous business profits. They must integrate local moral structures on bribery and corruption with the international ethical code on business practices. The moral implication of the firm’s business deals must be considered at the strategy formulation stage (Dreskey, 2003)The unabated desire to accumulate wealth as a social symbol of power and success have plagued a charade of politicians, bureaucrats, brokers, investors, soldiers and corporate leaders to connive and plunder the monetary, natural and human capital of societies across the world.
In the complex global business scenario, strategic leadership assumes a very
significant, yet critical role. It is significant, because they formulate strategic business vision and critical, because they have to make courageous and difficult decisions to materialize it in the real world. Change and volatility is inherent in the strategic conditions. But, we must hasten to add that competitive business advantage at the cost of ethical, environmental and social abuses of human being is not justifiable under any kind of contingency or emergency. Business heuristics must corroborate into strategic paradigm the human consequences of strategic managerial decisions, synthesizing profit with ethical responsibility and accountability. We find a host of MNCs’emanating from North America and Europe, which include, Reebok, Liz Claiborne, Wal-mart, Avon, Sainsbury Plc, Otto Versand, who has implemented anti-sweatsshop Code of Conduct and Social Accountability 8000 to oversee that their business partners across the world strictly observe the ethical and moral aspect while fulfilling their business commitments. They take a strong note of child labor, human rights abuses, and forced labor at the work place and monitor closely the enforcement of ethical standards in the conduct of business by their global partners (Dreskey, 2003).Other developing economies of the South Asian region and Far Eastern region need to follow the suit and improve human conditions of business environment in a more elaborate way, because these regions are facing massive human rights and labor standards violations along with a high standing on the corruption index of Transparency International (cit. in, Dreskey, 2003).
The end of Cold War and ensuing ‘technoglobalism’ have unleashed complex
cultural forces, which have created new strategic economic realities which demand from the local and global strategic leaders to shape their business and economic priorities in a flexible and creative fashion taking into full consideration the human consequences of their business agendas (Dreskey,2003,Lassere,2003). The one notable trend which has emerged very strongly is that of forming regional and bilateral strategic alliances in business and economy. NAFTA and ASEAN are two significant examples of strategic economic alliances. EU has also rapidly emerged as a strong strategic economic and business alliance. In the South Asian context, SAFTA is fast growing strategic economic reality, with only one setback, that is of India-Pakistan ‘strategic straitjacket’ fixed in a long standing political issue of Kashmir. Strategic leadership from both countries need to demonstrate sufficient courage, vision and will to transcend this ‘strategic straitjacket’, in order to facilitate and help unearth the economic and trade genius of one of the largest segments of human populations on the face of earth. Apart from SAFTA shaping into a powerful regional economic alliance; another
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economic strategic alliance can be visualized between the trio of China, India and Pakistan. These three coming together can make a strategic difference in the global business chunk. The realization of a free trade partnership between China, India and Pakistan can radically alter the traditional economic and trade realities of not only these close neighbors but also change the future course of the strategic global business and economic developments. The strategic economic alliance of these three countries can save its populations from the negative impact of globalization as currently experienced by them through MNCs and formulate a common strategic response to meet the economic and trade challenges of this century. This could be a trilateral strategic economic and trade parternership, making a historic difference in the lives of its peoples and transforming the whole region into unparallel economic prosperity. For the realization of this goal, leadership, political and economic have to grow out of the inherited ‘strategic straitjackets’ borne out of pseudo-historical and cultural misconceptions conditioned by a West European colonial experience. If the strategic leadership of these three neighboring states fails to respond creatively to the new global economic realities, this great region of tremendous economic potential may precipitate into economic failure, consequently being exploited by economic forces, which may not be under their control.
Concluding Remarks
Strategic leadership is more than a managerial practice; it’s a kind of visionary
dejavu emanating from a deep sense of working towards the collective betterment of business, society and people at large. Those who show a will to transcend the narrowness of ‘strategic straitjackets’; have dreams and visions can, transform risk into advantage. The secret of sustainable growth lies ‘within’ firms, organizations and economies and not ‘outside’ the system. Only visionaries can feel and unlock that region of ‘within’ and make it into collective betterment of the humanity at large, what to speak of a business firm. The strategic leaders in contemporary corporate world must tamper their strategic vision of business seeking to acquire competitive advantage over their rivals, with a clear commitment towards moral and social responsibility, reinforced through a realization to protect the essential spiritual basis of managerial practice. If business loses touch with the spirit of vast majority of human beings, it can only lead to bitter conflicts, wars and intercultural rivalries. Rationality, moral responsibility and spirituality should go hand in hand in shaping the kind of strategic leadership, necessary to respond to the culturally and spiritually diverse workplace of the 21st
century. One unthoughtful strategic action in business, economics or politics can cause havoc for the save and secure environment in which prosperity and growth make strides.
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Organizational Opportunities Endemic in Crisis Leadership.pdf
Organizational Opportunities Endemic in Crisis Leadership
James E. Prewitt Saint Leo University
Richard Weil
Saint Leo University
Reactive leadership and crisis management have been synonymous for years. This flows from the belief that crisis is unpredictable and unexpected, which is simply not true. Crisis has its genesis in the values, beliefs, culture, or behavior of an organization which become incongruent with the milieu in which the organization operates. A leader, who is able to read the signals of looming crisis and understands how to harness the exigency brought on by the situation, can diminish the potential dangers and take full advantage of the resulting opportunities.
This paper addresses the challenges that leaders face before, during, and after crisis by using a generic crisis lifecycle model. Effectively dealing with a crisis is a competitive advantage, while ineffective crisis response can place the existence of an enterprise in jeopardy. Unfortunately many leaders that have garnered credit for leadership tools such as vision, strategic focus, and discipline preside over undisciplined crisis responses, often at great risk to the leader’s career and the enterprise’s future. We collectively recognize the immense significance inherent in understanding crisis theory and the leadership strategies that can be employed in these situations. Our hope is that this paper will improve the reader’s theoretic and practical understanding of crisis and be of value as they prepare, lead, and adapt their organizations to face challenges and crisis, but also grow from those same challenges and crisis.
Crisis, for the scope of this paper, is defined as an unexpected, dramatic, and unprecedented event that forces and organization into chaos and may destroy the organization without urgent and decisive action.
The study of crisis leadership is important today due to the unpredictability, intensity, duration, and cost. Leaders throughout the world struggle with the challenges of crisis from the corporate boardroom to the nonprofit board, the small businessman to the city hall. Decisive action is demanded immediately from organizational leaders due to globalization, organizational transparency, and technological advances. As a consequence, leaders are required to endure intense public examination while weathering the disrupting forces of catastrophe. Leaders must get ready for the inevitable, unforeseen, and unprecedented.
Organizational leaders at all levels will be able to exploit this paper for the benefit of their organizations. It provides a structure to better comprehend the crisis lifecycle and institute strategies for leaders to use as they plot a course through the crisis. The research presented herein provides organizations and leaders with an opening point to study and refine their leadership knowledge, skills, and abilities in preparation for the imminent crisis their organization will inevitably face.
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CRISIS LIFECYCLE
Crisis is a worldwide reality. Crisis is simply an ineffaceable part of the human condition (Mitroff, 2004). Thomas Kuhn (1996) described how crisis begins in his book on the scientific revolution, The Structure of Scientific Revolution. In it Kuhn states that “existing (organizations) have ceased to adequately meet the problems posed by an environment that they (in part) have created…the sense of malfunction that can lead to crisis” (p. 92). The failure to take note of the preliminary signals or tremors and recognize that our connection with the surroundings has changed is what leads us headlong into crisis.
FIGURE 1
Our research indicates that crisis can be defined by a generic model of a crisis lifecycle, as represented in Figure 1 (Heifetz & Linsky, 2002). This crisis lifecycle model represents a single event. It also needs to be understood that organizations face a repeated bombardment of overlapping conflicts or small crises. Likewise, most crises can’t be defined by one event and the fundamental challenge may rematerialize numerous times, overlapping its beginning and ending phases (Pinsdorf, 2004). For the purposes of this paper and clarity, our discussion will revolve around a single, cataclysmic crisis event that threatens an organization’s very existence.
The crisis lifecycle is defined over time and disequilibrium. The vertical axis represents disequilibrium and it illustrates the amount of stress felt by organizational members. This axis can further be divided into the comfort, learning, and danger zones. The comfort zone is the status quo, where organizations and bureaucracies prefer to remain. The comfort zone is a state of equilibrium or stagnation. Most organizations endeavor to dissipate conflict or stress in order to preserve the status quo. Ronald Heifetz (1994) notes “there is nothing ideal or good about a state of equilibrium…achieving adaptive change probably requires sustained periods of disequilibrium” (p. 35). Regrettably, organization that remain locked in the comfort zone keep their values, culture, or operating archetype static in relation to the ever-shifting environment.
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Above the comfort zone is the learning zone. The learning zone is a critical area flanked by equilibrium and danger. This zone is where a minimum amount of stress is desirable for an organization to elicit change and it causes anxiety and conflict within the organization. It is the conflict linked with change that facilitates an organizations growth and the size of an organizations learning zone is directly correlated to its capacity to handle stress. Responsive and flexible organizations have larger learning zones and are better able to handle organizational chaos and conflict. Organizations that are large and bureaucratic are less able to handle change; therefore they have much smaller learning zones.
Above the learning zone is the danger zone. The line separating the learning zone and the danger zone is represented by the amount of stress that may cause an organization to implode and disintegrate. Crisis characteristically causes the stress level in an organization to hurdle into the danger zone. Perhaps the most complicated and illusive key to effective leadership is creating sufficient stress within the organization to transform it into a learning organization but not enough stress to rocket it into the danger zone.
Leaders can change organizational stress using technical or adaptive techniques. Technical responses provide quick solutions and harness a set of procedures toward well-understood problems. When a leader applies technical responses to problems, organizational stress typically abates (Heifetz, 1994). However, an adaptive solution is used when a predicament is not well understood or there is no adequate response, expertise, or procedure. Adaptive solutions address the fundamental issues that are creating the conflict. Heifetz explains, “adaptive solutions tend to demand a more participative mode of operating and shift responsibility to the primary stakeholders (and) problem solving takes place in their hearts and minds” (Heifetz, 1994, p. 121). Adaptive challenges compel people within the organization to face “dysfunctional habits, values, and attitudes;” thus escalating organizational stress. In essence, crisis leadership is recognizing that technical solutions may be essential to diminish immediate danger, but are insufficient for long-term organizational growth; which requires innovative and adaptive approaches (Goethals, 2004, p. 291).
The horizontal axis of the crisis lifecycle model is composed of three phases: preparation, emergency, and adaptive. Prior to any crisis, an organization is in the preparation phase. During this time, leaders should be cognizant of tremors or signals of misplaced values and behaviors. Complacent organizations are ripe for crisis.
The transition point from the preparation phase to the emergency phase begins when an eruption is followed by institutional awareness of the crisis (point A on Figure 1). Stress and disequilibrium become unendurable and the survival of the organization is at stake. The transition point from the emergency to adaptive phase (point B on Figure 1) is difficult to distinguish and occurs when the pressing danger is controlled. Sadly, leaders and followers don’t want to face these hard challenges, particularly after overcoming the immediate crisis. They do not take into account the urgency, attention, and opportunity gained. Staying in the learning zone after the crisis is the most complicated, least understood and largest delineator of leaders who effectively navigate crisis.
The Preparation Phase
Once you understand why leaders are ineffective at adapting their organizations during the preparation phase, then you can understand crisis. Without a crisis it is extremely difficult to move an organization from a state of comfort to a state of growth. Change threatens stable relationships, balance of power, standard operating procedure, and/or the current distribution of resources (Heifetz, 1994). Even when leaders are aware of their organization’s need for change, they struggle with the paradoxical requirement to provide direction without causing pain to the organization (Heifetz & Linsky, 2002). Leaders must also continually balance the severe pressure to remove stress from their organization while fighting the tendency to return to the status quo. In order to facilitate organizational adaptation or prior to crisis, the leader must establish credibility and create an atmosphere that allows people to face change in relative safety. It requires them to lead from the front.
Another way that a leader can prepare an organization for crisis is to recognize, prioritize, and mobilize awareness for change. The leader must understand and focus on the core purpose of the
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organization. This strategy is at the crux of understanding how an organization’s values are related to a changing environment. Positive illusions, self-serving biases, and a tendency to discount the future often prevent leaders from listening to their environment and gaining much needed feedback. Sometimes leaders are unable to overcome the state of denial or the awareness of indicating tremors (Bazerman & Watkins, 2004).
Organizations need a structured dialog, systematic decision analysis, and they must conduct continuous planning in order to ensure that actions are prioritized toward the organizations long-term health. Unfortunately, leaders often tend to ignore problems and avoid making the much needed hard choices; this is why it is important to build the team within the organization. Leaders who construct effective teams are able to rapidly respond to crisis in a unified manner. It is the leader that overcomes these obstacles and mobilizes resources toward learning, who may avoid crisis altogether.
Emergency Phase
The emergency phase begins when the crisis erupts. If an organizational leader fails to examine their fundamental assumptions of the world, connect the dots to see the big picture, or think differently from everyone else, that leader risks experiencing devastating tragedy and crisis. The most important factor during the emergency phase is to mitigate the threat and reduce disequilibrium to a level where the organization and people within are at a safe level (Stern, 1999). A leader can leverage an organization’s high expectations for security as capital for autocratic and technical solutions that will reduce the immediate stress; unfortunately, without addressing the underlying misalignments, crisis will return to the organization. A timely intervention is key to mitigating the immediate threat and limiting long term danger (Stern, 1999). At this time it is perfect for a leader to use quick, technical fixes to reduce organizational stress to levels that are tolerable. The leader must, however, weigh the need for action against the uncertainty that surrounds the event.
First impressions of the crisis are usually accompanied with limited factual information that often misses the underlying causes. Because of this, it is advantageous to focus on the core purpose when formulating the initial response (Mitroff, 2004). A leader must not be overcome by the urgency of the crisis; instead the leader must step back and draw from the guiding principles of the organization. The leader must weigh the quick decisions against the realization that stress reduces cognitive abilities (Goethals, 2004). Even when they do not apply perfectly, utilizing standard operating procedures may help to lower the tension due to the routine being calming and reassuring to people within the organization (Heifetz, 1994). As information becomes available that helps to clarify the situation, action and communication become even more essential so the leader can tell the story to the organization and get their backing. Leaders must explain the facts of the situation and the actions that are being taken. People begin to relax when they see a calm, poised leader relating to their loss (Heifetz). All of these responses are crucial to seizing the initiative during the emergency phase.
The Adaptive Phase
The adaptive phase begins when the organization returns to a sense of stability. The leader must take advantage of the fleeting organization mandate to address the underlying cause of the crisis so that the event will not be repeated, even though the immediate crisis and danger is under control. The leader has an opportunity during this phase to change and grow, develop new procedures, alter the organizational culture, and help the organization to profit from the crisis. Technical solutions may still be needed during this phase, but the leader must focus on reorienting the organization to face tough choices. The adaptive phase requires a balancing act between maintaining urgency for change while at the same time fostering a sense of safety and security.
Crisis provides us with the ultimate signal that we have ignored, avoided, or failed to recognize the most pressing issues of the changing environment. As situations worsen, signals and tremors foreshadow impending disaster, giving us an opportunity to prepare for or adapt to it. Sadly, most institutions resist the needed change and prefer to chimera of safety that is provided by the status quo. When disaster strikes, the leader must refocus the organizations resources and attention on survival. The leader must use
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this small window of opportunity to seize the initiative. Yet when survival seems assured, leaders face a crucial choice. The leader can either harness the urgency and attention provided by the crisis to alter the organization with the environment or risk the return of crisis and danger.
CRISIS LEADERSHIP STRATEGIES
Our research has led us to uncover some essential strategies that a leader must apply to lead their
organization out of crisis. These strategies were identified from historical crisis situations that have been written about in the existing body of research. Not every strategy is applicable to every crisis situation and the strength of the strategy varies with the crisis. Similarly, these strategies are not confined to use during a certain, prescribed phase in the crisis lifecycle model. A strategy may fit neatly into one phase of the crisis or it may span the boundaries of several or all phases of the crisis.
Each strategy should be viewed as another tool that the leader has in their tool kit for crisis leadership. The strategies show that it is not important that the leader hit the nail squarely on the head to be effective, the leader must just hit the nail head in some way to make it useful for the organization.
Lead from the Front
“During periods of crisis, people look for a strong leader. They don’t look to committees or to teams; they look for a confident, visibly engaged leader to pull them through” (Harvard business essentials: Crisis management, 2004). Unfortunately, leaders that are hit by crisis often withdraw behind the protective curtain of their peers and lawyers or blame their subordinates and the media (Pinsdorf, 2004). Analysis of crisis situations shows how common and costly this mistake is (Pinsdorf, 2004). The leader must be many things at many times and during a crisis, at an irreducible minimum, the leader must be visible, poised, courageous, committed, and attentive. If an individual’s job during a crisis is to lead, then he must assume the role and do it well (Harvard business essentials: Crisis management, 2004). The leader must understand the importance of people seeing him face the challenges head on, walking the walk and talking the talk as it were (Witt, 2002). The leader must create opportunities for visibility and use the power of his role as a leader to provide assurance, direction, and inspiration.
Visibility & Image
Peter Arfenti conducted a study of the September 11, 2001 tragedy in New York City and this study clearly validates the power of a visible leader (Harvard business essentials: Crisis management, 2004). Arfenti found that “the most effective leaders during the crisis displayed high levels of visibility” (Harvard business essentials: Crisis management, 2004, p. 87). Those leaders understood that people needed concrete evidence that their leaders were concerned about their distress and were working to make things better (Harvard business essentials: Crisis management, 2004).
However, a visible leader must present the right image. “A crisis can quickly expose a leader’s hidden strengths as well as his core weaknesses” (Klann, 2003, p. 1). Former Federal Emergency Management Agency (FEMA) director James Lee Witt wrote that leaders who handle crisis best are the ones that think of others before they think of themselves (Witt, 2002). Fortunately, “crisis frequently brings out courage, honor, selflessness, loyalty” (Klann, 2003, p. 8) and many other positive behaviors in leaders. “During a crisis, a leader’s first mechanism to contain distress must be to contain himself. If a leader remains poised and indicates through his calm demeanor that the situation is serious but that there is no cause for panic, he reduces the possibility of one” (Heifetz, 1994, p. 140).
Demonstrate Courage
Courage is not the absence of fear, but the ability to act in its presence (Collins, 2003). Whether a leader is the departmental director or a corporate CEO, if the resources are being threatened, it is imperative that he demonstrates courage and accept responsibility for dealing with the situation (Witt, 2002). John Kennedy reminded us that courage is the willingness to speak “truth to power.” “Demonstrating courage is one action that is indispensable if a leader expects to mobilize people”
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(Bazerman & Watkins, 2004, p. 215) to prevent, mitigate, or learn from a crisis. Many great leaders throughout history made their reputations through their courageous actions before, during, and after crisis; often in the face of significant uncertainty and resistance (Bazerman & Watkins). A demonstration of courage is central to crisis leadership because it signals the leader’s “willingness to act against one’s own and other’s short-term interests to avoid heavy long-term costs” (Bazerman & Watkins, p. 12). Additionally, it puts members on notice of the need for action (Bazerman & Watkins).
Show Commitment
A leader must show that he is committed to see the task through to successful completion. A leader that demonstrates the ability to accept the harsh reality brought on by the crisis, yet continues to persevere, demonstrates a personal investment in the team and their mission. Perseverance sends a clear message about the leader’s commitment and creates an opportunity for the team to rally to achieve a common goal. Similarly, if a leader signals a lack of personal investment in the team and mission, “he presents an invitation to the people who are uncommitted” (Heifetz & Linsky, 2002, p. 51) to dismiss his perspectives and push his agenda aside.
