By Mark Sanborn, CSP, CPAE Donald Trump, paragon of the real estate world, files for bankruptcy. Richard Nixon, 37th U.S. President, resigns the presidency over the Watergate scandal. Jennifer Capriati, rising tennis star, enters a rehabilitation center for drug addicts. Jim Bakker, renowned televangelist, is convicted of fraud. In the recent past, we've witnessed the public downfall of leaders from almost every area of endeavor—business, politics, religion, and sports. One day they're on top of the heap, the next, the heap's on top of them. Of course, we think that such catastrophic failure could never happen to us. We've worked hard to achieve our well-deserved positions of leadership—and we won't give them up for anything! The bad news is: the distance between beloved leader and despised failure is shorter than we think. Ken Maupin, a practicing psychotherapist and colleague, has built his practice on working with high-performance personalities, including leaders in business, religion, and sports. Ken and I have often discussed why leaders fail. Our discussions have led to the following "warning signs" of impending failure. WARNING SIGN #1: A Shift in Focus This shift can occur in several ways. Often, leaders simply lose sight of what's important. The laser-like focus that catapulted them to the top disappears, and they become distracted by the trappings of leadership, such as wealth and notoriety. Leaders are usually distinguished by their ability to "think big." But when their focus shifts, they suddenly start thinking small. They micro manage, they get caught up in details better left to others, they become consumed with the trivial and unimportant. And to make matters worse, this tendency can be exacerbated by an inclination toward perfectionism. A more subtle leadership derailer is an obsession with "doing" rather than "becoming." The good work of leadership is usually a result of who the leader is. What the leader does then flows naturally from inner vision and character. It is possible for a leader to become too action oriented and, in the process, lose touch with the more important development of self. What is your primary focus right now? If you can't write it on the back of your business card, then it's a sure bet that your leadership is suffering from a lack of clarity. Take the time necessary to get your focus back on what's important. Further, would you describe your thinking as expansive or contractive? Of course, you always should be willing to do whatever it takes to get the job done, but try never to take on what others can do as well as you. In short, make sure that your focus is on leading rather than doing. WARNING SIGN #2: Poor Communication A lack of focus and its resulting disorientation typically lead to poor communication. Followers can't possibly understand a leader's intent when the leader him- or herself isn't sure what it is! And when leaders are unclear about their own purpose, they often hide their confusion and uncertainty in ambiguous communication. Sometimes, leaders fall into the clairvoyance trap. In other words, they begin to believe that truly committed followers automatically sense their goals and know what they want without being told. Misunderstanding is seen by such managers as a lack of effort (or commitment) on the listener's part, rather than their own communication negligence. "Say what you mean, and mean what you say" is timeless advice, but it must be preceded by knowing what you mean! An underlying clarity of purpose is the starting point for all effective communication. It's only when you're absolutely clear about what you want to convey that the hard work of communicating pays dividends. WARNING SIGN #3: Risk Aversion Third, leaders at risk often begin to be driven by a fear of failure rather than the desire to succeed. Past successes create pressure for leaders: "Will I be able to sustain outstanding performance?" "What will I do for an encore?" In fact, the longer a leader is successful, the higher his or her perceived cost of failure. When driven by the fear of failure, leaders are unable to take reasonable risks. They want to do only the tried and proven; attempts at innovation—typically a key to their initial success—diminish and eventually disappear. Which is more important to you: the attempt or the outcome? Are you still taking reasonable risks? Prudent leadership never takes reckless chances that risk the destruction of what has been achieved, but neither is it paralyzed by fear. Often the dance of leadership is two steps forward, one step back. WARNING SIGN #4: Ethics Slip A leader's credibility is the result of two aspects: what he or she does (competency) and who he or she is (character). A discrepancy between these two aspects creates an integrity problem. The highest principle of leadership is integrity. When integrity ceases to be a leader's top priority, when a compromise of ethics is rationalized away as necessary for the "greater good," when achieving results becomes more important than the means to their achievement—that is the moment when a leader steps onto the slippery slop of