Maintain Perspective
Leaders must ensure they don’t lose sight of their ultimate goal. Regardless of where a leader is in the lifecycle of a crisis, it is imperative that he maintain perspective. “Occasionally, leaders get so caught up in the action and energy that they lose their perspective, their wisdom” (Heifetz & Linsky, 2002, p. 165). Franko Bernabe, CEO that successfully transformed Italy’s large energy industrial group Eni, was very much aware of this trap (Harvard business essentials: Crisis management, 2004). He understood that executives leading their companies through crisis often don’t have time to think. They don’t have the time to tune-in to their organization and environment; they only have time to react. Consequently, he walked to work every day. He said that this gave him an extra half hour to think (Harvard business essentials: Crisis management). Bernabe believed that the ability to step away and think clearly is “one of the most critical skills a crisis leader must have (Harvard business essentials: Crisis management). Heifetz describes this stepping away or need to get perspective as “getting off the dance floor and going to the balcony” (Heifetz & Linsky, 2002, p. 51). The intended “image captures the mental activity of stepping back in the midst of action and asking, ‘What’s really going on here?’” (Heifetz & Linsky, p. 53).
Focus on the Core Purpose
When people understand and pursue their purpose, a purpose that puts meaning into their life, they can weather any storm. Victor Frankel (1987) discovered this in a Nazi concentration camp. As a trained psychologist he observed that when a person has a greater meaning for living, they lived (Frankl, 1985). Those that had lost purpose died (Frankl). The same can be said of organizations.
Know and Understand the Core Purpose
An organization that has a relevant, acknowledged purpose can survive even the worst crisis. On the contrary, an organization which has no clear purpose, or a valueless purpose such as simply raising capital – as in the Enron scandal, will eventually fail. Successful leaders know they must understand their organization’s core purpose and then ensure that their people appreciate and support it. Both the leader and the people of an organization must believe in something higher than themselves. In planning for crisis, identifying the organization’s core purpose is essential for it will provide a foundation for every action and decision.
Instill Value and Align with Reality
An organization’s purpose must align its values and its reality. If a company’s leaders or personnel are acting contrary to the business’ core purpose, values, or environmental reality; crisis, in some form, is sure to develop. The leader must define what the future should look like, align structures and processes, and inspire people to make it happen despite obstacles (Mitroff, 2004). In this case, leadership is
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influencing the organization to face its problems (Heifetz, 1994). According to Heifetz (1994), “tackling tough problems – problems that often require an evolution of values – is the end of leadership; getting the work done is the essence” (p. 26). The leader must confront and close the gaps between his organization’s values, its behaviors and its realities. This may require the organization to endure a period of significant, adaptive change. In this situation, “it becomes critically important that the leader communicates, in every way possible, the reason to sacrifice” (Heifetz & Linsky, 2002, p. 94). He must justify “why they need to sustain losses and reconstruct their loyalties” (Heifetz & Linsky, p. 94). People need to be reassured that the final results are worth it (Heifetz & Linsky). Provide Vision and Embody Values
Where the purpose and values are the foundation of the organization’s vision, a leader can leverage this vision as a rallying point to provide stability to employees during a crisis. But to make this vision truly credible, the leader must embody and be seen living the organization’s purpose and values. Successful crisis leaders know that a purpose, value, and vision system that have been effectively communicated so employees understand them, feel ownership of them, and endorse them, become a powerful influencing tool during all phases of a crisis. The vision, grounded in values, will clarify what is, and is not important to the organization. Additionally it can serve as a compass for action, providing direction and stability to people who become unhinged by the crisis (Klann, 2003, p. 14). A leader must also remain mindful of his organization’s purpose and vision when overseeing the crisis planning. The vision will ensure that crisis actions are in line with the mission, goals, and objectives of the organization (Klann). During the crisis, a successful leader can provide stability and security as well as reduce anxiety by consistently returning to the organization’s values and vision (Klann). Consistently Assess and Update Purpose
A leader must periodically reassess the organization’s purpose and values to ensure they remain relevant to the current and future environment. He should look at how well the purpose prepared the organization to identify or avoid a crisis and if it enabled or hindered the response. Based on the outcome of the analysis, the leader may want to realign or redefine the organization’s purpose to make it more relevant to the environment, current and future operations, and especially crisis (Klann, 2003, p. 63). Build a Team
The success of any business organization hinges upon successful organizational team building. The question is sometimes ask, why have a team? And the answer is rather simple; the success of any organization cannot be accomplished by managers or leaders alone. To build a successful team begins with the leader who has been placed in the position to build a bona fide, competent, and resourceful team for the development, improvement, and the eventual fulfillment of the desired mission of the organization (George & Jones, 2005).
Before an appointed leader can begin the team building process, the leader must first recognize the mission of the organization and then organize the people and resources to fulfill the mission of the organization. This idea of fulfilling a team based mission is supported upon the notion of having a vision. A leader must first develop the vision and have that vision in place before she can identify people, skills, and behavior needed to meet challenges of the organization (Heller & Hindle, 1998).
Once the leader has developed the mission vision for the team concept, the process of team building must now focus on bringing together the right people with the right skills. The selection process of team members must be focused on four critical areas:
• Intellectual integrity • Results • The ability to make decisions • The ability to think conceptually
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Leaders must select team members, who are superfluous with intellectual integrity and who are willing to confront reality at all times with total honesty. Leaders want to select team members who are results based oriented, i.e., not only are they willing to talk the talk, but they are also willing to walk the talk. Results based team members are doers and they focus on finding the right solutions. Leaders want to select team members who are not afraid to make decisions. They cannot be afraid to make decisions that are based upon empirical evidence whether in whole or in part.
Furthermore, a leader should select team members who are willing to step up to the plate despite the possibility that their decision just might be wrong in spite of their best efforts. Leaders should also select team members who have the ability to just use good old plain common sense and wisdom. Finally leaders should select team members who have the uncanny ability at conceptual thinking. Teams should be superfluous with conceptual thinkers who can put the pieces of the puzzle together and figure out the right answers in timely fashion.
Once a leader has selected teams members based on the fundamental skills needed to accomplish the task at hand, the leader is now put back under the microscope and she is now the being assessed by her followers based on her own leadership style. You see, one of the key ingredients a leader must possess in their attempt to build a successful team is the element of transparency. This must be apparent from the very start of the team building process. Leadership transparency is just not only about honesty, credibility, and integrity; it is also about interacting with team members through straight talk, openness, and accountability. Leaders must understand people are not willing to follow them until that indispensable element of transparency is exhibited in her style of leadership early on the process (Klits, Mandredi, & Lorber, 2007).
Furthermore, leaders have to realize the members of the team are not willing to follow them until they are satisfied and know that she truly care about them. In this aspect of team building relationships, leaders must adhere to the principles of Abraham Maslow hierarchy of needs and these needs must be incorporated into the team building process. From an organizational perspective the hierarchy of needs reflect:
a) Physiological Needs – In bona fide organizational settings, team members want to know that they are being adequately compensated for their participation towards the mission of the organization. Fair and equitable compensation is a means to buy food, clothing, and have adequate and fair housing.
b) Safety Needs – In bon fide business organizational setting, team members desire to know they have job security, adequate medical benefits, and safe working conditions.
c) Belongingness Needs – In bon fide organizational settings, team members desire to have a good relationship with each other and their leader. They desire to be a member in good standing with a cohesive work group, and they want to be included in organizational social functions such as company picnics and holiday parties.
d) Esteem Needs – In bona fide organizations, team members desire to know that their work product may someday offer a chance for promotions; moreover, team members desire to be readily recognized for job performance.
e) Self-Actualization Needs – In bona fide organizational setting, team members desire to know that they will have the opportunity to use their skills and abilities to the fullest and they strive to be all that they can be in job performance (Mears & Voehl, 1997).
The next important steps in the process team building process, is the leaders’ responsibility to nurture
the relationships among team members and promote internal team building. Leadership nurturing and internal team building is supported by giving team members the required training, education and development needed so that team members can enhance their knowledge, skills, and abilities to assist the leader in accomplishing the mission of the organization. Astute leaders of authentic organization understand the future success of the team hinges on how effectively each member of the team is developed. The right training, education, and development helps the internal system thinking process whereby team members learn how their knowledge, skills, and abilities will affect the organization in
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whole and part through intellectual conceptualizing and application. Undergoing this team building process allows team members to develop their natural talents and advance their careers. The nurturing and internal team building process from a team perspective must be superfluous, i.e., leaders must continually coach and motivate followers with the notion to help them find meaning in their work, and to instill in them that their efforts do in fact matter for the good of the organization.
The external process of building a team gives team members the opportunity to view how their mission task affects others and organizational systems outside the walls of their own organization. Again this manner of system thinking is but one motivational factor that encourages creative thinking among team members and generates new ways of doing things. External team building provides opportunities to build relationships outside the parent organization in an organized fashion, and it offers a way for teams from multi-variant organizations to work on critical problems that can and will have long term globalize effects on business organizations (Ponder, 2001).
Lastly, continuous successful team building still rest upon Abraham Maslow hierarchy of needs, but of one that I would like to point out that is especially important and that is “Esteem Needs”. To maintain the continuity of the team and its mission, recognition of team members go a long way with stabilizing the mission of the team, and in this 21st Century the idea of using a holistic approach in recognizing and rewarding team members will play an important part in building and maintaining an effective team. Continuous Planning
In addition to leadership vision and organizational mission statements, every thriving organization succeeds by having a clear plan that allows the organization the wherewithal to march forward towards its goals and objectives (Lewis, Goodman, & Fandt, 2004). Therefore, unambiguous planning leads to greater and sustained goal achievements. Peter Drucker once said “Long range planning does not deal with future decisions, but with the future of present decision” (Griffith, 1990, p. 254).
Organizational planning must incorporate SWOT techniques that allow the organization to sustain a clear path towards reaching its goals from year to year. SWOT is the acronym that stands for Strengths, Weaknesses, Opportunities, and Threats. Applying SWOT techniques in the business realm is but one aspect that helps business organizations conduct the kind of organizational analyses that helps to mitigate or prevent organizational crises.
From a team perspective the notion of identifying organizational strengths and weaknesses in the planning process, offers leaders and team members an opportunity to internally assess and identify those probabilities and mechanisms that will assist or hinder the organization from attaining its goals. Some examples of organizational strengths possibly include:
• Competent personnel possessing relevant knowledge, skills, and abilities; • Staff development and training programs; • Customer loyalty; and • Capital investments and strong balance sheets; and • Efficient procedures, systems, and social responsibility, etc.
Some examples of weakness:
• Personnel lack of awareness of organizational missions, objectives, and policies; • Deficiency in IT department; • Lack of new product and services; • Non-compliance with appropriate legislation; and • Inadequate leadership, etc,
Taking into consideration opportunities and threats in the planning process provides leaders and team
members the opportunity to scan the external environment related to the industrial conditions aiding in identifying and evaluating those elements that may positively or negatively impact the organization (Heal, 2000).
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Some examples of opportunities include: • New customer base and new markets; • New products and service lines; • New technology; and • Personnel training opportunities, etc.
Some examples of threats include:
• New legislation; • Lack of training, education, and development; • Price competitions; and • Customer rejection, etc.
Coupled with organizational planning is the importance of continuous planning which integrates the
continuation for contingency planning. Continuous planning within the context of business organizations should be directed in such a manner in which all processes within the organization is connected, a condition which reflects system thinking. Continuous planning further incorporates the continuation of applied SWOT techniques that allow organizational leaders and team members to adjust to the sudden impact of changes that ultimately affects the organizations position locally as well as globally.
Considering the broad base of continuous as well as contingency planning, the gravity of these important tenets is principled in the following:
• Identifying Risk and Potential Crises • Establish and Sensor Monitoring • Developing a Crises Action Plan • Testing the Crises Action Plan
The idea of continuous external environmental scanning coupled with SWOT techniques; allow
leaders and team members the opportunity to obtain information about events, trends and relationship, which can be assimilated into the continuous planning process. These congruencies enhance and sustain the present and future goals of the organization, and they greatly assist with mitigating potential crises through appropriate crises management measures. The aforementioned tenets, among many other flexible elements, are essential for organizational survival. Moreover, the aforementioned tenets aid in balancing the scorecard as the process of ongoing planning continues within the organization.
The amalgamation value of applied SWOT and Environmental Scanning techniques in an organizations continuous planning process provides a systematic approach that helps to identify risk and potential areas for crises. To identify those risk and potential areas for crises, organizational leaders and team members must consistently perform organizational audits both internally and externally. Auditing must occur throughout all levels of the organization and it must take into consideration all personnel, customers, suppliers, and external competition. As part of the ongoing planning process, organizational leaders and team members must take on the role of an assassin. Taking on this role allows for the proverbial thinking out of the box concept, i.e., thinking of creative ways in which internal and external conditions can drastically bring about a negative change to the organization (Crisis management: Master the skills to prevent disaster, 2004).
Applying SWOT and external environmental scanning techniques contributes to establishing and putting in place those sensory monitoring processes that significantly aid in mitigating potential crises situations. Sensory monitoring includes, but is not limited to:
• Adherence to effective internal and external communications from all constituents of the of the organization regarding potential areas of concern;
• The development and periodic review of comprehensive business data; and • A total organizational audit from top to bottom to flesh out potential areas of crises concern
(Leading through a crisis, 2009).
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Throughout the continuous planning process, organizational leaders and team members must be able to develop the foresight for crises anticipation. The progressive development of this foresight should lead to the development and preparation of action plans designed to neutralize and contain perceived potential areas of crises. The crises plan must be able to:
• Identify obstacles and fail points, i.e., what factors can and will fuel a potential area of crises; • Create a resource plan, i.e., identify those resources the organization might need on board to
aid in a crises; • Create a communication plan, i.e., create a communication plan that is designed on a need to
know basis both internally and externally; and • Distribute the resource and communication plan, i.e., all the key players who are part of the
crises action process should be issued a copy of the resource and communication plans and measures must be taken to ensure those key players understand the resource and communication plans (Leading through a crisis, 2009).
Once organizations has identified those obstacles and fail points that can have a drastic effect on the
operations of the organization, the plan for defeating those obstacles and fail points are not complete until the leaders and team members test those plans under simulated and rigorous conditions. Scenario test activities is a means by which organizations can measure the future outcome of a crises situation, and actual simulated scenario activities help to improve the quality of continuous organizational planning.
Creative simulated test plan activities will reveal with clarity what can actually go wrong in the environment, and testing the plan offers a chance for organizational personnel to train and prepare for the future crises events. Creative scenarios activities ensures that organizational members are focused on priorities and the plans that have been developed are aligned with changes that can take place both inside and outside the organization. Moreover, organizational creative scenario activities allow for organizations to project negative events that could possibly affect its environment 5, 10, 15, and even 20 years down the road. Continuous planning as well as the testing of those plans through scenario training ensures that each potential crises event has a developed strategy to suppress its effects and increases the survivability of the organization (Tracy, 2010).
Mitigate the Threat
“Procrastination is the archenemy of crisis management” (Witt, 2002, p. 1). Frequently, crises emerge or go from bad to worse, simply because someone failed to act (Witt). When a crisis presents itself, leaders must take action. “Tough decisions must be made and made fast” (Harvard business essentials: Crisis management, 2004, p. 20). Successful crisis mitigation requires immediate triage – the bleeding must be stopped (Harvard business essentials: Crisis management, 2004).
A crisis event can threaten any organization at any time during the business life cycle (Hargis & Watt, 2010). Therefore, it is important to understand the actions that may be taken to mitigate any loss and facilitate a speedy recovery for the organization. For our purposes, let us define the term, crisis, as any situation or event that creates disruption to the organization’s normal operations. We would also suggest that a time element exists in a crisis event. This time pressure is the result of the perceptions of the business managers/leaders of “the amount of time they have to search, deliberate, and take action before losses being to occur or escalate (Ford, 1981). Therefore, mitigation of the events occurring becomes of paramount importance. With this in mind, it is critical for business leaders/managers to have an understanding on how to lead and manage crisis events. It is obvious that no organization can “totally control or prevent the occurrence of any potentially negative crisis event” (Louden, 1992). Moving forward with this theory, we suggest in order to navigate these events strategic planning and strategic leadership are of vital concern.
Rigorous strategic planning can assist your organization to clarify its goals and deploy the available resources in a manner that is consistent with the planning. It also assists in maintaining the focus of your organization on those issues. It may also assist in averting some unexpected developments and help
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mitigate others. Thus, sound strategic planning can enable your organization transcend the circumstances you are encountering and avoid the panic of entering crisis management (Lettow & Mahnken, 2009). Realistically, situations, large or small, can enter our lives instantly. More recently, the economic situation we are facing is very real and has affected virtually every type of organization at some level. “The attitude of those responding to the crisis and the cohesive nature of the teams involved is critical to the success of the effort” (Van de Walle & Turoff, 2007). To mitigate any encountered situation, the organization must first recognize what is being encountered. It is this detection that influences the organization’s ability to mitigate the encountered event(s). Clearly, the scale and scope of the event can and most likely will produce complex and difficult situations that must be handled. In some instances, the initial response by organizational leaders/managers is to deny that an event has taken place that requires the organization to respond. This assumption results in the belief that no changes or reactions are needed within the organization. These leader/managers suggest that the issue is outside their realm of influence and that by “pulling together they can weather the storm” (Ford, 1981). There is a very large body of both literature and practical real-world experience that indicates that ignoring an event will not make the event disappear.
The organization’s reputation among its various stakeholders (employees, stockholders, customers, the community where the organization is located, etc) and what those stakeholders believe regarding the previous behaviors demonstrated by the organization will also affect the mitigation and recovery effort. There is evidence that suggests that an organization’s reputation is a strategic resource to be used wisely and that same reputation may assist organizational leaders/managers during the mitigation and recovery phases of a crisis.