failure. Often such leaders see their followers as pawns, a mere means to an end, thus confusing manipulation with leadership. These leaders lose empathy. They cease to be people "perceivers" and become people "pleasers," using popularity to ease the guilt of lapsed integrity. It is imperative to your leadership that you constantly subject your life and work to the highest scrutiny. Are there areas of conflict between what you believe and how you behave? Has compromise crept into your operational tool kit? One way to find out is to ask the people you depend on if they ever feel used or taken for granted. WARNING SIGN #5: Poor Self Management Tragically, if a leader doesn't take care of him- or herself, no one else will. Unless a leader is blessed to be surrounded by more-sensitive-than-normal followers, nobody will pick up on the signs of fatigue and stress. Leaders are often perceived to be superhuman, running on unlimited energy. While leadership is invigorating, it is also tiring. Leaders who fail to take care of their physical, psychological, emotional, and spiritual needs are headed for disaster. Think of having a gauge for each of these four areas of your life—and check them often! When a gauge reaches the "empty" point, make time for refreshment and replenishment. Clear your schedule and take care of yourself—it's absolutely vital to your leadership that you continue to grow and develop, a task that can be accomplished only when your tanks are full. WARNING SIGN #6: Lost Love The last warning sign of impending disaster that leaders need to heed is a move away from their first love and dream. Paradoxically, the hard work of leadership should be fulfilling and even fun. But when leaders lose sight of the dream that compelled them to accept the responsibility of leadership, they can find themselves working for causes that mean little to them. They must stick to what they love, what motivated them at the first, to maintain the fulfillment of leadership. To make sure that you stay on the track of following your first love, frequently ask yourself these three questions: Why did I initially assume leadership? Have those reasons changed? Do I still want to lead?
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Heed the Signs The warning signs in life—from stop lights to prescription labels—are there for our good. They protect us from disaster, and we would be foolish to ignore them. As you consider the six warning signs of leadership failure, don't be afraid to take an honest look at yourself. If any of the warnings ring true, take action today! The good news is: by paying attention to these signs and heeding their warnings, you can avoid disaster and sustain the kind of leadership that is healthy and fulfilling for both yourself and your followers.
Thursday, May 10, 2007
Rigid leadership? No, he’s great. – Junichiro Koizumi
Junichiro Koizumi, Japan’s former Prime Minister, secured a landslide victory in the Lower House elections on September 11, 2005. This victory proved his leadership was not in a wrong way.
Since he became the President of the Liberal Democratic Party (LDP), he had persisted in privatization of Japan’s postal services because he deemed national postal services full of inefficiency. However, he was always with difficulties. A significant number of legislators were against the privatization, asserting the right of people who live in rural areas. Even some influential legislators in the LDP were against Koizumi, too. In these difficulties, however, he never listened to others’ opinions. He kept insisting on the necessity of the privatization. At this point, he was considered too rigid.
When his plans to privatize the postal services were rejected in the House of Councilors, he did not hesitate to dissolve the Lower House (the House of Councilors cannot be dissolved). He professed that he would resign the Prime Minister if he could not win in the following elections. By dissolving the Lower House, he wanted to ask the public if they want the privatization or not, i.e., if Japanese people support him or not. The consequence of the elections was… shown above.
It is true that he was extremely rigid, but he was so because he was confident of his privatization plans. He knew what was necessary to improve Japan. He knew he himself must implement it even though he would face difficulties. Rigid leadership can be classified as bad leadership, but I believe his rigidness was proof of his great leadership.
http://news.bbc.co.uk/2/hi/asia-pacific/4232988.stm
Since he became the President of the Liberal Democratic Party (LDP), he had persisted in privatization of Japan’s postal services because he deemed national postal services full of inefficiency. However, he was always with difficulties. A significant number of legislators were against the privatization, asserting the right of people who live in rural areas. Even some influential legislators in the LDP were against Koizumi, too. In these difficulties, however, he never listened to others’ opinions. He kept insisting on the necessity of the privatization. At this point, he was considered too rigid.
When his plans to privatize the postal services were rejected in the House of Councilors, he did not hesitate to dissolve the Lower House (the House of Councilors cannot be dissolved). He professed that he would resign the Prime Minister if he could not win in the following elections. By dissolving the Lower House, he wanted to ask the public if they want the privatization or not, i.e., if Japanese people support him or not. The consequence of the elections was… shown above.
It is true that he was extremely rigid, but he was so because he was confident of his privatization plans. He knew what was necessary to improve Japan. He knew he himself must implement it even though he would face difficulties. Rigid leadership can be classified as bad leadership, but I believe his rigidness was proof of his great leadership.
http://news.bbc.co.uk/2/hi/asia-pacific/4232988.stm
Wednesday, May 9, 2007
"Companies don't know what they are doing..."
http://knowledge.wharton.upenn.edu/article.cfm?articleid=1654&CFID=15161194&CFTOKEN=89101502&jsessionid=a83026290160205059a6
Knowledge@Wharton has posted the following interview with Prof. Peter Cappelli, director for the school’s Center for Human Resources, on the topic of Michael Dell once again taking up the CEO position in his company.
I felt this article was relevant to our class because we have spent considerable time in studying and determining the “best practices” for leadership. While we have read many different theories, we understand that there is no single explanation for success or failure only different ways of analysis. In this article, Cappelli points out something that I tend to agree with to a great extent. He states that success is dependent on many factors, including leadership and the business environment. Dell garnered a great deal of success throughout the 80’s and 90’s and has since fallen into a slump. This is isn’t to say that Dell’s leadership is doing something wrong, its just that they have not adjusted to their environment. In fact, Cappelli is certain that Dell is doing the same thing they did earlier, its just not going to work in today’s environment.
As I already mentioned, I tend to agree with his analysis and I’d be interested in seeing what others might this of his assessment.
Knowledge@Wharton has posted the following interview with Prof. Peter Cappelli, director for the school’s Center for Human Resources, on the topic of Michael Dell once again taking up the CEO position in his company.
I felt this article was relevant to our class because we have spent considerable time in studying and determining the “best practices” for leadership. While we have read many different theories, we understand that there is no single explanation for success or failure only different ways of analysis. In this article, Cappelli points out something that I tend to agree with to a great extent. He states that success is dependent on many factors, including leadership and the business environment. Dell garnered a great deal of success throughout the 80’s and 90’s and has since fallen into a slump. This is isn’t to say that Dell’s leadership is doing something wrong, its just that they have not adjusted to their environment. In fact, Cappelli is certain that Dell is doing the same thing they did earlier, its just not going to work in today’s environment.
As I already mentioned, I tend to agree with his analysis and I’d be interested in seeing what others might this of his assessment.
Tuesday, May 8, 2007
Response to Analysis Of Text "Blink"
I haven't read the text Blink but this overview was helpful. In my early days in business I was educated to believe that analysis was more important than my gut feel and instincts, which may be premature. As I have got older and better at understanding that finance and other numbers are derived from human judgements as well as hard facts, I've begun to return to gut feel as a valid measure of a situation, particularly when the information is fuzzy and unclear. The sense that "if something walks like a duck and talks like a duck, it probably IS a duck" tells me I should look at the analysis again, because something isn't right.
However, I do reserve my judgements on people for more than initial impressions, as good people are multi-dimensional and 3 mins might tell you how you FEEL, but not whether this is valid.
The book seems to indicate that gut instincts rule the business world. Good job I'm tall......
However, I do reserve my judgements on people for more than initial impressions, as good people are multi-dimensional and 3 mins might tell you how you FEEL, but not whether this is valid.
The book seems to indicate that gut instincts rule the business world. Good job I'm tall......