Take Action
“When crisis strikes, a leader must initially think like an EMT. He must quickly identify the problem and determine what actions his organization can take to stabilize the situation” (Crisis management: Master the skills to prevent disaster, 2004, p. 67). These actions may only be technical solutions, but they will buy the crisis action team time to implement the appropriate actions form the crisis action plan (Crisis management: Master the skills to prevent disaster, 2004). With the crisis action team in execution mode, the leader should continue to search for new and decisive ways to facilitate damage control and move the crisis out of the danger zone (Bazerman & Watkins, 2004). At this point, information is critical to the leader but it’s also one of his biggest challenges. His problem may be that there is too little information available, or it may be that there’s far too much, with no way to sift out what is important (Crisis management: Master the skills to prevent disaster, 2004). Consequently, the requirement for the leader to bring clarity to a murky situation might well be describe the early phase of most crises (Crisis management: Master the skills to prevent disaster, 2004). Despite this information challenge, the leader must continue to shape the response through actions, even when the response may be based on inaccurate or incomplete information (Bazerman & Watkins). Decisive, identifiable action is critical at this point because it reduces individuals’ perceived level of disequilibrium. Additionally, it gives the appearance that responsibility for the problems has been shifted to the individuals taking action. People will feel that the danger is retreating when they see the leader is paying attention (Heifetz, 1994). Be On the Scene
Individual’s need to know the leader is involved. This critical point cannot be overstated. People want to see their leaders in a crisis (Harvard business essentials: Crisis management, 2004). The leader should be physically on the scene as soon as possible. His physical presence sends a loud and clear signal that he thinks this situation is extremely important (Harvard business essentials: Crisis management). Similarly, a leader’s absence sends the message that he has other priorities (Harvard business essentials: Crisis management). Physically being at the scene also gives the leader the opportunity to embrace his central leadership role, capture the initiative, seize power and take control (Bazerman & Watkins, 2004). During periods of crisis, people look for a strong, confident, and visibly engaged leader to pull them through (Harvard business essentials: Crisis management). Sadly, analysis of crisis after crisis repeatedly reveals
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that leaders hit by crisis often withdraw behind the protective shell of peers and lawyers or they play the blame game with subordinates and the media (Pinsdorf, 2004). Consult the Team/Find Experts
During crisis mitigation, a leader will find himself deluged with time sensitive decisions. Information quality may be marginal at best and there is little time to consider alternative courses of action or think about unintended consequences. The organization’s crisis action team exists to address this challenge and take pressure off the leader. Never the less, a leader’s capacity to make good decisions will undoubtedly be strained, making it imperative that he seek expert advice and counsel (Harvard business essentials: Crisis management, 2004). Small group decision making can provide a backstop to help curb a leader’s impulses, encourage reflection and critical dialogue, and point out problematic assumptions and unrecognized implications of a potential course of action (Stern, 1999). Likewise, engaging subject matter experts from outside the organization as well as individuals, companies, or industries that have an interest related to the crisis can bring fresh, critical thought and ideas to the table (Mitroff, 2004). But leaders should also consider the warning to “beware of conventional wisdom – it may be wrong” (Stern). Tell the Story
Another issue that must be part of any discussion on crisis management and leadership is the issue of communication. The communication process is critical during normal business operations; however, it takes on an even more criticality during a crisis. On June 28, 1863, three days prior to the Battle of Gettysburg, General George Meade was made the commanding officer of the Army of Potomac by President Abraham Lincoln. Realizing that a major battle was close at hand, Meade needed information- accurate and complete information – in order to prepare the Army for the forthcoming task. General Meade treated his subordinates as colleagues rather than as subordinates. Meade believed that “important plans may be frustrated by subordinates, from their ignorance of how much depended on their share of the work” (Coddington, 1968). As history shows, Meade did receive accurate and complete information and passed that information on to his subordinates, which resulted in the defeat of Confederate forces under General Robert E. Lee. What was true then is true now; communications must be accurate and complete for senior leaders/managers within the organization to formulate appropriate responses to the situation and the recovery effort. It is equally important that senior leaders/managers also provide subordinates and with complete and accurate information. As Ford (1981) suggests, information distribution and distortion is likely to place the organization at an even greater disadvantage.
Effective communication is critical to leaders through all phases of the crisis. A leader should capitalize on all forms of communication to tell the story and ensure the widest reception. If a leader communicates effectively, he can at least help to frame, if not control the story. Failing to communicate will result in a misinformed public that may go so far as to damage or destroy the organization (Harvard business essentials: Crisis management, 2004).
In the end, how well or how poorly a crisis goes for an organization will have much to do with its communication. If an organization’s communications seem open and truthful and the leader is seen as genuine, compassionate, and confident in the future, the leader has already gone a long way towards successfully managing the crisis (Witt, 2002).
Be the Spokesperson
Selecting the correct spokesperson is also central to the effectiveness of an organization’s communications. It is imperative that the spokesperson have inner discipline and poise. Crisis will escalate the stress for both the spokesperson and the audience. Despite the stressful environment, a spokesperson must not show distress; he must have the emotional capacity to endure the uncertainty, frustration, and pain that is ever present in a crisis (Heifetz & Linsky, 2002). Whenever possible, the spokesperson should be the identifiable leader, usually the CEO (Harvard business essentials: Crisis management, 2004). When the crisis involves highly technical issues that the CEO cannot effectively address, a team approach should be used (Harvard business essentials: Crisis management). General
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Tommy Franks used this technique very effectively during the Iraq Campaign. General Franks would provide the strategic overview and key points but would hand-off detailed questions to subject matter experts (Harvard business essentials: Crisis management).
Be Honest and Timely
Rapid, honest, and transparent communication is the lifeblood of successful crisis management (Witt, 2002). The crisis leader must provide all available information as timely as possible. His message must always be forthright, accurate to the best of his ability and reinforced with understandable facts (Harvard business essentials: Crisis management, 2004). If there is ever any doubt, his guiding principle should be to err on the side of over disclosure (Harvard business essentials: Crisis management). The leader must also get his side of the story into the public’s mind early and often (Harvard business essentials: Crisis management). When he doesn’t, his organization is often convicted by the court of public opinion because a statement by the leader is too late or overcome the medias’ negative story and the perceptions that have been fostered (Mitroff, 2004). Warren Buffett’s advice is to “first state clearly that you do not know all the facts. Then promptly state the facts that you do know. One’s objective should be to get it right, get it quick, get it out, and get it over” (Harvard business essentials: Crisis management). An organization’s crisis management team may be great and its crisis management plan may be complete, but if a leader cannot communicate his message during the crisis, the organization will fail (Harvard business essentials: Crisis management).
Shape the Message
A leader must also determine the principle message he wants to convey in the story. For starters, it should reduce fear and contain empathy for the victims of the crisis. Many victims will sustain incredible loss; financial, emotional, and spiritual. When a leader genuinely conveys a feeling of empathy to the victims, it bolsters the confidence, will, and character they need to recover (Witt, 2002). The story should also tie into the organizations core purpose and values. A message developed from the organization’s purpose and values will be calming and reassuring because of its consistency. Organizations that know what they stand for and know where they are going before a crisis hits, inevitably mange it better (Crisis management: Master the skills to prevent disaster, 2004).
Profit from the Crisis
Time is not a leader’s friend. The longer a crisis drags on, the more likely it is that the organization will be associated with trouble and conflict in the public’s mind. Similarly, while the organization is embroiled in crisis, it is likely that it is not working at peak efficiency. Employees will become increasingly concerned with the health of the company and defections will increase. Relationships the leader has developed with suppliers, customers, investors, and stakeholders, which strengthened in the early stages of the crisis, will become increasingly strained. The leader must press on to the next move; he must resolve the crisis, quickly (Harvard business essentials: Crisis management, 2004).
At some point the crisis will end and the leader should declare the crisis is over. The leader’s declaration serves to stand-down the crisis action team, turn off the crisis mind-set, and focus on adapting the organization while searching for opportunities. To give closure, a leader should meet with his organization. He should explain what happened and why it happened. He should describe how things have been resolved and where they stand today. Finally, he should reiterate the company’s core purpose and values and ask everyone to do his best moving forward (Harvard business essentials: Crisis management, 2004).
Keep Moving
Once a leader has mitigated the threat, that is, moved the crisis out of danger zone, he can begin efforts to profit from it. He must keep an eye on the threat, but his primary goal should be to move forward as quickly as possible with actions to end the crisis completely. Failure to guard against the threat
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and move forward gives the crisis an opportunity to mutate and break through the holding actions (Crisis management: Master the skills to prevent disaster, 2004).
Learn From the Crisis
A lessons learned session, or after action review should follow any significant event, especially a crisis. Participants should identify what went right, what went wrong, and what should be learned from the event. The leader should add the notes from the after action review, as well as all relevant crisis documents, to the historical record so valuable experiences are not lost (Crisis management: Master the skills to prevent disaster, 2004).
Adapt the Organization
The leader may feel a lot of internal and external pressure to see the crisis as a technical problem, with straight forward, technical solutions that can quickly restore the balance (Heifetz & Linsky, 2002). But he must not squander the urgency, attention, or opportunity the crisis has given him to address the difficult adaptive task of reinvention and simply return to status quo.
CONCLUSION
During a time of uncertainty, opportunities are available for those organizations that are prepared. As
was previously stated, managers tend to be protective and hope that over time things will work out. Leaders/managers that use their imaginations, pay attention to the indicators, and listen to understand experts both inside and outside their organizations will find recovery faster than those that enter into a protective state of mind. Those leaders that understand what caused the crisis and work to create a lasting value for the organization’s customers, employees, and shareholders will be successful when compared to those that use protectiveness as a method of dealing with the crisis. A true leader understands that the world that existed prior to the crisis will not return to its original condition, therefore, we need leaders/manages that will understand how to benefit from those events that occurred during the crisis. During a crisis, true leaders are those who believe in people; create a feeling of belonging and confidence that the organization will emerge from the crisis in a stronger position than it was before the crisis. Leadership exists because of people. It is for people and with people that we get the concept of leadership. Leadership does not exist as a concept in a vacuum; it exists because it is with this concept that we, as a people, are able to achieve great things.
For years crisis management has been synonymous with reactive leadership. While this type of leadership is often an unavoidable reality, this paper introduced a model that may be used to understand the general life cycle of a crisis, but what is the utility of such a model?
Applied to specific situations, this model can serve as a lens through which leaders may view their organizations. This lens can frame the crisis and help leader’s understand the situation they are facing. Further, the model provides the leader perspective and context during the crisis. This perspective gives the leader a birds-eye view of the situation. The crisis life cycle model addresses the theory of crisis analysis, but the strength of the tool is put into practical terms when the crisis leadership strategies are applied to the model. The strategies represent the prescriptive portion of the paper. Knowing where an organization is in a crisis is not helpful unless the leader also knows how to manage this new reality.
We believe that each crisis situation is unique and therefore it is impossible to develop a checklist that can be universally applied. However, the theory and strategies addressed in this paper may serve leaders well, if used to think about where their organization may be in the life cycle of a crisis and the appropriate strategies to be employed to meet their unique challenges.
The intent of this paper is to provoke thought within leaders at every level concerning the management of crisis situations and leadership in this environment. The skills required to lead through disaster must be continually honed to prepare for, respond to, and learn from crisis.
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The Intuitive Manager.pdf
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Management 2014
Vol.18, No. 2
The Intuitive Manager and the Concept of Strategic Leadership
Ph.D. Kamila Malewska Poznań University of Economics
Ph.D. Maja Sajdak Poznań University of Economics
KAMILA MALEWSKA MAJA SAJDAK
The Intuitive Manager and the Concept
of Strategic Leadership
1. Introduction
Changes in the managerial environment, which are taking place at an increasingly fast pace and are becoming less and less predictable, are leading to a situation where information is becoming quickly outdated, and in some cases it is already not very reliable by the time of its acquisition by managers. Moreover, the amount of information that managers acquire is increasing every year, which means that the level of saturation brings about changes in the decision-making model: from decision-making under conditions of incomplete information towards conditions of information overload (Kowalewski 2012, p. 504). Decision-makers often work under time pressure and are unable to carry out time-consuming analysis. They also use information processing procedures typical of rational decision-making processes. This leads to the need for employing intuition, which allows for an analysis of signifi cant information resources and the identifi cation of those that are essential from the perspective of decision-making. Therefore, one can assume that nowadays the concept of intuitive management seems to be an important
DOI: 10.2478/manment-2014-0041ISSN 1429-9321
45
Management 2014 Vol.18, No. 2
KAMILA MALEWSKA
MAJA SAJDAK
source of gaining and maintaining a competitive advantage. When considering the issue of competitive advantage, the role of leadership in this process cannot be overlooked. Often, the ability to transfer visionary leadership to operational management determines the success of the organization in the market. In the literature on the subject, this ability is referred to as strategic leadership.
The aim of this paper is to show the consistency of an intuitive manager’s traits and skills and a strategic leader’s attributes. The paper consists of three main parts. The fi rst one presents the nature and evolution of the concept of leadership and contrasts the role of strategic leaders with the operational requirements of modern organizations. In the second part, we attempt to defi ne the concept of intuition and characterize an intuitive manager. In the last section of the paper, a strategic leader’s attributes and an intuitive manager’s skills and characteristics are analyzed in order to show how these two categories converge.
2. Strategic leadership and operational requirements of the modern enterprise
Strategic leadership is the ability to combine visionary operational management, i.e., the spread of ideas, but also the ability to embed these ideas in company operations taking into account their limitations. Strategic leadership integrates philosophical thoughts (with the focus on the overall vision, intuition, beliefs and values ) with company realities (resource constraints – material and immaterial). Introducing the concept of strategic leadership, G. Rowe and M. Nejad defi ne it as a synergic combination of visionary leadership and management, with the primary focus on ethical behaviour and decisions based on values . Strategic leadership requires the operational supervision of daily activities, and a simultaneous strategic, long-term responsibility. It assumes the formulation and implementation of strategies for unforeseen events and a consistent implementation of long-term objectives to ensure survival and development. Its assumptions include both strategic and fi nancial control, but an emphasis is put on the feasibility of strategic plans. Strategic leadership involves the exchange of hidden knowledge at individual and organizational levels. Human resources management should be based on training that enables the development of highly skilled, motivated, trustworthy people working in a team (Rowe, Nejad 2009, pp. 2-6).
K. Grzesik (2011, p. 89) indicates that strategic leadership consists in the ability to cope with situations that are diffi cult to predict and to deal with important changes in the environment. This kind of leadership means continuous
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Management 2014
Vol.18, No. 2
The Intuitive Manager and the Concept of Strategic Leadership
adjustments, reorientation and organizational improvement. The essence of strategic leadership is making changes, starting from the direction of company operations to developing a vision for the future and determining the necessary steps needed to implement this vision.
It is diffi cult to imagine the success of Ford, Microsoft, Apple or Polsat without their founders – Henry Ford, Bill Gates, Steve Jobs and Zygmunt Solorz-Żak. The success or failure of a company depends on its leader this is why it is so important how strategic leadership is perceived and how it is implemented. All mentioned above founders share at least one important thing in common – a wide business vision (frequently in the beginning unreal vision) that was implemented in business reality including complete use of business resources and development potential.
A special kind of business is family business where the conditions for leader development are better than anywhere else. The more the owners sphere is connected to the management sphere the easier it is to fully identify oneself with the company. Identifying oneself with the company is the main motivation of a family business leader. Such leaders are often passionate with a mission. They act on intuition that enhanced by charisma, experience, involvement and courage leads to success like in case of: Jan Kulczyk, Zygmunt Solorz-Żak or Wojciech Kruk. The primary objective of a family business is to survive which is also the main motivation and delivers job satisfaction. On one hand strategic leadership in family business provides development and business value increase on the other hand it helps to maintain permanent family relations (May, Lewandowska 2014, pp 194-200).
G. Avery (2009, pp. 38-39)presents four sets of ideas which he described as classical, transactional, visionary and organic leadership. Time is the basic dimension in which the analysed issues can be put, and which helped the author to order it chronologically. They also vary in terms of their leadership basis, which covers the range from dominance (in the case of traditional leaders) to a complete departure from individual, formal leadership in the paradigm of organic leadership (as well as in the strategic one). As the leadership types evolve from classical to organic ones, the voluntary involvement of employees is also growing, as opposed to forced subordination. Another criterion that differentiates the analysed paradigms is attitudes to the leader’s vision. The paradigms have been ordered according to the growing dependence on the leader’s vision.
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Table 1. Leadership paradigms
Leadership paradigms Classic Transactional Visionary Organic
The most important period of time
From antiquity to the 1970s
From the 1970s to the mid-80s
From the mid-80s to 2000
After 2000
Leadership basis
The leader’s dominance based on respect and authority, based on commands and control
The impact on the group members exerted in face to face contact, with their opinions and feelings taken into account. Creating the right environment for management
Emotions – the leader inspires group members
Shared interpretation of the group environment. Leaders may emerge from the group instead of being formally appointed
The source of group members’ involvement
The fear of or respect for leaders; an effort made to get a reward or to avoid punishment
Negotiating awards, agreements and expectations
Shared vision; the leader’s charisma; individualized approach to group members
Supporting values and processes common to the whole group; willingness to develop self- identifi cation
Vision
The leader’s vision is not necessary to exact the obedience of group members
The vision is not necessary and may never be articulated
The vision is the most important element; group members can contribute to the leader’s vision
The vision is created in the group; the vision is an important element of the organization culture
Source: Avery 2009, p. 38
In visionary leadership, the leader appeals to emotions and inspires group members to greater achievements. The leader’s charisma, the shared vision and an individual approach to the group are the source of the members’ dedication and commitment. In contrast, the basis of organic leadership is communication. The leadership emerges in the relationships between the changing conditions and the organization members who interpret the environment together. Members of the group create the vision, values and processes, and these are shared.
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In the organic leadership paradigm the group as a whole is the most important. Strategic leadership which combines the features of both these concepts, seems to be an ideal form for businesses in which the need to adapt to permanent changes requires the considerable commitment of employees and good communication, which provides speed and effi ciency in the implementation of assigned tasks (Sajdak 2013).
Table 2. Characteristics of strategic leadership in the context of the requirements for the functioning of a modern organization
Criteria Characteristics of modern enterprises
Characteristics of strategic leadership
Organizational structure
Flat organizational structure, team management
Employees’ self-control, which gives them a sense of purpose and autonomy, limiting the project or group leaders’ supervision
Decentralization of authority
Autonomy and empowerment, teams of employees form the structure of network interactions between autonomous entities
Leaders emerge not only at the top of the structure, but are scattered throughout the organization, their roles overlapping the functions and levels of the organization
Status of employees Learning employees, versatility, employees’ involvement, a wide range of skills
Strategic leaders are able to motivate and inspire creative activities and innovative ideas
Involvement of employees
Full empowerment of employees – their ideas and knowledge are often used
Self-organization of employees, „being their own leaders”
Leadership style Management based on cooperation, leadership is sensitive to change and willing to improve
Willingness to form self-improving teams, reliance on a common vision and deeply rooted core values, as well as a sense of responsibility for their own actions
Source: own materials
Strategic leadership is one of the main research directions in mainstream strategic management. For many years, it has been hotly debated among certain groups of theoreticians and practitioners of management; however, it should be emphasized that the views on this subject were and still are quite diverse.
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The reason for such divergent opinions is probably the fact that the essence of leadership is still one of the least recognized issues in strategic management. J. Polowczyk (2011) identifi es three psychological issues that are the most frequently described in the literature on strategic leadership. These are: intuition, the core of self-evaluation, and passion. In the subsequent part of the paper the issue of managerial intuition, a key component of strategic leadership, will be discussed in more detail.
3. The essence of intuition
An analysis of economic practice, and especially of managers’ effectiveness, indicates that full information is not a suffi cient condition for making the right decisions. An inverse relationship can be observed here: the greater the wealth of information that managers have, the more reduced their effectiveness and ability to make optimal decisions. This is due to the weakening and suppressing of their intuitive potential, which is often replaced by analytical work of little value (Hayasi 2001, p. 61).
As a consequence of technological development, the acquisition, processing, transmission and storage of data and information has ceased to be a major problem. However, the ability to select and identify information relevant to the decision-making process is a much desired skill. It should be emphasized that the speed of decision-making is gaining importance. Time pressure and the large amounts of information that decision-makers are forced to analyse are not conducive to making quick and accurate decisions (Jamieson, Hayland 2006, p. 55).
The trends mentioned above are the reason why intuition is becoming increasingly important in the management of companies, especially in decision- making. Many decision-makers do not appreciate the role of premonition, experience or anticipation skills in doing business, while these are inextricably linked to the use of intuition by managers. According to E. Dane and M. Pratt, people have a natural ability to select information and make a rapid and effective synthesis. However, this process can be disturbed by the use of formalized information processing procedures, which in turn often reduce the effectiveness of these activities (Dane, Pratt 2007, p. 33).
It is worth pointing out that the use of intuition is of particular importance, especially at the strategic level, when decision-makers are forced to solve individual, complex, and unstructured problems (Clarke, Mackaness 2001, p. 148; Shapiro, Spence 1997, p. 63). Empirical studies show that top managers
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do in fact use their intuitive potential in the decision making process. The main functions that intuition fulfi ls in this process are the following (Agor 1998, pp. 206-207): creative (generating a signifi cant number of unconventional solutions), integrative (allows for a smooth transition between the various stages of the decision-making process), informative (allows the fi lling of the gap in an absence of information or the analysis of large amounts of information under conditions of information noise). Determining the role and importance of intuition in management is the fi rst
and necessary step in defi ning this concept. It was derived from the medieval Latin word “intuitio”, which means “whisper” or “premonition”. The synonyms of “intuition” are words and phrases such as creative imagination, premonition, anticipation, instinctive knowledge, a sixth sense, and a sudden insight. It is a psychological concept meaning an immediate act of understanding or perception of a fact, existence, or the relationship between two phenomena or results (Fazlagić 2012).
Therefore, it can be considered that intuition is a way of acquiring knowledge and it represents the thought process which results in the quick adjustment of a given situation, problem or phenomenon to previously known templates, patterns or relationships. It takes the form of a sudden fl ash of inspiration resulting in fi nding a solution to a problem or an answer to a question (Kowalewski 2012, p. 501).
In the literature on the subject, the concept of intuition is not clearly and precisely defi ned. This is due to the interdisciplinary nature of this concept (it has been primarily considered on the grounds of psychology, philosophy and management) and the aforementioned variety of terms used to defi ne intuition. It is possible to identify some common threads or ideas by analysing the defi nitions of intuition proposed by the authors in the fi eld of management (table 3).
Intuition is often confused or identifi ed with a premonition, especially with an emotional or instinctive background. A premonition is a conviction taking the form of feelings or emotions suggesting that something may happen (it usually has a negative connotation). Intuition, in turn, is a thought process taking place in the subconscious, which is not subject to control. It is only possible to accept them and put intuitive solutions into practice, or question and reject them. It is a creative process characterized by a much higher level of abstraction than the process of logical thinking. The result of using intuition is knowledge acquired without the need for rational reasoning, while instinct suggests activities
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that have a strong genetic predisposition. Brain research shows that intuition is a kind of good conduct guideline which occurs in mental processes, just before creative solutions are generated (Fazlagić 2012).
Table 3. Common threads in defi ning the concept of intuition
Authors Common threads in defi ning the concept of intuition
C.G. Jung; K.W. Wild; K.S. Bowers; D.A. Shirley and J. Langan-Fox; S. Shapiro and M.T. Spence; R. M. Hoghard; M.H. Raidl; T.L. Lubarr
Intuition is a part of the subconscious mind (it is embedded deeply in the human mind and it is a spontaneous and subconscious action)
R. Rorty; D. Kahneman; E. Dane and M. Pratt
Intuitive decisions are characterized by high speed (they are immediate and lead to direct associations, which is considered to be one of the main advantages of the intuitive decision-making process)
L.A. Burke; M.K. Miller; M.D. Liebermann
Intuitive actions are based on previous experience (it is assumed that there is a linear relationship between a managers’ intuitive potential and their knowledge and experience), each intuitive decision is unique and subjective, much the same as the unique experience of the decision- maker
J.S. Bruner; D.G. Myers Intuitive decision-making is associated with the decision- maker’s conviction that a rational analysis is useless or its usefulness is limited
M.R. Westcott; J.H. Razoni Intuitive decision-making process stems from insuffi cient information, which is a prerequisite for rational analysis
Source: own study based on Dane, Pratt 2007, p. 35
It should be emphasized that decision-makers who use intuition in the decision-making process possess certain traits and skills, as well as specifi c working and thinking styles. Referring to an intuitive manager’s characteristics and competences, attention should be primarily paid to the following (Malewska 2010, pp. 334-351): ability to analyse and synthesize large amounts of information and to identify what is essential from the point of view of the decision to be made, ability to fi ll the information gap by reference to personal knowledge or previous experience,
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decision-making readiness (the ability to make decisions under conditions of both a lack and excess of information), generating innovative solutions, a unique approach to analysed problems, motivation to seek the best solution, willingness to take risk (taking action even in the absence of the necessary information). Analysing an intuitive manager’s working style, one can see that it is
characterized primarily by a lack of sequential actions (he/she does not go through the various stages of the classic decision-making process). Apparently, the observer gets the impression that the action seems to be quite chaotic. Besides, during the problem solving phase, one can distinguish different stages associated with varying levels of involvement and the intensity of work undertaken by the decision-maker. After a period of considerable intellectual effort, one can observe a decrease of interest in the problem. Intuitive managers work better when informal ties dominate in their teams of co-workers. Intuitive managers’ effectiveness increases when they cooperate with other managers who prefer similar working and thinking styles.
4. The compatibility of leadership skills and an intuitive manager’s characteristics
P. Schoemaker, S. Kupp and S. Howland (2013) carried out a study on a group of more than twenty thousand senior managers. Based on the results of their research, they have determined six skills which leaders should master in order to think strategically and function effectively in a turbulent and hostile environment. These include the ability to anticipate, the willingness to take on challenges, the ability to interpret, the ability to make decisions, the ability to determine common areas of activity, and the ability to learn. The authors also recognize the fact that being a strategic leader means identifying their own weaknesses within these six skills and correcting them. The study also indicated that profi ciency in one of the skills cannot compensate for a defi cit in another and, therefore, attention should be paid to the optimization of all six essential attributes of a strategic leader.
J. Polowczyk (2011) indicates that intuition is one of the key elements for effective strategic leadership. Therefore, this means that a strategic leader’s traits should be consistent with the characteristics and skills of managers who have and use their intuitive potential in practice. In the table below, we attempted
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to put together the attributes and characteristics of strategic leadership and intuitive managerial competences in order to demonstrate their convergence.
Table 4. The attributes of strategic leadership and intuitive managerial characteristics and competences
Traits Description The intuitive manager’s traits and competences
Ability to anticipate
This trait is most commonly used to predict phenomena and identify opportunities and threats through the use of weak signals coming from both inside and outside the organization.
Ability to perform a comprehensive analysis of competitors
Ability to identify new trends, customer needs, emerging opportunities in the business environment, threats that should be neutralized
Courage and confi dence in action (Bieniok, Halama, Ingram 2006, p 92)
Willingness to take on challenges
Strategic leaders always question the status quo, they set up challenges for themselves and others, they encourage others to analyse divergent points of view. This all requires patience, courage and an open mind
Perseverance in pursuing goals (an intuitive manager is never fully satisfi ed with any generated solution and, therefore, he/she constantly looks for better solutions)
Internal motivation for action (an intuitive manager is motivated to seek the optimal solution) (Woiceshyn 2009, p 311)
Using all available sources of information: objective data, knowledge and the personal experience of both managers and others, but also taking into account the intuition, feelings and emotions that accompany the decision-making process (Kutschera, Ryan, 2009, pp 17-18)
Ability to generate innovative and unconventional solutions (a unique approach to problem solving, which is not a continuation or extension of previously applied solutions) (Agor 1998, p 163).
Ability to interpret
Ability to solve complex problems, to synthesize and interpret information
Ability to analyse and synthesize large amounts of information and identify that which is necessary from the perspective of the decision being made (Agor 1998, p 163)
Using a holistic, synthetic approach allowing for the consideration of multiple threads of ideas simultaneously, which is desirable in solving complex and unstructured problems (Agor 1998, p 262)
Focusing attention on facts, but at the same time keeping an open mind to intuitive hints and hunches (Kutschera, Ryan 2009, pp 17-18)
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Ability to make decisions
The ability to make decisions requires the courage to take responsibility for the measures implemented. This is quite diffi cult because, due to unforeseen changes in the environment, the effects of our actions cannot always be precisely defi ned. The decision-making process often takes place under such diffi cult conditions as a lack of time and information. Decision- making is a formal process taking into account short-term and long-term goals
The need for action in a changing environment, resulting in constant readiness for decision- making
Ability to solve a decision-making problem, even in the absence of information by fi lling the information gap using intuition
Acceptance of risk and uncertainty (willingness to take risks)
Ability to function in a risky and uncertain environment (Harper 1998, p 145)
Ability to fi nd common areas of cooperation
Strategic leaders must have the ability to fi nd areas of dialogue with stakeholders representing different interests and perspectives
Taking into account opinions, knowledge and experience of others, so that decisions are characterized by a higher level of acceptability
Evolved emotional awareness associated with the ability to recognize our own emotions and those of others. This ability enables us to fi nd common areas of dialogue with other stakeholders [Shaw 2010, pp 77-79]
Ability to learn
Strategic leaders are in the centre of the learning processes in an organization. They promote a type of culture based on the constant search for new knowledge and better solutions, learning from both successes and failures
Generating solutions that are seemingly unresolvable, decision-making problems
Solving problems in the absence of suffi cient information
Proposing individual, creative and unique solutions, allowing for the continuous improvement of managerial skills and increasing the stock of knowledge (intuitive managers might be called “creative thinkers” or “champions of change”) (Agor 1987, p 163)
There is a linear relationship between an intuitive manager’s potential and experience (Klain, 2003; Hogarth, 2001, pp 9-21). Therefore, one can assume that an intuitive manager should continually learn (acquire, create, store and share knowledge) in order to strengthen his/her intuition
Preference for informal relations, which promote sharing hidden knowledge through socialization, according to the knowledge conversion process formulated by Nonaka and Takeuchi (Nonaka, Takeuchi 2000)
Source: own study based on Schoemaker, Kupp, Howland 2013
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Making a synthesis of the above table, a convergence can be seen between the strategic leadership attributes proposed by P. Schoemaker, S. Kuppa and S. Howland and an intuitive manager’s traits and skills. According to these authors, these attributes should enable a manager to think effectively and strategically, and to operate effi ciently in a changing and unstable environment. The use of intuition in decision making is necessitated by a complex and unpredictable environment, and those conditions relating to time pressure, uncertainty, and an excess or a lack of information, under which contemporary decision-makers have to take decisions. Consequently, one can assume that strategic leaders should possess, improve and effectively use their intuitive potential.
5. Summation
Modern organizations operate in a rapidly changing environment, which deepens the complexity and uncertainty in decision-making at all levels of management. The pace of changes taking place simultaneously in many areas and the need to adapt to them is a huge challenge for members of any organization, especially at the strategic level. Before they have managed to fully adjust to one change, they face another, which brings new uncertainties and increases the complexity of decision-making problems. The great challenge for leaders is to work under rapidly changing conditions. Time pressure and information overload leading to communication chaos do not help managements to carry out reliable decision-making processes. Consequently, they need to turn to intuition, which enables them to analyse signifi cant information resources and identify these that are crucial from the perspective of decision-making.
In the context of the resource-based approach to strategic management, one of the main directions of research is strategic leadership (Polowczyk 2011, p. 3-7), which integrates the characteristics resulting from the paradigm of visionary leadership (as well as charismatic and transformational ones) and the concept of organic leadership (Avery 2009, pp. 39-57). An in-depth analysis of a strategic leader’s attributes as well as an intuitive manager’s characteristics and skills has shown that these two categories converge.
This paper discusses in detail the managerial intuitive potential seen from the perspective of the six skills which leaders should master in order to think strategically and function effectively in a rough and hostile environment. Reference has been made to the skill of anticipation, the willingness to take on challenges, the ability to interpret, the ability to make decisions, the ability to fi nd common areas of cooperation, and the ability to learn. The conclusions
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clearly demonstrate the compatibility of a strategic leader’s attributes and an intuitive manager’s competences and their key role in the effi cient functioning of modern enterprises.
Summary The Intuitive Manager and the Concept of Strategic Leadership The aim of this paper is to show the consistency of an intuitive manager’s traits and skills and a strategic leader’s attributes. The paper consists of three main parts. The fi rst one presents the nature and evolution of the concept of leadership and contrasts the role of strategic leaders with the operational requirements of modern organizations. In the second part, we attempt to defi ne the concept of intuition and characterize an intuitive manager. In the last section of the paper, a strategic leader’s attributes and an intuitive manager’s skills and characteristics are analyzed in order to show how these two categories converge.
Key words: intuitive manager, strategic leadership.
Streszczenie Intuicyjny menedżer a koncepcja strategicznego przywództwa Celem referatu jest przedstawienie spójności między cechami i umiejętnościami intuicyjnego menedżera a atrybutami strategicznego przywódcy. Referat składa się z trzech zasadniczych części. W pierwszej kolejności zaprezentowano istotę i ewolucję koncepcji przywództwa oraz zestawiono role strategicznego przywódcy z wymogami funkcjonowania współczesnych organizacji. Następnie podjęto próbę zdefi niowania pojęcia intuicji oraz scharakteryzowania intuicyjnego menedżera. W ostatniej części referatu poddano analizie atrybuty strategicznego przywódcy oraz cechy i umiejętności intuicyjnego menedżera w celu ukazania zbieżności między tymi kategoriami.
Słowa kluczowe: intuicyjny menedżer, przywództwo strategiczne.
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The legal and ethical implications of drone warfare
Michael J. Boyle
To cite this article: Michael J. Boyle (2015) The legal and ethical implications of drone warfare, The International Journal of Human Rights, 19:2, 105-126, DOI: 10.1080/13642987.2014.991210
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The legal and ethical implications of drone warfare
Michael J. Boyle*
Department of Political Science, La Salle University, Philadelphia, PA, USA
This article examines whether American drone-based targeted killing program represents a fundamentally new challenge to the traditional legal and ethical standards of armed conflict. It argues that the novelty of drones flows less from the technology itself than from the Obama administration’s articulation of a presumptive right of anticipatory self-defense, which allows it to strike anywhere in the world where al Qaeda and its allies are present. It highlights five new legal and ethical dimensions to the Obama administration’s drones policy, all of which may lower the traditional barriers to the use of force if other actors begin to follow contemporary American practice.
Keywords: drones; law; ethics; international conflict, USA
In a speech at the National Defense University in May 2013, President Barack Obama described the US drone campaign in Pakistan, Yemen and elsewhere as part of ‘a just war – a war waged proportionally, in last resort, and in self-defense’.1 Emphasising the dilemmas associated with confronting the threat of modern terrorism, President Obama cast the American drones programme as a legally and morally superior alternative to using Special Forces or ground troops to capture or kill terrorist suspects in places where the United States (US) was not formally at war. This address, along with an earlier speech by Obama’s chief counterterrorism advisor John Brennan in April 2012, showed the Obama administration on the defensive against a rising tide of criticism about the civi- lian casualties associated with American drone strikes.2 In describing its response to what it called a new, de-territorialised form of armed conflict against terrorist groups, the Obama administration fell back upon long-established concepts of the law of armed conflict and just war theory to argue that its drone strike campaign was legally appropriate and ethically sound. Yet beyond the rhetoric, its actual position on drones has long been marked by ambi- guities and internal contradictions. At some points, the administration has been insistent that it is fully complying with all applicable law, including the laws of war, in its drone strike policies.3 At others, it has denied that some bodies of law – for example, international human rights law – should be applied to these conflicts.4 At still others, it has implied that the law of armed conflict, and traditional notions of self-defence, need to be updated to reflect the realities of twenty-first century warfare.5 Throughout its term in office, the Obama administration has tried to use the traditional legal and moral standards of armed
© 2015 Taylor & Francis
*Email: [email protected]
The International Journal of Human Rights, 2015 Vol. 19, No. 2, 105–126, http://dx.doi.org/10.1080/13642987.2014.991210
conflict as a shield to protect itself from criticism, while simultaneously suggesting that the shield itself is fundamentally inadequate for the threats that the US and its allies face in the twenty-first century.
The fact that the Obama administration has continued to rely on the same legal and ethical frameworks used to restrain the behaviour of states during wars in the nineteenth and twentieth centuries to defend its drone campaign against a range of critics is not surpris- ing.6 These standards have proven invaluable in checking the cruelty and moral callousness of armies and government states for over a hundred years; indeed, they have proven resi- lient in light of the vast technological changes in warfare that have occurred since the first Geneva Convention in 1864. Although they do pose some new legal and ethical dilem- mas, drones do not fundamentally undermine the applicability of traditional legal and ethical standards of armed conflict.7 Drones are merely the latest iteration of a process of rapid technological change in warfare that has continued for much of the last one hundred years, and they are not the biggest technological change during this period. The challenges posed by drones are not larger than those posed by nuclear weapons or other twentieth-century innovations such as inter-continental ballistic missile systems (ICBM). As Stephanie Carvin argues in her contribution here, there is no reason to assume that the legal and ethical problems posed by drones are wholly unprecedented or unique to this form of technology.8 Some of the literature on drones makes this mistake by assuming that the new aspects of drone technology mean that unprecedented legal and ethical ques- tions are now being raised. In fact, the opposite is true. Even more than nuclear weapons and or ICBMs, drones can be discussed within the traditional legal and ethical frameworks governing armed conflict because they are so analogous to conventional or manned aircraft. For many of the relevant ethical questions, such as how many were killed and why, drone strikes can be measured in a straightforward way against bombing done by conventional manned aircraft. In most respects, there is not much of a difference between a bomb dropped by a piloted aircraft and one dropped by a drone provided that both are done by declared combatants in a recognised armed conflict.9
Further, some of the charges that are levelled against drones on the basis of the technol- ogy itself – for example, that drones automate killing, or that they produce a moral distance between the operator and the target that facilitates gratuitous killing – are either overstated or unproven. For example, while it is true that fully autonomous weapons would produce a new set of legal and ethical challenges for warfare, this is not the situation that prevails today.10 In all major or well-established drones programmes, the technology remains under the firm control of an individual from the military or intelligence services of an estab- lished government.11 No modern drones programme is fully automated, and in all cases it remains the decision of a single individual – often located in a military chain of command – to strike a target and be held accountable for the consequences. The allegation that there is a ‘Playstation mentality’ to targeted killings by drones remains to be proven.12 There is some evidence that the moral distance between the drone operator and target desensitises the operator from the act of killing and may make targeted killings easier.13 Some drone oper- ators’ use of derogatory terms for their targets – ‘bug splats’ and ‘squirters’ – points to this dynamic at play.14 But equally there is evidence that drone operators feel a surprising degree of intimacy with their targets because they monitor them for such long periods of time. Drone operators report relatively high rates of post-traumatic stress disorder (PTSD) in part because they are so acquainted with their target.15 Further, many of these charges of moral distance are not, strictly speaking, new as they were levelled against auto- mated weapons systems such as cruise missiles and nuclear weapons during the Cold War. The possibility of an individual callously ending a life by pressing a button is as real with
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cruise missiles as it is with a drone, and even more real with the prospect of a nuclear strike.16 None of these forms of lethal violence preserve the direct confrontation between perpetrator and target that characterises most depictions of honour in warfare, yet all have been a reality of modern warfare for over half a century.17
Still, there may be something new about drone warfare that requires rethinking some of the rules of armed conflict in the twentieth century. While the technology itself may not present wholly new moral and legal dilemmas, it may exaggerate some of them and acceler- ate other trends – towards speed, precision, and targeting those who blur the distinction between combatants and civilians – present in other forms of armed conflict. If so, while it is certainly not necessary to rewrite the rulebook on armed conflict, it may be necessary to adapt it in ways that reflect the reality of the legal and ethical dilemmas that drones pose, either due to the technology itself or the way that the technology is used. This is the challenge that has yet to be fully met despite a decade of drone-based targeted killing. Although the Obama administration has implied that the rules of armed conflict need to change tomeet the new threat of terrorism, and has stated onmultiple occasions that the dom- estic legal authority for drone strikes (the Authorization to Use Military Force, passed in 2001) needs to be revised, it has shied away from explicitly stating what is new about the drone technology and why it requires changes in the rules of war for the twenty-first century. It has left this debate open for scholars and outside experts to identify what is new about drones and to spell out the legal and ethical implications of this technology.