Monday, May 7, 2007
Philip Anschutz
Good article about another billionaire who tries to maintain a low profile.
http://www.nytimes.com/2007/04/22/business/yourmoney/22phil.html?ex=1334894400&en=d9be84c14d612731&ei=5124&partner=permalink&exprod=permalink
http://www.nytimes.com/2007/04/22/business/yourmoney/22phil.html?ex=1334894400&en=d9be84c14d612731&ei=5124&partner=permalink&exprod=permalink
Citadel Hedge Fund Manager
Good article about a leader who keeps a low profile and is committed to the community. However, it appear that is about to change with possible political ambitions. Feels to me like someone who is getting more comfortable with the spotlight as time goes on.
http://www.portfolio.com/executives/features/2007/03/29/Opening-Up-the-Citadel?page=0
http://www.portfolio.com/executives/features/2007/03/29/Opening-Up-the-Citadel?page=0
Sunday, May 6, 2007
Blink: The Antithesis of Strategic Decision-Making
The readings in our last class covered decision-making - from the hidden traps, overconfidence and mental pitfalls that challenge our decision-making abilities to the potential of a devil's advocate to bolster them.
Fresh from these readings, I decided to pick up the book "blink" by Malcolm Gladwell (I think someone may have referenced it briefly at the beginning of the course). A big fan of Gladwell's book The Tipping Point, I had been meaning to read his second best seller. While I haven't quite finished it yet (who has time for personal reading during the semester?!), I recommend the book because it offers a flip side to the idea of strategic decision making. Blink is about the immediate conclusions your mind unconsciously jumps to when you meet someone, watch an ad, interact with others, read a few sentences, etc. The author uses leading neuroscience and psychology research to determine how people make "snap" decisions and how we can use the findings to improve our ability to make better decisions.
One of the interesting observations he makes is about interviewing for jobs and the immediate impressions we make. He wrote that there is significant evidence that shows that height - particularly in men - creates very "positive unconscious associations." He polled nearly half of the companies on the Fortune 500 list to inquire about their CEOs. No one would be surprised to learn that they are overwhelmingly white men; but they are almost all tall. Here's my favorite stat: "In the U.S. population, about 14.5 percent of all men are six feet or taller. Among CEOs of Fortune 500 companies, that number is 58 percent." And..."in the general American population, 3.9 percent of adult men are six foot two or taller;" among his sample that number was nearly 33 percent! So much for the Napoleon Complex!
There are other interesting examples of our unconscious reactions dealing with race and gender, as well as customers and the way they dress. From what I've read so far, the book is an interesting read and perfect for summer travel. It's even a good read when you're holding a sleeping five-month-old baby on a puddle-jumper plane, as was my case last weekend! Enjoy!
Fresh from these readings, I decided to pick up the book "blink" by Malcolm Gladwell (I think someone may have referenced it briefly at the beginning of the course). A big fan of Gladwell's book The Tipping Point, I had been meaning to read his second best seller. While I haven't quite finished it yet (who has time for personal reading during the semester?!), I recommend the book because it offers a flip side to the idea of strategic decision making. Blink is about the immediate conclusions your mind unconsciously jumps to when you meet someone, watch an ad, interact with others, read a few sentences, etc. The author uses leading neuroscience and psychology research to determine how people make "snap" decisions and how we can use the findings to improve our ability to make better decisions.
One of the interesting observations he makes is about interviewing for jobs and the immediate impressions we make. He wrote that there is significant evidence that shows that height - particularly in men - creates very "positive unconscious associations." He polled nearly half of the companies on the Fortune 500 list to inquire about their CEOs. No one would be surprised to learn that they are overwhelmingly white men; but they are almost all tall. Here's my favorite stat: "In the U.S. population, about 14.5 percent of all men are six feet or taller. Among CEOs of Fortune 500 companies, that number is 58 percent." And..."in the general American population, 3.9 percent of adult men are six foot two or taller;" among his sample that number was nearly 33 percent! So much for the Napoleon Complex!