The articles in this special edition identify and analyse the new legal and ethical impli- cations of drones and illustrate how they relate to the existing legal and ethical frameworks that govern armed conflict. This introduction and the article by Stephanie Carvin wrestle with the key conceptual question about what is new with drones: the technology, or the pol- icies surrounding the use of them? The second set of articles, by Craig Martin and by Daniel Brunstetter and Arturo Jimenez Bacardi explain why the legal and ethical debate over drone-based targeted killing remain so contested after nearly a decade of operation. The third set of articles, by David Whetham and by Caroline Kennedy and James Rodgers, look at some of the legal and ethical issues surrounding the next generation uses of drones for humanitarian relief and United Nations (UN) peacekeeping. Taken together, these articles show how American policies surrounding drone usage have themselves pro- duced the dilemmas that the Obama administration now confronts while charting a way in which drone usage might be reconciled with the traditional legal and ethical frameworks in international politics.
This introductory article will address the central conceptual question about what is new with drone warfare, with a focus more on the new dimensions of the policy of targeted killing than the technology itself. Echoing some of Craig Martin’s arguments here, it argues that the Obama administration is correct that drones have begun to challenge some of the assumptions that underlie the traditional legal and ethical frameworks for the use of force, but that it is American policy, rather than the technology itself, which is pro- ducing this challenge. The US drone-based targeted killing programme has five different characteristics which produce new challenges to the traditional interpretations of the legal and ethical standards for armed conflict. They are: (1) the legal authority for drone strikes under both domestic and international law; (2) the nature of the targets that the US engages with drone strikes – specifically non-state actors operating outside recognised conflict zones, including those with an indirect link to the original combatants; (3) the regular deployment of drones for near-perpetual surveillance and targeted killing, as opposed to periodic or time-limited kinetic action; (4) the institutional framework govern- ing drone strikes, which can give rise to transparency and accountability problems; and (5)
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the precedent set by lowering the bar against assassinations and by allowing a state a pre- sumptive right to violate the sovereignty of another state on the basis of a generally articu- lated threat. Each of these issues flow more from the American use of drones – and the precedent of presumptive self-defence that it sets – than from the technology itself.
Legal authority
The Obama administration has deployed a number of different arguments to provide a legal foundation for its drone programme under domestic and international law. The primary claim of legal authority is based on the Authorization to Use Military Force (AUMF), passed on 14 September 2001. The Congress provided this authorisation following the 9/ 11 attacks to permit the president to ‘to use all necessary and appropriate force against those nations, organizations, or persons he determines planned, authorized, committed, or aided the terrorist attacks that occurred on September 11, 2001, or harbored such organ- izations or persons, in order to prevent any future acts of international terrorism against the United States by such nations, organizations or persons’.18 The Bush administration inter- preted the AUMF broadly as a legal rationale for worldwide operations against terrorist operatives. It also unsuccessfully cited it as legal authority for employing military tribunals at Guantanamo Bay in Hamdi v. Rumsfeld.19
The position of the Obama administration on the AUMF has been marked by ambiva- lence. Like his predecessor, President Obama has interpreted the AUMF broadly to allow for maximum discretion in pursuing terrorists abroad, including through the use of drone strikes. Even more than the Bush administration’s interpretation of the AUMF, the Obama administration’s interpretation has allowed for the US to pursue ‘associates’ of al-Qaeda wherever they are located, even if that is far from the original theater of war in Afghanistan. The Obama administration has recently extended this argument to suggest that it may pursue successor groups to al-Qaeda on the basis of the AUMF even if they did not exist at the point of the 11 September attacks. For example, under pressure from Congress, the Obama administration argued that it had the right to target the al-Nusra front, an al-Qaeda linked insurgent group located in Syria but operating only since 2012, on the basis of the 2001 AUMF.20 Similarly, the Obama administration used the AUMF as the legal basis for aiding the Libyan rebels in the overthrow of Muammar Gaddafi and for engaging in air strikes against the Islamic State of Iraq and Syria (ISIS).21 Both of these objectives are not directly related to al-Qaeda or to the 11 September attacks, yet drone strikes for these purposes have been conducted on the basis of the 2001 AUMF.
The Obama administration has regularly cited the AUMF as the basis for expanding the use of drone strikes in Pakistan, Yemen, Somalia and elsewhere, and argued that its auth- ority has no specified temporal or geographic limit. The Obama administration has defended these strikes as legitimate attacks against al-Qaeda or the Taliban, declared enemies of the US, who as a transnational enemy must be attacked even outside the original theatre of war. In a March 2012 speech at Northwestern Law School, Attorney General Eric Holder remarked that:
Indeed, neither Congress nor our federal courts has limited the geographic scope of our ability to use force to the current conflict in Afghanistan. We are at war with a stateless enemy, prone to shifting operations from country to country. Over the last three years alone, al Qaeda and its associates have directed several attacks – fortunately, unsuccessful – against us from countries other than Afghanistan. Our government has both a responsibility and a right to protect this nation and its people from such threats.22
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Similarly, John Brennan has argued that ‘there is nothing in the AUMF that restricts the use of military force against al-Qaida to Afghanistan’.23 This interpretation of the AUMF has come under criticism for effectively providing a greenlight for US action anywhere in the world until some unspecified point in the future when al-Qaeda and its co-belligerents are defeated.24
The administration has further implied that it has a series of additional criteria that deter- mine whether a drone strike should take place against a prospective target outside a declared combat zone, such as Afghanistan. Former Legal Advisor for the State Department, Harold Hongju Koh, has said that the US drone policy takes into account specific conditions of that case, including ‘those related to the imminence of the threat to the sovereignty of the states involved, and the willingness and ability of those states to suppress the threat that the target poses’.25 The measurements for each of these criteria – in other words, how the US govern- ment assesses whether a government is willing and able to respond to a terrorist threat – have never been released. Similar additional criteria also apply when determining if a drone strike may be used against an American citizen. According to an internal document with the legal justification for killing Anwar al-Awlaki, an American citizen, the US con- siders itself ‘in a non-international armed conflict against al-Qaida and its associated forces’, and believes that the determination of whether a proposed strike would require ‘consideration of the particular facts and circumstances of each case’ rather than a prior determination of the geographic scope of the AUMF.26 For strikes against both foreign and American citizens, the criteria used to decide when a state is not willing or able to address the terrorist threat on their territory have never been made public. This information would be particularly important in cases like Pakistan, where it remains unclear which of the operative criteria – lack of ability or political will – is the deciding factor in enabling US drone strikes.
There are three major concerns with the interpretation of the AUMF adopted by the Obama administration. First, the lack of a temporal scope for the AUMF, and the fact that its termination is premised on the defeat of al-Qaeda, raises the question of whether any future American administration will ever be constrained from launching drone strikes against al-Qaeda or its associated forces. At this point, the AUMF has operated as an effective green light for worldwide terrorist operations for over 13 years. There is no sign that this war, or the AUMF’s applicability, will end soon. In 2013, Michael Sheehan, the assistant secretary of defense for special operations, suggested that the defeat of al-Qaeda could take ‘at least 10 to 20 years’.27 Similarly, former Defense Secretary Leon Panetta has predicted that the US faces a ‘30 year war’, with a campaign extending to Libya, Somalia, Yemen and other locations.28 Despite a thoughtful effort by former counsel for the DoD Jeh C. Johnson to wrestle with the question of what defeating al-Qaeda would look like, the Obama administration has never articulated what strategic defeat of al-Qaeda and its forces would look like, or what will happen to American counterterrorism operations when that point is reached.29 In other words, no one knows what the defeat of al-Qaeda would look like or what happens to American counterterrorism policy the day after. There is some evidence that the US would be reluctant to give up the broad remit of auth- ority provided by the AUMF no matter what happens to al-Qaeda. Even when Panetta announced in 2011 that al-Qaeda was on the verge of strategic defeat, the Obama admin- istration never relented on its use of the AUMF as the legal basis for drone strikes, and in fact increased the tempo of these strikes.30
Second, the lack of geographic limits to the administration’s interpretation is a broad remit for military action, including full-scale combat operations and preventive attacks, in any country where al-Qaeda may be present and planning an attack. Given that
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al-Qaeda and its affiliates are officially in as many as 30 or more countries, the US has effec- tively pre-authorised itself for drone strikes in any place it sees a growing threat and little evidence of a local government with the ability to deal with it.31 The administration has already shown that it will extend drone strikes to countries where there were no plotters of the 11 September attack and no evidence of prior knowledge of that attack, such as Somalia. While the US is less likely to use drones against terrorist targets in Europe, it has used drones across the Middle East (for example, in Iraq and Libya) for reasons unre- lated, or only indirectly related, to the 11 September attacks. It remains unclear whether drone strikes in regions far outside South Asia, such as Indonesia and the Philippines, could be conducted on the basis of the legal authority of the AUMF, but the Obama admin- istration’s argument implies that it would be permitted to do so if the target was linked in some way to al-Qaeda or the Taliban.
Third, the administration’s implication that it has private criteria for determining both the ability and willingness of a government to deal with terrorist threats on its own soil is troubling. On one level, its arguments echo the principal argument of the Responsibility to Protect (R2P) doctrine, which suggests that external states can decide when a sovereign state forfeits its right to non-interference on its territory. For many humanitarian activists, a state’s systemic abuse of the human rights of its population can give rise to a duty to inter- vene for well-intentioned states to rescue a victimised group of civilians. For many R2P advocates, if a government cannot or will not protect its citizens, other actors are entitled to step in and do so as long as the UN or another legitimate body approves. In an ironic twist, the Obama administration has retrofitted this argument – designed to instill fear in dictators and enable states to intervene for legitimate humanitarian purposes – into a ration- ale for the American drone programme in ungoverned spaces around the world. According to what is known about the Obama administration’s criteria, the forfeiture of the sovereign right of non-interference is based on a state’s inability, or unwillingness, to address a growing terrorist threat within its borders. The right to make this determination is accorded solely to the US government without any explicit standards or outside authority to adjudi- cate the decision to violate another state’s sovereignty. This raises the prospect that this decision to violate the sovereignty of another state will be used in an inconsistent or capri- cious manner, with deleterious consequences for the sovereign right of non-interference in the international system.
The Obama administration’s ambivalence on the AUMF has also been reflected by different statements from key administration officials on whether a new, revised AUMF is desirable or necessary. In his May 2013 speech, President Obama said:
The AUMF is now nearly 12 years old. The Afghan war is coming to an end. Core al Qaeda is a shell of its former self. Groups like AQAP must be dealt with, but in the years to come, not every collection of thugs that labels themselves al Qaeda will pose a credible threat to the United States. Unless we discipline our thinking, our definitions, our actions, we may be drawn into more wars we don’t need to fight, or continue to grant Presidents unbound powers more suited for traditional armed conflicts between nation states. So I look forward to engaging Congress and the American people in efforts to refine, and ultimately repeal, the AUMF’s mandate. And I will not sign laws designed to expand this mandate further. Our systematic effort to dismantle terrorist organizations must continue. But this war, like all wars, must end. That’s what history advises. That’s what our democracy demands.32
Yet the administration has done nothing to revise or amend the AUMF; moreover, it has since invoked the AUMF to justify military operations in Iraq and Syria against ISIS, a
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group that did not exist in 2001 and that is not formally allied with al-Qaeda. As Jack Gold- smith has argued, ‘if this remarkably loose affiliation with al Qaeda brings a terrorist organ- ization under the 2001 law, then Congress has authorized the President to use force endlessly against practically any ambitious jihadist terrorist group that fights against the United States. The President’s gambit is, at bottom, presidential unilateralism masquerading as implausible statutory interpretation.’33 Other Obama administration officials have expressed scepticism about the need for a new AUMF, noting that even a new legal auth- orisation for drones under a new AUMF would be neither necessary nor wise.34 Despite growing pressure from some of his Democratic allies in Congress, the president has made no moves towards repealing or revising the AUMF, thus allowing this framework to stand as the predominant legal authority for drone strikes.35
The Obama administration has also invoked international law to provide an additional legal foundation for its drone strike programme, arguing that it has the right to strike at al-Qaeda under the inherent right for self-defence provided by the UN Charter.36 The interpretation of self-defence offered by the administration argues that individuals who are part of a group like al-Qaeda and the Taliban can be considered belligerents, and become targetable, even if they are not located in the country where the original self- defence justification was invoked. By this logic, an al-Qaeda member in Yemen could be killed by a US drone strike authorised in part on a claim of self-defence for an attack pre- pared and organised from Afghanistan. In the administration’s view, this strike would not qualify as an assassination because, in the words of Koh, ‘under domestic law, the use of lawful weapons systems – consistent with the applicable laws of war – for precision target- ing of specific high-level belligerent leaders when acting in self-defense or during an armed conflict is not unlawful, and hence does not constitute “assassination”’.37 This argument has been backed by some scholars who argue that when a country is facing a potential attack, a self-defence rationale may be invoked for drone strikes against transnational actors, no matter where they are located.38
This assertion of a right of anticipatory self-defence – which allows for an unrestricted geographic scope of military action, even in the absence of evidence of an immediate threat – has not been widely accepted by the international community. Even if one concedes that states are entitled to self-defence against non-state actors not controlled by another state – and the International Court of Justice has suggested that they are not – this argument has at least two major limitations.39 First, as Philip Alston has pointed out, the self-defence argu- ment implies higher standards for necessity and proportionality than the US government typically applies with its drones programme.40 Specifically it would require that the govern- ment would only use force for defensive objectives, and for that it would only do so once other non-lethal options had been exhausted. There is no evidence in many drone strikes that the US is using them defensively or that they have exhausted other options before elect- ing to strike. In many cases the Obama administration’s arguments have emphasised pre- ventive, rather than defensive, actions in that drone strikes are authorised before an attack can be launched or even fully planned. Moreover, the Department of Justice (DoJ) White Paper on drone strikes showed how the Obama administration adopted tendentious readings of ‘imminence’ and ‘necessity’ to superficially meet these requirements. Accord- ing to this memorandum, ‘the condition than an operational leader presents an “imminent” threat of violent attack against the United States does not require the United States to have clear evidence of a specific attack in the future’.41 Similarly, the definition of necessity, according to the Obama administration’s interpretation in the DoJ White Paper, requires only that it make the determination that a capture mission or some other non-lethal
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option be considered infeasible or too risky.42 The evidentiary standard for a capture oper- ation to be deemed infeasible has never been publicly released.
Second, the case most often cited as providing precedent for using drone strikes for anticipatory self-defence – the Caroline case, from 1837 – requires that a state must show that there was an ‘instant, overwhelming, and leaving no choice of means, and no moment for deliberation’ situation before invoking a right of preventive self-defence.43
This depiction is at odds with the narrative depiction of the Obama administration’s drones programme, which shows a deliberate, non-hurried process to identify potential targets with the president’s direct input before the drone strike occurs.44 Although this explanation is an additional one to the AUMF, the anticipatory self-defence rationale adopted by the Obama administration leaves the US as an outlier in the international system, according for itself a right of anticipatory self-defence that it opposes for other states, with some exceptions.45 Senior administration officials have recognised this fact. Former CIA Director Michael Hayden remarked in 2012 that ‘right now, there isn’t a gov- ernment on the planet that agrees with our legal rationale for these operations, except for Afghanistan and maybe Israel’.46 The Obama administration is not an outlier due to its pos- session of drones and use of them for targeted killing, but rather due to its legal interpret- ation that enables it to continually strike against targets only indirectly related to the original combatants on the grounds of self-defence.
Nature of targets
The approach that the Obama administration has taken to identify the targets of drone strikes is also new and stands in stark contrast with the American approach during previous armed conflicts. According to the law of armed conflict, the identification of a target in an armed conflict involves a positive determination of their conflict status – i.e., whether that individual serves as a direct combatant, such as a soldier, in a recognised armed conflict. This determination, supported by both state practice and customary international law, involves designating as a combatant all those involved in combatant armies, even those not directly fighting, with the exception of religious and medical personnel.47 In classical interstate wars, this is a relatively straightforward determination as the combatant is typi- cally clothed as a soldier, carries some clear national identification, and is participating in conflict in a direct way. In these cases, states are not generally required to pinpoint the precise identity of an individual before targeting them, but they are required to determine if their actions are materially related to the armed conflict before attacking. They are also not required to provide combatants with access to legal process if they are in hors d’combat, but they must treat them as a privileged combatant and accord them prisoner of war status if captured.
For irregular wars, the designation of combatant status has always been more complex. The chief problem with these conflicts is that insurgents and other irregular fighters have often not been clothed or self-identified as combatants. For many insurgent groups, blurring their combatant status by hiding amidst the civilian population has allowed them to fight a stronger power and exploit the fact that governments are obliged to use force with the prin- ciple of distinction, avoiding civilian casualties if at all possible. Nevertheless, Article 4 of the Third Geneva Convention requires governments to accord to these irregular fighters prisoner of war status if they fulfil the following conditions: (1) that of being commanded by a person responsible for his subordinates; (2) that of having a fixed distinctive sign recognisable at a distance; (3) that of carrying arms openly; (4) that of conducting their operations in accordance with the laws and customs of war.48 During the Vietnam War,
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the US generally applied the Geneva Conventions to the Viet Cong forces and accorded captured insurgents humane treatment, though not always full prisoner of war status. During the Bush administration, the US adopted a different approach and unsuccessfully advanced the argument that al-Qaeda and Taliban members were unlawful combatants because they failed to fulfil these conditions and should not enjoy trial by jury in civilian courts. Their argument – that unlawful combatants should be tried by military tribunals at Guantanamo Bay and elsewhere – was ultimately rejected by the Supreme Court.49
The Obama administration has confronted similar problems with its drones programme. Many of the targets of drones do not wear uniforms and are part-time combatants, fighting at one moment but engaging in peaceful civilian activities at the next. The fact that many insurgent and terrorist groups do not have a clear command structure or distinction between political and military leaders produces a series of important moral dilemmas.50 Many facili- ties and vehicles used by insurgents are dual use: they are used for military activity at one moment, and for combat at another. Even more so than guerrillas during the Cold War, today’s insurgents are embedded in the civilian population, intermixing with them in ways that make analytically separating combatants and civilians difficult, if not impossible, in some cases.51 How governments can justly and carefully fight non-state actors, while maintaining the principle of distinction and not slipping into the barbarism that its abandon- ment would imply, is a key question that any government facing insurgent warfare in the twenty-first century must answer.
The Obama administration has acknowledged these problems but has maintained that the difficulties associated with identifying combatants in today’s messy intra-state wars should not be an insurmountable barrier against using drones for targeted killings. It insists that the monitoring technology associated with its drones allows operators to abide by the principle of distinction and carefully distinguish between combatants and civi- lians.52 Koh has argued that the American drone strike programme easily meets the inter- national humanitarian law requirements of necessity, distinction and proportionality. On the question of necessity, the US has consistently argued that it is legally permitted to attack members of al-Qaeda and the Taliban as irregular combatants because they are engaged in a protracted armed conflict with the US. For distinction and proportionality, the Obama administration has insisted that it has carefully avoided civilian casualties and abided by the principle of proportionality in its drone strikes, killing relatively few civilians compared to other available military means.53 President Obama has admitted that some civilian casualties are inevitable with drone strikes, but has insisted that reports of high levels of civilian casualties are overstated. From an ethical vantage point, the Obama administration argues that the drones programme is humane in that it kills relatively few civilians, all of whom would be covered under the principle of double effect given the mili- tary necessity of the strikes.
Yet the Obama administration’s arguments both presume, and are dependent upon, a novel definition of the nature of the enemy not widely accepted by the international com- munity. Recognising the problems associated with the Bush approach, the Obama admin- istration has expanded the definition of the target in a way which avoids the difficulties associated with using the terms illegal or enemy combatants. In 2009, the Attorney General announced the Obama administration was abandoning the term ‘enemy combatant’ while reaffirming its broad powers to fight and detain terrorist suspects.54 This allowed the Obama administration to avoid many of the legal headaches that the Bush administration experienced with that definition, although in practice it meant little for those held as prison- ers in Guantanamo Bay. At the same time, the Obama administration advanced, without fanfare, a more expansive definition of the potential targets of American military action
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than President Bush articulated. First, the Obama administration rejected the notion that it was limited to striking only al-Qaeda and the Taliban and insisted that it could also target ‘associated forces’. Although the AUMF language requires some connection be drawn to the 11 September attacks or that the enemy be at the least a co-belligerent of al-Qaeda and the Taliban, the Obama administration has in practice attacked groups linked to al- Qaeda or the Taliban in a variety of indirect, often immaterial, ways.55 These ‘associated forces’ are not precisely defined by the US government and in practice have ranged from Pakistani Taliban to even Somali militants. All are now considered co-belligerents of al- Qaeda under the Obama approach. In effect, it has drawn a functional equivalence between ‘associated forces’ and ‘co-belligerents’, thus providing legal cover to strike a growing array of targets. It has used this expansive definition of the enemy to target the Islamic State in Iraq and Syria (ISIS), which was expelled from al-Qaeda in February 2014 and had no contemporary organisational link to it.56 In fact, its authorisation for the Iraq operation declared that ISIS was a successor to al-Qaeda, and thus it can be con- sidered a co-belligerent, a determination now also supported by the UN.57 Its expansive interpretation of ‘associated forces’ or ‘co-belligerents’ is also not public, as the US refuses to make the list of what it considers an associated force of al-Qaeda or the Taliban public.58 While the Pentagon maintains that a target must be defined as a co-belli- gerent of al-Qaeda or the Taliban, it does not specify how an actor operating far outside a recognised theater of conflict (Afghanistan) can be considered a co-belligerent of an actor in that conflict. While there is a plausible case that transnational terrorist groups could be con- sidered co-belligerents even if they are not physically co-located with a combatant, the legal standard for making that determination remains a mystery. By equating the term ‘associated force’with ‘co-belligerent’, the Obama administration has enabled itself to attack any group operating in the same radical Islamist milieu as al-Qaeda by deeming it an ‘associated force’.
Second, the Obama administration has adopted vague language about a group being ‘linked’ to a recognised combatant group without explaining exactly what that link is.59
If the linkage was material support, that connection could be considered relatively obvious as a group supplying weapons or key equipment to a fighting group could be con- sidered a combatant under the normal interpretation of the laws of war. Equally, groups that are fighting alongside an original combatant – for example, the Haqqani network and the Islamic Movement of Uzbekistan (IMU) in Afghanistan – could plausibly be considered a combatant, and hence a target, under international law. Yet the administration has acted in ways that suggest that the linkage could consist of purely ideological or political support for al-Qaeda or the Taliban, rather than direct material support. For example, the Obama administration has reportedly used drone strikes to target elements of al-Shabaab in Somalia without specifying how it is materially linked to the original combatants in Afghanistan and Pakistan. Similarly, some Pakistani Islamist groups have been targeted on the basis of a tangential connection to al-Qaeda or the Taliban. This administration’s expansive definition of linkage allows for many possible connections, even political or ideological links, to be sufficient to make a group ‘linked’ to al-Qaeda and hence targetable.
Third, the Obama administration has adopted a policy of engaging in periodic signature strikes, directing drone strikes against training camps and compounds which were sus- pected of harbouring militants.60 These strikes are premised on the basis that the patterns of behaviour of the potential target are sufficient to indicate that they intended to engage in combat against American or local allied forces. Critics have argued that signature strikes carry with them a greater risk of civilian casualties than so-called personality strikes, as the risk of false positives – that is, a mistaken identification of a target – is
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greater in these cases.61 This approach may also fall below the standard for distinction that is required under international law, as it is generally accepted that the person launching the strikes must be certain, within reason, that the activity witnessed is materially aiding the enemy’s military effort. Conducted at a substantial remove from the actual target, signature drone strikes do not always achieve that standard and can fall afoul of the principle of pro- portionality, depending on the nature of the target and what they appear to be doing. For example, striking people simply because they were moving towards a conflict zone, or stop- ping at a rest area known to be used by al-Qaeda, is insufficient as grounds for a signature strike.62 Although he did not mention signature strikes by name, President Obama promised to employ a higher standard for drone strikes, which would eliminate many of these strikes, after his May 2013 speech. It remains unclear whether this has taken place, although drone strikes in Pakistan and Yemen declined sharply after that speech.
Drone usage
A third new aspect to the American policy on drones has to do with the way in they are used for monitoring, and striking, populations in foreign countries. Since 2009, the US has used drones as a regular form of surveillance in places such as Pakistan, Afghanistan and Yemen. This usage takes advantage of one of the significant technological features of drones: that they can loiter for significant periods of time over territories and provide detailed readouts on the movements of people and equipment. This means that unlike manned surveillance flights – where the time in the air is limited by human endurance and difficulties loitering – drones are able to remain over a territory for a long time. For example, the Predator B drone (otherwise known as the Reaper) can stay airborne for up to 14 hours while fully loaded with cargo.63 Others have an even greater endurance capacity. The RQ-1A Predator drone can remain airborne for up to 40 hours and cover a large area at a distance of 400 miles from its operating base.64
The US has taken advantage of the endurance capacity of these drones to extend the length of its surveillance in ungoverned spaces, such as Pakistan and Yemen, and in Afgha- nistan and Iraq. It has also deployed some of its more capable lethal drones, such as Pre- dators and Reapers, as a semi-regular presence in these territories as the drones scan for known targets. Unlike surveillance flights during the Cold War, surveillance drones can loiter over a territory and provide a constant feed of data on what is occurring below. In this respect, they operate more like hyper-capable, low-altitude modern satellites than the manned overflights that occurred over major nuclear and defence installations during the Cold War. The regular deployment of drones for target killings is crucially different than the use of cruise missiles or other temporary, time-limited kinetic (or lethal) options. A cruise missile attack, like the US launched against alleged al-Qaeda sites in Sudan and Afghanistan in 1998, is by definition a limited event, where the destruction is over in a matter of moments. Even systematic bombing campaigns, like the Rolling Thunder cam- paign in the Vietnam War, occurred over a period of hours but then ceased on a daily basis as the manned aircraft returned to bases for refueling and rest. In these cases, it was certainly the case that bombers were seen over the territory on a semi-regular basis, but the duration of the operations, and the attendant risks to civilians, were relatively short-lived.
By contrast, the deployment of drones over ungoverned spaces in places like Pakistan and Yemen has become a regular event, where a foreign population is routinely monitored, and sometimes killed, by the US on an ongoing basis. The effect of the near-constant pres- ence of drones on the wider population has been noted by a number of critics. The journalist
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David Rohde, for example, has described the effect of hearing drones whirring above him for hours on end and called them a ‘potent, unnerving symbol of unchecked American power’.65 Similarly, the Stanford/NYU report, Living under Drones, has described the waves of fear that individuals feel from drones hovering overhead and the extent to which their presence has begun to interrupt normal political, economic and social life in these countries.66 Others have reported from Yemen that drones fuel a pervasive sense of helplessness for those under their flight paths.67 This sense of fear is clearly not universal; some critics have found evidence that drones are not as disruptive or hated as these accounts imply, for many educated, urban-dwelling Pakistanis and Yemeni see drones as preferable to the greater evils confronting them from local militants and their own government.68 The actual psychological effect of drones may vary by social class and location, with rural dwellers in the ungoverned spaces where drones operate feeling their effects most directly.69 But even given this fact, it is hard to dispute that for those living under the flight paths drones have become a constant, enduring reminder that they are being watched, and may be killed, by a foreign government. According to Human Rights Watch, some Yemenis have even concluded that they fear the US as much as they fear al-Qaeda in the Arabian Peninsula.70
The key question that arises from this particular use of drones is whether the American routine deployment of drones over ungoverned spaces – and the psychological effect that this deployment has on the subject populations – has produced novel ethical and legal pro- blems. If drones have the effect of terrorising parts of the rural population in the areas where militants are active, there may be a prima facie case that drone deployments are violating the fundamental criterion of proportionality, even if many of the strikes do not. The adminis- tration has employed a narrow calculation of proportionality, focusing exclusively on the body count associated with the drones. The US has insisted that drones are not violating the principle of proportionality because the tallies of civilian deaths have been low and that the ratio of civilians killed per combatant is favourable.71 The Obama administration’s method of calculating civilian casualties has run into a wide array of critics, but even many of its critics implicitly accept that body counts should determine whether drones are more proportionate than other weapons of war.
Yet there are three reasons why a narrow calculation of proportionality – which focuses exclusively on measuring body counts, both of ‘bad guys’ and civilians – provides a mis- leading account of the real effects of drones. First, as John Kaag and Sarah Kreps argue, the typical calculation of proportionality is sometimes skewed as the goals associated with drone strikes – for example, ending ‘evil’ and preventing catastrophic terrorist attacks – are inflated, thus making civilian casualties and other psychological costs associated with the strikes more palatable.72 Seen from this vantage point, the psychological costs associ- ated with drones would be considered more acceptable if they were in the service of coun- tering a greater ‘evil’. Second, as Daniel Brunstetter and Arturo Jimenez Bacardi point out in their article in this volume, the principle of proportionality is difficult to measure when the psychological consequences of drones are added into the equation.73 Much of the debate is conducted with a narrow calculation of proportionality, which measures only civilian deaths against the military gains associated with a strike, and engages in a form of ‘propor- tionality relativism’ that uses impertinent comparisons to claim that drones are proportion- ate.74 Such calculations tend to downplay many of the psychological effects of drones and the longer-term consequences on America’s global image, treating them as ‘off the books’ costs when measuring the casualties associated with each strike. Third, the degree of fear inflicted on the wider population from drone strikes may be disproportionate to the military advantages accruing from the drone strike itself. According to Geneva Conventions, if the
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incidental harm to the civilian population exceeds the advantages of removing an oper- ational leader from the battlefield, a military operation may be deemed disproportionate even if its intention was not to terrorise the civilian population.75 The Obama adminis- tration’s decision to keep drones as a near-constant presence in areas in Pakistan and Yemen could constitute a violation of proportionality if the generalised fear in the popu- lation were seen as producing real costs, exceeding the advantages of removing some ter- rorist operatives from the battlefield.
If the psychological effects of drones are real and widespread, the regular deployment of drones by the US may also constitute a violation of the principle of distinction, which requires governments to shield non-combatants from the direct effects of conflict as much as they can. By using drones as near-constant force over these ungoverned territories, as opposed to an occasional presence, the US may be subjecting the civilian population to an environment of constant fear and uncertainty that is at variance with the normal interpret- ation of non-combatant immunity. While this action would not nearly be as egregious a legal and ethical violation of the principle of distinction as the actual bombing of civilian targets, it would still stand in contrast to a traditional interpretation of non-combatant immu- nity which requires those using violence to direct their attacks only at open participants in the conflict. By making the American deployment of drones a regular, nearly constant feature of life in these countries, and by allowing the psychological consequences of that decision to impact upon the local population outside the circumstances of a supreme emergency, the US may be violating the spirit of the principle of distinction even if it is not violating the letter of it.76
Transparency and accountability
A further element of novelty in the Obama administration’s drones policy has to do with its relatively weak mechanisms for transparency and accountability. As described by the Geneva Convention, the use of military force should be conducted by recognised armies who have clear chains of command and standards for releasing information about their operations. These government-led military forces are considered ‘lawful combatants’ and they have clear rights and responsibilities on the battlefield. Information on battlefield activities should flow up the chain of command and should be released, albeit selectively, to the wider public. No government has ever been perfectly transparent about its use of mili- tary force or willing to show ugliness of war to its population; in wartime, censorship and the manipulation of information for propaganda purposes has always been a serious problem. Yet on balance democracies have gone further than other states towards providing clear mechanisms of transparency and accountability to ensure that their use of force is gov- erned by applicable legal and ethical principles. Throughout the twentieth century advanced democracies in Europe and North America created sophisticated mechanisms of transpar- ency and accountability to ensure that progress of a military campaign was regularly assessed through legislative scrutiny and through the investigation of an active media. For most of the Cold War, the US government conducted armed conflict under the watchful eye of Congress and of the media, which demanded a regular release of information on their activities. These mechanisms of transparency and accountability were flawed and often met with government-led evasions and outright lies, as most famously happened with the Pentagon Papers during the Vietnam War. But even the Nixon administration conceded the basic principle that American military activity should be subject to harsh scrutiny from external forces, including academia and non-profit organisations, as well as Congress and the courts. Recognising that the domestic need for transparency was crucial, the US
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government built its own set of public relations bureaucracies to relay information about its military campaigns and hopefully keep the balance of public opinion on its side.
With the targeted killing programme, the Obama administration has reversed much of this trend and kept most of its activities out of the gaze of Congress, the courts and the inde- pendent media. Former White House spokesperson Robert Gibbs has admitted that he was told to not even admit the existence of a drones programme.77 Even after President Obama admitted in a town hall meeting that there was a drones programme in 2012, White House spokesperson Jay Carney rebuffed questions about its existence.78 By May 2012, the Obama administration began to open up the drones programme and to engage in a selective public relations campaign to release some information about it. It emphasised that the administration had a careful, deliberative process for selecting targets, but shied away from laying out the details of that process in the public domain.79 By May 2013, President Obama promised to be more forthcoming with details about the drones programme, yet con- crete action on revealing details of it have been very limited. Although the government has released some information on personality strikes, and on strikes against US citizens, it has failed to acknowledge publicly that it even engages in signature strikes, despite how often that allegation is made.80 Moreover, it has released few details on key issues surrounding the targeted killings of non-Americans, despite the fact this group constitutes the vast majority of those targeted by drone strikes. The administration has not even confirmed the number of countries where drones are present or where al-Qaeda or ‘associated forces’ have been attacked.
The Obama administration has not been much more forthcoming with Congress or the courts. The administration has regularly argued that Congress is fully briefed about the fun- damental elements of the drones programme, but in practice only select members of Con- gress on the Intelligence Committees are briefed on the fundamentals of the drone operations. Relatively few Congressional briefings have been held on the mechanics or effects of the drones programme, although sparely attended hearings on the drones pro- gramme began to increase as the administration contended with a wave of public criticism.81
These hearings have largely been directed to the administration’s assertion that it is entitled to target American citizens with drone strikes, despite the fact that strikes against American citizens are far less common than strikes against foreign citizens. With respect to the rest of the programme, Congress has ‘essentially abdicated oversight responsibility’ for much of the drones programme.82 There has never been a single vote for or against the drones pro- gramme, as most of it has been conducted with tacit Congressional approval.83 Until 2013, American courts regularly refused to hear drone cases and met administration opposition that they lacked jurisdiction over the matter. The Obama administration has only recently allowed the courts to weigh in on drone strikes, though they have signalled some willing- ness to consider a drones court to weigh up the justness of a proposed strike.
The administration also has uneven mechanisms for Congressional accountability in the event of a mistake or careless use of a drone strike. The US drones programme is divided into two parallel programmes, one under the control of the Joint Special Operations Command (JSOC) and another under the control of the Central Intelligence Agency (CIA). The JSOC programme is governed by the military’s rules and standards for targeting individuals and goes through a rigorous process of target selection and review. In other words, the JSOC programme has a chain of command that allows for proper accountabil- ity.84 There is some evidence that this pays off in more careful discrimination about civilian casualties.85 The CIA programme, on the other hand, is entirely classified, with almost no data in the public domain about its activities. It remains unclear who is involved in the process of selecting targets and how the chain of command for the CIA drone programme
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is designed.86 The absence of clear accountability for the CIA’s portion of the drones pro- gramme is important because it raises key questions about whether the CIA will be as careful and discriminating as JSOC. It also raises some key questions about the legal accountability of the CIA officials involved in the programme. As Mary Ellen O’Connell points out, the CIA would not be considered a lawful combatant according to the law of armed conflict and may not be as well trained or mindful of the requirements of distinction, necessity and proportionality as military officers.87 This means that unlike soldiers they may be later held criminally accountable in foreign courts for their involvement in the drones programme. The Obama administration is attempting to prevent this by denying the existence of the programme, by refusing to reveal the mechanics of its targeting decisions, and by trying to limit the applicability of international human rights law in countries where drones are used frequently.
The result of the Obama administration’s approach is that the drones programme has become an anomaly: an unaccountable and non-transparent form of democratic warfare. The administration has argued that the programme is accountable, but it has emphasised that the accountability for it should be relegated to the executive branch and select Intelli- gence Committees, as opposed to Congress, the courts or the general public. In this respect, it is treating the drones programme as analogous to spying, which receives scant Congres- sional and judicial oversight and remains a preserve of the Executive Branch. Yet it is hard to argue that the drones programme – which has killed as many as 4000 people, according to a leaked government estimate – is closer to spying than it is to armed conflict.88 More- over, this effort by the Obama administration to keep drones in the shadows stands in oppo- sition to many of the global trends towards greater accountability seen with warfare around the globe, as other democratic governments are increasingly holding the agents of violence, including soldiers, criminally responsible for war crimes and other acts that violate the laws of war. Whether a democracy can engage in this kind of sustained violence in the absence of mechanisms for transparency and accountability, and remain democratic, is an open ques- tion. But there is a serious possibility that the drones programme will become corrosive of the democratic character of the US government as long as these two conditions remain unfulfilled.
Precedent
The final new dimension of the Obama administration’s use of drones concerns the pre- cedent that it sets for the use of assassination and targeted killings abroad. In general, the use of assassinations is not widely accepted by states, as relatively few governments – notably Israel – have argued publicly that they should be permitted outside of armed con- flict. This is not to say that assassinations are rare; governments and intelligence agencies conduct assassinations from time to time, and in rare cases, such as Israel, make a policy of it.89 Yet most governments are loathe to articulate publicly that this should be permissible by others for two reasons. First, it is widely accepted that assassinations and targeted kill- ings are legally prohibited. Under international law, assassinations are forbidden outside the context of armed conflict because they violate international human rights law, as well as an array of domestic laws.90 Assassinations are generally considered a violation of customary international law and of a state’s obligation to protect the right to life. They are permitted only during the context of armed conflict and under exceptional circumstances, where over- whelming necessity to prevent further loss of life dictates that they should be conducted.91
The US government is officially barred from conducting assassinations by both domestic law (for example, the 1976 executive order signed by President Gerald Ford) and by
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international law. Although the CIA has committed extrajudicial killings, it operates under a legal authority (Title 50 of the United States code) that requires it be consistent with the US constitution and all other applicable laws.92 Second, there is a strong norm against assassi- nations that is widely respected by states, if only for reasons that they fear others will engage in assassinations against their officials.93 This norm has proven to be durable despite the growth of informal violence in the system, as even states that conduct assassina- tions are reluctant to concede that this should become a generalisable right. Even during wartime, when some assassinations would arguably be permitted, states have been reluctant to kill wartime leaders, in part because it would deprive them of someone who could nego- tiate an end to the war.