There are other interesting examples of our unconscious reactions dealing with race and gender, as well as customers and the way they dress. From what I've read so far, the book is an interesting read and perfect for summer travel. It's even a good read when you're holding a sleeping five-month-old baby on a puddle-jumper plane, as was my case last weekend! Enjoy!
Saturday, May 5, 2007
Business Leadership From Non-traditional Sources
HomeBusiness
Unions call NWA stock awards 'obscene'
Northwest released its plan for granting equity to its CEO and other top executives. Unions will oppose the plan in court.
By Liz Fedor, Star Tribune
Last update: May 05, 2007 – 9:33 AM
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Doug Steenland, CEO of Northwest Airlines
Check on NWA's stock
More airlines boost prices on round-trip fares by $10
More from Business
Fix health care? Mayo's on the case
New 'green' frontier: Your dinner
A team with a dream
A generation that expects a different retirement
Super investor Buffett likes Minnesota stocks
Northwest Airlines revealed Friday that it plans to award CEO Doug Steenland $26.6 million in equity in the restructured airline.
Executive vice presidents Neal Cohen, Tim Griffin, Andy Roberts and Phil Haan would each receive equity grants of between $10 million and $13.5 million.
When Northwest emerges from Chapter 11 bankruptcy protection next month, Steenland is expected to be allocated restricted stock with an estimated value of $20.8 million. In addition, he is set to receive stock options with a valuation of $5.8 million. Both types of awards would vest over four years.
Leaders of Northwest unions, whose members have taken double-digit pay cuts to return the airline to solvency, labeled the stock awards "outrageous" and "obscene."This crew of robber barons used the bankruptcy process to extort the wages of its employees for excessive concessions. Now those executives are enriching themselves to obscene proportions," said Wade Blaufuss, a spokesman for the Northwest branch of the Air Line Pilots Association.
Northwest pilots took two rounds of pay cuts -- of 15 percent and 23.9 percent -- and agreed to other contract changes that are saving the airline more than $600 million per year. "We have pilots and other employees who are going through their own personal bankruptcies," Blaufuss said.
The Friday release of the details on the stock awards for the top five executives came just days before Northwest flight attendants begin voting on a contract that saves $195 million a year. A 15-year flight attendant averages $35,433 a year.
Flight attendants have taken pay and benefit cuts, and they have been working longer hours under imposed terms since last summer.
"For them to announce this now at such an outrageous amount of compensation shows how out of touch they are with their own employees," said Andy Wisbacher, vice president of the attendants union.
"The executives keep talking about retaining executive talent," said Wisbacher, of the Association of Flight Attendants at Northwest. "What they should be worrying about is retaining employees, instead of taking their sacrifices to retain the executives who drove us into bankruptcy."
The attendants will vote on a third tentative agreement from Monday through May 29.
Stephen Gordon, a top official with the International Association of Machinists and Aerospace Workers, said the IAM will join the pilots union in court in opposing the management equity plan. He described the stock allocations as "morally wrong."
The equity plan will be included in Northwest's reorganization plan, which must be confirmed by the bankruptcy court before Northwest can leave Chapter 11. A hearing on the plan is scheduled to begin May 16 in New York.
Northwest, in a statement, cited four reasons for the size of the awards to its executives. The carrier said the awards would allow Northwest to recruit and retain executives, to align compensation with the company's financial performance, to create a market-competitive plan that fairly compensates executives and to compensate CEO Steenland at a level that is competitive with his peers.
Northwest also said that Steenland's award is appropriate in the context of the stock awards given to other airline executives. In a Northwest chart, based on regulatory filings, it showed that Doug Parker, US Airways CEO, held stock worth $40.7 million as of the end of last year. American's Gerard Arpey had equity worth $37.7 million, followed by United CEO Glenn Tilton with $27.1 million and Continental's Larry Kellner at $14.9 million.
US Airways and United also were in bankruptcy in recent years.
Some Northwest employees have noted that Gerald Grinstein, Delta's chief executive, has refused to accept equity in Delta, which left bankruptcy this week.