The use of drones for targeted killings challenges this legal and normative prohibition on assassinations and targeted killings outside of armed conflict. The Obama administration has maintained that its drone programme does not constitute a form of assassination, and therefore it is not in violation of legal and ethical prohibitions on that act.94 By declaring that it is in a geographically unrestricted state of armed conflict against al-Qaeda, the US has argued that its drone strikes should be considered as part of wartime conduct, rather than an assassination conducted in peacetime. This interpretation enables the US to strike at the leaders and operatives of non-state actors around the world under the broad rubric of armed conflict, while avoiding the legal restrictions on assassinations. The problem with this argument is that the US is not at war with the governments in the terri- tories in which it is conducting targeted killings; its interpretation is essentially that it can be at war with non-state actors in foreign countries and strike them without being in a state of war against the government which is legally sovereign in the territory where the non-state actor is present. By this logic, a state at war with an ideological or nationalist terrorist group could kill their operatives on the territory of another state, without declaring war on that government or admitting that it is a form of assassination. In other words, the US policy creates a gray area between war and assassination that enables a variety of different forms of informal violence, especially government on non-state actor targeted killing.
From a legal and ethical vantage point, this articulation of a space for killing between war and peace poses a number of challenges. The Obama administration’s position is not consistent with international law which requires states to either declare war on a govern- ment or leave it to that government’s responsibility to deal with armed threats emanating from its borders. To articulate a generalised right to strike within another state’s territory, without first declaring war on that state, could be interpreted as an act of aggression unless the state granted consent to do so. Even if they did, some have argued that states cannot grant other governments the right to strike on their territory in this way outside an official armed conflict.95 Arguably, the US may be articulating a new form of state prac- tice, as recognised by a number of legal scholars, which permits assassinations or targeted killings to regularly occur in the gray area between armed conflict and peacetime.96 One danger of this approach is that recurring state practice may itself begin to produce followers and generate new norms of customary international law that undermines the strict prohibi- tion on assassinations and enables a new range of prospective targets for targeted killings. In other words, the US may be gradually normalising the practice of extrajudicial murder by states, particularly if other states do not accept that the right of anticipatory self-defence belongs to the US alone.
There is already some evidence that this loosening of the barriers against assassinations or targeted killings is now in play. The US has already begun to expand its range of targets beyond traditional insurgents by drawing up a ‘hit list’ of Afghan drug lords.97 Other states have begun to follow suit and adapt extrajudicial killings to their own purposes. For
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example, Israel has begun to use drones to strike at militants in the Sinai and in the Pales- tinian territories.98 According to a New York Times report, China seriously considered using a drone strike to kill a notorious drug lord in Myanmar.99 At present, the chief reason that more states have not joined the practice of using drones to target their enemies is that their technology has lagged behind industry leaders such as the US and Israel. But as more states catch up, the prospect of an increasing number of states engaging in targeted killings against their domestic enemies becomes a real one. A high-level panel at the Stimson Center recently sketched out a number of scenarios where drones could be used by others for tar- geted killings, such as Russia using drones to kill its enemies in Ukraine without admitting its legal reasoning for doing so. The danger of the American practice of drones is that it has produced a new pattern of state behaviour that may lead more states to join the assassination game. The Stimson Center report asks: ‘is the United States inadvertently handing abusive foreign regimes a playbook for murdering those it considers politically inconvenient under the guise of combating terrorism?’100
A growing number of ethics scholars have also begun to recognise that this gray area between war and peace may be necessary, but should not be seen as a free-for-all zone where any form of violence is permitted. In the areas which Michael Walzer calls the ‘in between zones’, where terrorists are operating in ungoverned or less governed spaces, drone strikes must still be assessed on the basis of jus en bello standards or, as Braun and Brunstetter argue, a modified form of jus en bello with even stricter standards of pro- portionality and discrimination.101 In this realm, increasingly called jus ad vim, Braun and Brunstetter argue that the resort to force in these ethical gray zones should not be permiss- ible on the basis of a generally articulated threat, as is often the case with the US targeted killings programme. In these areas, harm to civilians must be measured in a way that stretches beyond body counts and incorporates a wider notion of harm, including psycho- logical harm. Even if one concedes that the US may be right that there is a space short of war where some form of force should be permitted, it does not follow that the standards cur- rently applied by the CIA’s drone programme, which presume a broadly articulated threat and a narrowly articulated standard of proportionality, must be accepted.
In this context, the technology of drones becomes relevant once more and interacts with American policy in dangerous ways. One of the chief ethical dangers arising from drones is moral hazard, where the fact that drone technology is low-cost and increasingly accessible to a number of states means that targeted killings becomes easier and therefore more fre- quent. As Kaag and Kreps argue, the expediency of drone-based targeted killing can be con- fused with the moral justification for it; just because something can be done quickly and with a modicum of personal risk does not mean that it is justified.102 Drone technology is seductive because it can create the illusion of riskless war and lead more states into taking risks to kill more enemies with drone strikes in other lands. Here the US policy on targeted killing is perilous if it creates a precedent and leads other states to follow suit with their own drones-based targeted killing programmes. The spread of drone technol- ogy and the American precedent could combine to create a world in which more and more states engage in targeted killings because they are easy and because so many of their rivals do it. Such a world would be closer to the rule of the jungle than to the rule-based inter- national order that the US sought to create and sustain over the last 50 years.
Conclusion
One of the unfortunate consequences of the rise of drone-based targeted killings is that much of the debate over the technology and its uses focuses exclusively on that function
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and its legal and moral consequences. It is important to remember that targeted killings are not the only function of drones; they can be put to a wide range of other, often beneficial purposes. For example, as David Whetham points out in his contribution here, drones could play an important role in complex humanitarian emergencies as they can conduct sur- veillance in regions (like the Syrian civil war today) where outside monitors find it too dif- ficult to operate.103 Similarly, Caroline Kennedy and James Rodgers argue that drones can provide a solution for the UN in peacekeeping operations, both by reducing the risks that peacekeepers face and by monitoring the compliance of signatories to peace agreements.104
Kennedy and Rodgers go even further by suggesting that armed drones might be able to play a useful role in peace enforcement. Both of these uses of drones have legal and ethical questions; there are important issues surrounding the legal authority for their use, the control of the drones, the legal accountability for their use, and the moral hazard that flows from their employment by the UN or other actors. But they point to an important fact: a world of drones is not inevitably one in which targeted killings are their only, or even primary, function.
Whether this world ever emerges has to do largely with what the US – as a leader in the research and development of drones and as the world’s largest and most innovative user of drones – does next. In other words, the legal and ethical implications of drones are not set in stone but are in fact being created and reinforced by discrete American policies. At present, the use of drones by the Obama administration has been directed towards establishing a right of anticipatory self-defence, enabled and accelerated by drone technology, which is accorded exclusively to the US government. Such an articulation of the purpose of drones is dangerous because it may begin to crowd out other, more beneficial, uses of drones, and to produce a set of precedents that may be exploited by other states. The pol- icies employed by the Obama administration for drone-based targeted killings have begun to slowly erode some of the traditional legal and ethical restraints on the use of force, creat- ing a growing gap between current American practice and how armed force should be used according to the law of armed conflict. Such an approach is short-sighted for it surrenders the opportunity for the US to take the lead in articulating precisely what the legal and ethical implications of drones are and how the rules on the use of force must be adapted to accom- modate and control them. By developing a targeted killing programme as an exceptional, US-only proposition, and by keeping that programme in the shadows, the Obama adminis- tration may be hastening a day in which others use drones in ways hostile to both American interests and to a just international order.
Acknowledgements The author is grateful to Emma Leonard Boyle for feedback on this piece and wishes to thank all of the authors and reviewers who made this special edition possible.
Disclosure statement No potential conflict of interest was reported by the author.
Notes on contributor Michael J. Boyle is an Associate Professor of Political Science at La Salle University in Philadelphia. His most recent book is Violence after War: Explaining Instability in Post-Conflict States (Baltimore: Johns Hopkins Press, 2014).
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Notes 1. President Barack Obama, ‘Remarks by the President at the National Defense University’, The
White House, 23 May 2013. http://www.whitehouse.gov/the-press-office/2013/05/23/ remarks-president-national-defense-university (accessed 28 September 2014).
2. John Brennan, ‘The Ethics and Efficacy of US Counterterrorism Strategy’, Address at the Woodrow Wilson Center, Washington DC, 30 April 2012. http://www.wilsoncenter.org/ event/the-efficacy-and-ethics-us-counterterrorism-strategy (accessed 28 September 2014).
3. See, for example, Harold Hongju Koh, ‘The Obama Administration and International Law’, 25 March 2010. http://www.state.gov/s/l/releases/remarks/139119.htm (accessed 28 September 2014).
4. See Daniel R. Brunstetter and Arturo Jimenez Bacardi, ‘Drones and Human Rights: A Clash of Discourses’, in this volume.
5. Barack Obama, ‘Nobel Lecture’, 10 December 2009. http://www.nobelprize.org/nobel_prizes/ peace/laureates/2009/obama-lecture_en.html (accessed 3 November 2014).
6. For example, former General Counsel of the Department of Defense, Jeh Charles Johnson, remarked that ‘this is a new kind of war. It is an unconventional war against an unconventional enemy. And, given its unconventional nature, President Obama – himself a lawyer and a good one – has insisted that our efforts in pursuit of this enemy stay firmly rooted in conventional legal principles.’ See Jeh Charles Johnson, ‘The Conflict Against Al Qaeda and Its Affiliates: How Will It End’, Speech to the Oxford Union, 30 November 2012.
7. This article refers to these standards in general terms, but they are comprised of the Geneva Conventions and the jus ad bellum and jus in bello requirements.
8. Stephanie Carvin, ‘Getting Drones Wrong’, in this volume. 9. This point is made well by Bradley Jay Strawser, ‘Moral Predators: The Duty to Employ Unin-
habited Aerial Vehicles’, Journal of Military Ethics 9, no. 4 (2010): 352–68. See also Straw- ser’s debate with Asa Kasher in ‘Distinguishing Drones: An Exchange’, in Killing by Remote Control: The Ethics of an Unmanned Military, ed. Bradley Jay Strawser (Oxford: Oxford Uni- versity Press, 2013), 47–65.
10. For good discussions of some of the philosophical and ethical questions arising if fully auton- omous drones emerge, see Peter Finn, ‘A Future for Drones: Automated Killing’, The Washington Post, 19 September 2011; Patrick Lin, ‘Drone-Ethics Briefing: What a Leading Robot Expert Told the CIA’, The Atlantic, 15 December 2011.
11. For Robert Sparrow, this fact means that drones are permissible, but fully autonomous drones would not be due to a lack of clear human accountability. See Robert Sparrow, ‘Killer Robots’, Journal of Applied Philosophy 24, no. 1 (2007): 62–77.
12. Human Rights Council, ‘Report of the Special Rapporteur on Extrajudicial, Summary or Arbi- trary Executions, Philip Alston’, Fourteenth Session, 28 May 2010, para. 84.
13. Mary Ellen O’Connell, ‘Unlawful Killing with Combat Drones: A Case Study of Pakistan 2004–2009′, Notre Dame Law School, Legal Studies Research Paper No. 09-43, July 2010, 8–10.
14. Glenn Greenwald, ‘Bravery and Drone Pilots’, Salon, 10 July 2012. 15. See Matthew Power, ‘Confessions of a DroneWarrior’,GQMagazine, 22 October 2013; Mark
Bowden, ‘The Killing Machines’, The Atlantic, 14 August 2013. 16. David Whetham, ‘Killer Drones’, RUSI Journal 158, no. 3 (2013): 22–33. 17. This fact has led a number of scholars to argue that we are now living in a world of post-heroic
warfare. See particularly Edward Luttwak, ‘Towards Post-Heroic Warfare’, Foreign Affairs (May/June 1995); and for an application to drones see Christian Enemark, Armed Drones and the Ethics of War: Military Virtue in a Post-Heroic Age (London: Routledge, 2013); and Robert Sparrow, ‘War Without Virtue’, in Killing by Remote Control: The Ethics of an Unmanned Mili- tary, ed. Bradley Jay Strawser (Oxford: Oxford University Press, 2013), 84–105.
18. Authorization to Use Military Force, Pub L. 107-40, 115 Stat. 224, 14 September 2001. 19. For an effective summary, seeHamdi v. Rumsfeld (2004), 542 U.S. (507), Lawfare, 12 Novem-
ber 2012. http://www.lawfareblog.com/wiki/the-lawfare-wiki-document-library/post-911-era- materials/post-911-era-materials-court-cases/hamdi-v-rumsfeld-542-u-s-507-2004/ (accessed 21 October 2014).
20. Jack Goldsmith, ‘CongressMust Figure OutWhat Our Government is Doing in the Name of the AUMF’, Lawfare, 17 May 2013. http://www.lawfareblog.com/2013/05/congress-must-figure- out-what-our-government-is-doing-in-the-name-of-the-aumf/ (accessed 8 October 2014).
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21. Charlie Savage, ‘White House Invites Congress to Approve ISIS Strikes, but Says It’s Not Necessary’, The New York Times, 10 September 2014.
22. Remarks by Attorney General Eric Holder, Northwestern Law School, 5 March 2012. 23. Brennan, ‘The Ethics and Efficacy of US Counterterrorism Strategy’. 24. Jennifer Daskal and Stephen I. Vladeck, ‘After the AUMF’, Harvard National Security
Journal 5 (2014): 115–46. 25. Hongju Koh, ‘The Obama Administration and International Law’. 26. Department of Justice White Paper, ‘Lawfulness of a Lethal Operation Against a U.S. Citizen
Who is A Senior Operational Leader of al Qai’da or an Associated Force’, obtained by NBC News, quotes at pp. 3, 4.
27. Quoted in Andrew Rosenthal, ‘The Forever War’, The New York Times, 17 May 2013. 28. Susan Page, ‘Panetta: “30 Year War” And a Leadership Test for Obama’, USA Today, 6
October 2014. 29. Jeh Charles Johnson, ‘The Conflict Against Al Qaeda and Its Affiliates: How Will It End’,
Speech to the Oxford Union, 30 November 2012. 30. Craig Whitlock, ‘Panetta: U.S. “Within Reach” of Defeating al Qaeda’, The Washington Post,
9 July 2011. 31. The number of 30 countries where al-Qaeda operates comes from The New York Times, ‘Map
of Countries Where al Qaeda and Its Affiliates Operate’, 12 May 2011. 32. Obama, ‘Remarks by the President at the National Defense University’. 33. Jack Goldsmith, ‘Obama’s Breathtaking Expansion of a President’s Power to MakeWar’, Time
Magazine, 11 September 2014. 34. Harold Hongju Koh, ‘How to End the Forever War’, Speech at the Oxford Union, 7 May 2013.
DoD backs up, see Goldsmith. 35. Ed O’Keefe, ‘Kaine: If Congress Doesn’t Authorize Military Action, “WeWill Have Created a
Horrible Precedent”’, The Washington Post, 23 September 2014. 36. Hongju Koh, ‘The Obama Administration and International Law’. 37. Ibid. 38. For a good statement of this view, see Jordan J. Paust, ‘Self Defense Targetings of Non-State
Actors and the Permissibility of US Use of Drones in Pakistan’, Journal of Transnational Law and Policy 19, no. 2 (2009): 237–80.
39. United Nations General Assembly, Human Rights Council, ‘Report of the Special Rapporteur on Extrajudicial, Summary or Arbitrary Executions, Philip Alston’, 14.
40. Ibid. 41. Department of Justice White Paper, ‘Lawfulness of a Lethal Operation Against a U.S. Citizen
Who is A Senior Operational Leader of al Qai’da or an Associated Force’, quote at p. 7. 42. Ibid., 8–9. 43. Thomas M. McDonnell, ‘Sow What You Reap? Using Predator or Reaper Drones To Carry
Out Assassinations or Targeted Killings of Suspected Islamic Terrorists’, George Washington International Law Review 44 (2012): 243. http://digitalcommons.pace.edu/cgi/viewcontent. cgi?article=1857&context=lawfaculty, 289.
44. Jo Becker and Scott Shane, ‘Secret “Kill List” Proves a Test of Obama’s Principles and Will’, The New York Times, 29 May 2012.
45. The US is generally supportive of Israel’s right to preventive self-defence to strike terrorist operatives in the West Bank and Gaza, as well as in Lebanon, Syria and elsewhere.
46. Quoted in John Mearsheimer, ‘America Unhinged’, The National Interest (January/February 2014): 29.
47. International Committee of the Red Cross, ‘Combatant Status’. https://www.icrc.org/ customary-ihl/eng/docs/v1_rul_rule3 (accessed 11 October 2014).
48. Convention (III) Relative to the Treatment of Prisoners of War. Adopted on 12 August 1949 by the Diplomatic Conference for the Establishment of International Conventions for the Protec- tion of Victims of War, held in Geneva from 21 April to 12 August 1949. Entered into force 21 October 1950.
49. Charles Lane, ‘High Court Rejects Detainee Tribunals’, The Washington Post, 30 June 2006. 50. Michael Walzer, ‘Targeted Killing and Drone Warfare’, Dissent Magazine, 11 January 2013.
http://www.dissentmagazine.org/online_articles/targeted-killing-and-drone-warfare (accessed 7 November 2014).
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51. General Sir Rupert Smith calls this ‘war among the people’. See his The Utility of Force (London: Allan Lane, 2005).
52. Hongju Koh, ‘The Obama Administration and International Law’. 53. See Koh for the administration’s defence. Ibid. 54. Del Quintan Wilber and Peter Finn, ‘US Retires “Enemy Combatant”, Keeps Broad Right to
Detain’, The Washington Post, 14 March 2009. 55. Daskal and Vladeck, ‘After the AUMF’, 115–46. 56. Liz Sly, ‘Al Qaeda Disavows Any Ties with Radical Islamist ISIS Group in Iraq, Syria’, The
Washington Post, 3 February 2014. 57. Marty Lederman, ‘The Legal Theory Behind the President’s New Initiative Against ISIL’, Just
Security, 10 September 2014. 58. Cora Currier, ‘Who Are We At War With? That’s Classified’, Pro Publica, 26 July 2013. 59. Michael J. Boyle, ‘Is the US Drone War Effective?’, Current History 113, no. 762 (2014). 60. Becker and Shane, ‘Secret “Kill List” Proves a Test of Obama’s Principles and Will’. 61. Danya Greenfield, ‘The Case Against Drone Strikes on People Who Only “Act” Like Terror-
ists’, The Atlantic, 19 August 2013. 62. Kevin Heller, ‘One Hell of a Killing Machine: Signature Strikes and International Law’, Mel-
bourne Legal Studies Research Paper 634, 2012. 63. MQ-9 Reaper Hunter/Killer UAV. http://www.defense-update.com/products/p/predatorB.htm
(accessed 13 October 2014). 64. RQ-1A/MQ1 Predator UAV. http://defense-update.com/products/p/predator.htm (accessed 13
October 2014). 65. David Rohde, ‘The Obama Doctrine: How the President’s Secret War is Backfiring’, Foreign
Policy 192 (March/April 2012): 66. 66. Stanford Law School and NYU School of Law, Living Under Drones (2013): 73–99. 67. Adam Baron, ‘In Yemen, Drones Ill Effects Linger Long After Dust Settles’, Christian Science
Monitor, 17 July 2013. 68. C. Christine Fair, Karl Kaltenhalter, and William J. Miller, ‘Pakistani Opposition to American
Drone Strikes’, Political Science Quarterly 129, no. 1 (2014): 1–33; Christopher Swift, ‘The Blowback Fallacy’, Foreign Affairs, 1 July 2012.
69. C. Christine Fair, Karl Kaltenhalter, and William J. Miller, ‘You Say Pakistanis All Hate the Drone War? Prove It’, The Atlantic, 23 January 2013.
70. The Telegraph, ‘Yemen Drone Strikes Cause Civilians to “Fear the U.S. As Much As al Qaeda”’, 22 October 2013.
71. Becker and Shane, ‘Secret “Kill List” Proves a Test of Obama’s Principles and Will’; Michael J. Boyle, ‘The Costs and Consequences of Drone Warfare’, International Affairs 89, no. 1 (2013): 1–29.
72. John Kaag and Sarah Kreps, Drone Warfare (Cambridge: Polity Press, 2014), 97. 73. See Daniel R. Brunstetter and Arturo Jimenez Bacardi, ‘Drones and Human Rights’, article in
this volume. 74. See Megan Braun and Daniel R. Brunstetter, ‘Rethinking the Criterion for Assessing CIA-Tar-
geted Killings: Drones, Proportionality and Jus ad Vim’, Journal of Military Ethics 12, no. 4 (2013): 304–24.
75. Dieter Fleck, The Handbook of International Humanitarian Law, 3rd edition (Oxford: Oxford University Press, 2013), Section 509.
76. On supreme emergency, see Michael Walzer, Just and Unjust Wars: A Moral Argument with Historical Illustrations, 2nd edition (New York: Basic Books, 1992).
77. Michael Calderone, ‘Robert Gibbs Told Not to Acknowledge Drone Program Exists As White House Press Secretary’, The Huffington Post, 24 February 2013. http://www.huffingtonpost. com/2013/02/24/robert-gibbs-drones-white-house_n_2753183.html (accessed 20 October 2014).
78. Karen DeYoung, ‘After Obama’s Remarks on Drones, White House Rebuffs Security Ques- tions’, The Washington Post, 31 January 2012.
79. Becker and Shane, ‘Secret “Kill List” Proves a Test of Obama’s Principles and Will’. 80. Kaag and Kreps, Drone Warfare, 40. 81. Micah Zenko, Reforming U.S. Drone Strike Policies, New York: Council on Foreign Relations,
Report No. 65, January 2013. See also Tim Starks, ‘Unmanned Oversight’, The New Republic, 7 February 2013.
The International Journal of Human Rights 125
82. Kaag and Kreps, Drone Warfare, 67. 83. Peter W. Singer, ‘Do Drones Undermine Democracy?’, The New York Times, 21 January 2012. 84. See the discussion in the Stimson Center, The Task Force on Drone Policy (Washington, DC:
June 2014), 33. 85. Braun andBrunstetter, ‘Rethinking theCriterion for AssessingCIA-TargetedKillings’, 310–11. 86. Stimson Center, The Task Force on Drone Policy, 33. 87. O’Connell, ‘Unlawful Killing with Combat Zones’, 7. 88. Senator Lindsay Graham has estimated that drones have killed 4700 people. Spencer Acker-
man, ‘Senator Lists the Death Toll from Drones at 4,700 People’, Wired, 21 February 2013. 89. See the discussion in Gabriella Blum and Philip B. Heymann, ‘Law and Policy of Targeted
Killings’, Harvard National Security Journal 145 (2010): 145–70. 90. UN Special Rapporteur on Extrajudicial Assassinations, Handbook (Center for Human Rights
and Global Justice, New York University), ‘Chapter Two: Use of Force by Law Enforcement Officials’. http://www.extrajudicialexecutions.org/application/media/Handbook%20Chapter% 202%20use%20of%20force%20in%20LE.pdf (accessed 21 October 2014).
91. Philip Alston, ‘The CIA and Targeted Killings Beyond Borders’, Harvard National Security Journal 2 (2011): 283–446. See also Blum and Heymann ‘Law and Policy of Targeted Killings’.
92. Stanford Law School and NYU School of Law, Living under Drones, 121. 93. Ward Thomas, ‘Norms and Security: The Case of International Assassination’, International
Security 25, no. 1 (2000): 105–33. 94. Hongju Koh, ‘The Obama Administration and International Law’. 95. O’Connell, ‘Unlawful Killing with Combat Zones’, 16. 96. See David Kretzmer, ‘Targeted Killings of Suspected Terrorists: Extra-Judicial Executions or
Legitimate Means of Self-Defence?’, The European Journal of International Law 16, no. 2 (2005): 171–212.
97. Blum and Heymann, ‘Law and Policy of Targeted Killings’, 148. 98. Associated Press, ‘Israeli Drone Kills Suspected Islamic Militants in Egypt’, 9 August 2013. 99. Jane Perlez, ‘Chinese Plan to Kill Drug Lord with Drone Highlights Military Advances’, The
New York Times, 20 February 2013. 100. Stimson Center, The Recommendations and Report of the Task Force on Drone Policy
(Washington, DC: 2014), 37. 101. Michael Walzer, ‘On Fighting Terrorism Justly’, International Relations 21 (2007): 480–4;
Braun and Brunstetter, ‘Rethinking the Criterion for Assessing CIA-Targeted Killings’, 306. 102. Kaag and Kreps, Drone Warfare, 112. 103. David Whetham, ‘Drones to Protect’, in this volume. 104. Caroline Kennedy and James Rodgers, ‘Virtuous Drones’, in this volume.
126 M. J. Boyle
- Abstract
- Legal authority
- Nature of targets
- Drone usage
- Transparency and accountability
- Precedent
- Conclusion
- Acknowledgements
- Disclosure statement
- Notes on contributor
- Notes
without_leadership_there_is_no_change_article.pdf
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Without leadership there is no change
In this article Philip Atkinson and Robert Mackenzie demonstrate that high quality performance cultures can be shaped through aligning leadership with strategies
based on a careful selection of continuous improvement lean strategies. Their contention is that ‘without leadership there can be no strategic thrust, change and improvement’. Ultimately, they believe ‘the degree to which your organisation will succeed or fail is dependent on your leaders ‘actions and behaviours.’
Organisations in both the public and private sector are going through some difficult times. There are still many who have to bite the bullet and focus on improving efficiencies and performance. These changes will not happen by accident nor will they happen by adherence to a ‘flavour of the month’ programmed instruction. Effective change has to be led by committed leaders who are focusing on changing behaviours. Leadership is not something that simply occurs it has to be led
by the top tiers and delivered and sustained through personal commitment.
No leadership, no vision and no direction Strategies available for influencing and forming a strongly focused performance culture come down to one effective option: concentrate almost completely on the dominant style of leadership in driving, installing and sustaining continuous improvement. In these difficult post recessionary times, we have to rethink our ‘organisational capability’ to operate in a highly unpredictable environment. This is true in all sectors. Many have not yet taken those extremely challenging decisions in order to structure their organisation for change.
Structure yourself for change: Change is transformational not transactional In today’s business environment you have to anticipate the
Most organisational cultures evolve by default rather than by design, implying that organisations can adapt faster and more effectively if they are led through the process. By Philip Atkinson and Robert Mackenzie.
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next transition, prepare for it, and build a culture and the capability to make it work. To do that you need to enlist the support of leaders who want to create that culture. The old transactional role of ‘manager’ is replaced by the requirement to lead teams to build a strong and resilient culture. The command and control bureaucratic model of organisation with its ‘silo mentality’ will no longer survive, even in the most outmoded of public service organisations.
A leader portrays a much stronger position and role than the traditional role of manager. Leadership requires ownership of issues, concepts, taking charge, being action-oriented, positively influencing events, displaying a personal mission with responsibility, as well as being a role model for others. Organisations driven by leaders with strong positive values will take their organisations where mere managers can only dream.
Quality management starts with quality of leadership The charismatic qualities of those who lead the organisation ultimately influence the quality of your achievements as a business. How can we have a culture focused on continuous improvement if we don’t encourage staff at all levels to demonstrate that they are high calibre individuals? And just as a sports coach gives careful consideration to the composition of her or his team, so the top team of any organisation should pay attention to the composition, the development, and to the core attributes and characteristics of its key people in the business.
Create internal capability to drive change You need your own internal capability to drive and sustain change. The key players will either be a combination of direct reports to the top team, or middle management who report to the most senior level within the organisation. With an organisation of 2,000 people, if you can positively influence the top 100 staff, then you are in a very strong position to impact business performance for the better. This means that by focusing your efforts on working with just 5% of staff, ie the top team and their direct reports, the natural outcome, if well designed, is to significantly shift the performance of the whole business for the better.
Total business transformation If you don’t have the right leadership in place, it matters little how much you invest in lean, continuous improvement, technology, telephony, process improvement, systems development etc.
Fundamentally, how people are led and managed is central to building a robust business. When the management of people is designed to make a difference to performance, there
The most important factors in shaping any business culture are both derived from the behaviour demonstrated by those who lead and control the business.
is a strong cause-effect relationship between great leaders and their teams achieving much more than those who demonstrate poor or confused leadership.
Informed and targeted investment in shaping leadership behaviour will translate immediately to performance efficiencies, including providing best practise and best value. In this post recession economy it is vital for organisations to commit to the fundamentals of developing a performance enhancing leadership style to drive significant business transformation.
Mindset change – creating a legacy In large successful business giants such as General Electric, Apple, Microsoft, Toyota, ‘transformation’ means far more than just managing and administering daily transactions. It requires a pioneering mindset of focusing on strategic goals and translating these into their business operations. Leadership has to be reflected in the behaviours and actions which ultimately impact the customer for the better. What enables this to happen is a shift in leadership from focusing ‘internally’ on administering and transacting day to day operations, to ‘outwardly’ transforming the business to achieve a state of customer focused self-renewal.
Leadership behaviour shaping culture and performance? The two most important factors in shaping any business culture are both derived from the behaviour demonstrated by those who lead and control the business. The first is ‘what do leaders pay most attention to’. When leaders invest time in their people and deliberately improve quality and customer responsiveness, that’s seeing leadership behaviour in action. It signals what is important – and what is not.
The second driver of effective performance is ‘how leaders respond to critical incidents’, such as crises and difficulties. People notice this and it strongly signals to staff what is a priority and what is not. Leaders and senior staff often fail to recognise that ‘grapevine comments’ are generated, circulate and grow because of what others see and feel and interpret from their leaders behaviour and actions.
People are boss watchers Everyone does it – most of us spend time observing the behaviour of others more senior to us and we assess whether or not they are living the values they espouse. Be careful, because others will be also be observing your behaviour – because you may be their boss or have an authoritative position to uphold. ‘Doing what you say and saying what you do’ is critical in establishing a consistent management style which will spread throughout the organisation. We all devote time to focusing upon ‘what the top people pay most attention to’ because that is what shapes the culture, teamworking and the performance of every single organisation.
What do you see in that reflection in the mirror? Take the test. What is it like to receive your behaviour as a leader on a ‘bad day?’ We encourage organisations to streamline swiftly by examining the dominant values and leadership behaviours presented intentionally or otherwise in
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how leaders communicate with their people – ‘top to bottom’. The purpose of this is to establish the behaviours which lead to significant and enhanced performance and differentiate them from those which do not. Unsurprisingly, dominant behaviours from the top tiers of the business determine the dominant style of management that will flow throughout the organisation. For new people joining the organisation these are clear signs of how to behave.
Neuro leadership and emotional intelligence Most behaviour is ‘unconscious’. Although people are conscious of what they are doing, they may not be conscious of their motives and the impact this has on others. They may not be conscious of how their behaviour is received unless they have a high degree of sensitivity, seek feedback on their style.
We talk of neuro leadership. Our approach is to focus on improving the interpersonal competence of people in leadership positions so they can best associate, align, motivate and enthuse their staff and teams.
For this reason we regularly design specific 360 degree leadership assessments looking at leadership behaviour not only from a managerial standpoint through self-assessment – but also by winning the support of others. We ask for feedback from co-workers, peers and colleagues as well as direct reports and others involved in any direct or indirect supply chain relationship. In a sales or B2B context we often seek feedback from customers or business partners so that managers can take a ‘reality check’ on their personal performance.
This activity also helps to assess the potential of managers and leaders and is a powerful way to structure a succession process within an organisation. Huge returns can be experienced when tailoring training and all development activities towards adding value to all team workers. Often this exercise will generate a whole list of questions – here are the top five.
QUESTION 1 Who is a leader? Anyone who manages someone is a leader. Anybody who has responsibility for the performance of others is a leader. If you have staff reporting to you, your results are determined by how well you lead your people. A manager can leave today and a new recruit takes over the tomorrow. The style of leadership of that new recruit (for good or ill) will significantly shift how she or he leverages people to deliver the results. Leadership has a major impact on the performance of teams.
Also, consider the solitary individual with a more technical specialism – is there a role of leadership for this person? Of course – he or she is part of an internal supply chain and needs to demonstrate strong team behaviour to ensure that the supply chain is strong, firm and delivers to expectations. This person will influence how others operate.
‘Leadership is the significant factor in impacting upon organisation performance and one which many organisations need to address as we work through the early years of the next decade.’
QUESTION 2 Is there a difference between a manager and a leader?
There is a major and fundamental difference. We consider
Leaders must display a high degree of energy to demonstrate their resilience and their ability and stamina to contribute in a demanding business.
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managers to be more transactional in nature – that is, dealing with processes and protocols focusing upon the administration of the system. Managers may do the job right – but leaders will do the right job. Leadership is about transformation and is largely to do with challenging the way business objectives are achieved.
Leadership requires an enthusiastic manner and focus for creating a strong vision for the organisation and ensuring that they inspire others to achieve. Transformational leaders will devote time to ‘thinking out of the box’, taking thoughtful risks, and building strong teams of people to work across boundaries and silos.
QUESTION 3 Can you have too much leadership? We have yet to find an organisation which does – although there are plenty of businesses that are making great strides in how they drive for change. The real focus should be on ‘what can we do better, quicker, in a more customer focused manner?’ Leadership can soon be created and the effect of a strong leadership programme will be instant. Just think now – in your organisation, what percentage of those who manage others are true leaders in how they behave? Now, consider if it were possible to increase that by a factor of 10 -15% – to create those with the attributes to drive sustained change and improvement – what effect would that have on your business performance?
QUESTION 4 What benefits can you expect from a strong leadership programme?
1. Leadership will exist by design rather than by default and will quickly highlight desired ways of working and team building, moving from the strictly task led behaviours to become more creative and strategic.
2. Behaviours will be clarified which will immediately lead to improved team performance.
3. Clear signals will be given to new recruits or those new to a managerial position.
4. Development activities can be designed specifically to support managers as they manage the transition to the strong transformational model of behaviour.
5. Morale within teams will increase because team members will be expecting and experience a freedom to succeed – simply because trust will take over from control.
6. Performance management will be taken seriously and new measures can soon become tangible.
7. Most importantly, those who are ‘early adaptors’ will be able to support those who take a little more time to practice the skills.
The focus of the organisation will be on ‘achieving the best from teams.’
It is pretty obvious that the real benefit accrues to organisations seeking to attract and retain the top talent in their field. In 2015+, new recruits of high calibre are a scarce resource for many organisations. To attract such quality people, organisations will require to demonstrate a positive, healthy culture in which people can grow and prosper. Those companies that fail to develop sound strategies to attract and retain strong leaders, will not have the best choice of the market.
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‘The leader is not employed to be a super independent and sole performer but, rather, committed to achieve results through others – so that ultimately, leadership is about creating an empowered culture which is self-sustaining through extensive influence and persuasion.’
QUESTION 5 What are the personal characteristics of effective leaders?
Effective leaders pursue transformational type behaviours but what specifically do they need to do more and less of in terms of driving change through team work?
Energise self and others Leaders must be able to energise themselves and others. They must display a high degree of energy to demonstrate their resilience and their ability and stamina to contribute in a demanding business. Energy means being positive. It is unlikely that someone who displays inactivity and a lacklustre desire to improve things will be able to work closely with challenging projects.
Energising others demonstrates a consistent way of behaving which illustrates some positive actions which hopefully others can emulate and master. The leader who understands how important it is to get their team to express themselves confidently and with pride, will probably commit to improving their influencing and persuasion skills with others.
Enthusiasm Self-confidence is key to effective leadership. If a leader fails to display self-confidence, and has a less than positive image and self esteem, it is unlikely that they can inspire others to superlative performance. The major factor holding people back
from achieving their potential is their personal beliefs about what they can and cannot do. The oft quoted statement from Henry Ford perfectly reflects this sentiment.
‘Whether you think you can or you think you can’t, you’re right’
Execute Leaders have to be decisive after taking in relevant data, comparing the ‘pro’s and con’s’, and then deciding. Here execution of the decision becomes the norm. People who fail to take decisions, fail to learn from their experiences.
In many ways good leadership comes from ‘experience’, some of which has involved some degree of failure. Good leadership comes from learning about things that did not go so well – not just success. Managers who fail to make decisions – until they have every piece of the jigsaw puzzle – will never make anything happen in their organisations.
Edge and continuous improvement The top ten percent of people in any profession or business will never need to look for a job – they will always be in demand and will be highly valued. Understanding where the ‘edge’ is in improvement is critical when looking at current problems, and thinking creatively for new solutions.
Always being alert and open to new ways of working is what characterises sharp people who live at the ‘Edge‘ of improvement. They challenge the way things are done to improve performance and are wise in how they use their time to best effect.
Our research indicates that there are multiple behaviours that demonstrate effective leadership behaviour. These behaviours
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are pivotal to leadership performance and from our experience the key is to develop the person ‘inside out’ – so that the benefits accrue to both the individual and the organisation.
Summary Leadership is a critical issue for many businesses. Talent is increasingly a scarce resource, and the methods for sustaining the flow and retention of good quality people are not in abundance. We are half way through the second decade of this new century, and competition for the best people will intensify, implying that potential recruits have a choice of working with a strong leadership culture or someone else. Our experience is that high flyers choose the former.
Organisations and their top teams committed to developing a strong culture composed of high quality people, know that Leading by Example is a critical competence to display outwardly and in the policies, strategies and processes that hold the organisation together. Many management teams today do not realise they face a ‘leadership challenge.’ It is worth knowing
that those organisations that can implement strategies for continued and sustained improvement will be those peopled by high flyers. These high flyers don’t just evolve and gravitate to your organisation by accident. They have to be developed, coached and ultimately retained and groomed for senior positions and challenges.
By now you’ll be aware of the numerous benefits of developing a strong leadership style which is fundamentally based on transformational behaviours. We think you’ll agree that it is surprising that many organisations neglect or fail to fully commit to investing in their most senior people – those who Lead others. Transformational leadership is within the grasp of most organisations. For those committed to this approach, the results for the business can be immense once your business has established and aligned a strong leadership style with strategies for continual improvement. Those who achieve and develop a strong internal leadership capability and culture will be able to sustain any drive for change and guarantee a competitive edge for the future.
About the Authors
Philip Atkinson specialises in strategic cultural and behavioural change. For the last 25 years he has been engaged as a consultant supporting organisations in strategic development, leadership, organisational design, post-acquisition integra- tion, lean six-sigma, quality management and culture change. He has partnered with a variety of blue-chip companies in industries ranging from pharmaceutical to genetics, and the automotive industry to finance and banking. He regularly presents at conferences and workshop sessions and has written seven books on change management. Philip is also Direc- tor of Business Transformation with Scott Moncrieff. He can be contacted through his website www.philipatkinson.com or that of www.scott-moncrieff.com Email [email protected] or T: 44 131 473 3500 M: 44 7999 799286.
Robert Mackenzie is Chairman and Corporate Consulting Services Partner of the Consultancy and Accountancy firm Scott Moncrieff. He has over 25 years’ experience of organisational change, performance improvement, internal audit, comput- er audit, and risk management, and is a key member of the firm’s Public Sector Audit Group. Tel: 0131 473 3500. Email: [email protected]
The charismatic qualities of those who lead the organisation ultimately influence the quality of your achievements as a business.