"Comparisons between the equity compensation of Gerald Grinstein and Doug Steenland are apples and oranges," Mike Becker, Northwest's senior vice president of human resources and labor relations, said in a prepared statement Friday. "Management equity plans are designed to incent and retain executives who will lead the organization in the future.
"Mr. Grinstein has announced his intention to retire from Delta later this year and, as such, declined participation in Delta's equity plan. Northwest's board of directors, on the other hand, wishes to retain Mr. Steenland as Northwest's CEO."
The values Northwest placed on the restricted stock and stock options are based on the projected price of the airline's stock when Northwest leaves bankruptcy.
Liz Fedor • 612-673-7709 • lfedor@startribune.com
Obviously as a leader and the job he was tasked to complete with NWA provides reason for Steenland to receive a handsome pay. However, I question the amount in stock options that he will be due. Sure he can only cash them in at restricted quantities with approval of the board and as Delta has shown airlines recently coming out of bankruptcy have their stock prices fall from the initial "new" IPO, but is this ethical? Personally I would have a hard time, as the union members voice, harshly negotiating pay cuts across all unions only to receive stock options in the millions in addition to a handsome base salary. As a leader I would expect to lead by example as well as in voice. But then again he will probably be gone shortly after NWA's exit from bankruptcy having completed the job he was brought in to do.
Unions call NWA stock awards 'obscene'
Northwest released its plan for granting equity to its CEO and other top executives. Unions will oppose the plan in court.
By Liz Fedor, Star Tribune
Last update: May 05, 2007 – 9:33 AM
Print this story
E-mail this story
Save to del.icio.us
Share on newsvine
Doug Steenland, CEO of Northwest Airlines
Check on NWA's stock
More airlines boost prices on round-trip fares by $10
More from Business
Fix health care? Mayo's on the case
New 'green' frontier: Your dinner
A team with a dream
A generation that expects a different retirement
Super investor Buffett likes Minnesota stocks
Northwest Airlines revealed Friday that it plans to award CEO Doug Steenland $26.6 million in equity in the restructured airline.
Executive vice presidents Neal Cohen, Tim Griffin, Andy Roberts and Phil Haan would each receive equity grants of between $10 million and $13.5 million.
When Northwest emerges from Chapter 11 bankruptcy protection next month, Steenland is expected to be allocated restricted stock with an estimated value of $20.8 million. In addition, he is set to receive stock options with a valuation of $5.8 million. Both types of awards would vest over four years.
Leaders of Northwest unions, whose members have taken double-digit pay cuts to return the airline to solvency, labeled the stock awards "outrageous" and "obscene."This crew of robber barons used the bankruptcy process to extort the wages of its employees for excessive concessions. Now those executives are enriching themselves to obscene proportions," said Wade Blaufuss, a spokesman for the Northwest branch of the Air Line Pilots Association.
Northwest pilots took two rounds of pay cuts -- of 15 percent and 23.9 percent -- and agreed to other contract changes that are saving the airline more than $600 million per year. "We have pilots and other employees who are going through their own personal bankruptcies," Blaufuss said.
The Friday release of the details on the stock awards for the top five executives came just days before Northwest flight attendants begin voting on a contract that saves $195 million a year. A 15-year flight attendant averages $35,433 a year.
Flight attendants have taken pay and benefit cuts, and they have been working longer hours under imposed terms since last summer.
"For them to announce this now at such an outrageous amount of compensation shows how out of touch they are with their own employees," said Andy Wisbacher, vice president of the attendants union.
"The executives keep talking about retaining executive talent," said Wisbacher, of the Association of Flight Attendants at Northwest. "What they should be worrying about is retaining employees, instead of taking their sacrifices to retain the executives who drove us into bankruptcy."
The attendants will vote on a third tentative agreement from Monday through May 29.
Stephen Gordon, a top official with the International Association of Machinists and Aerospace Workers, said the IAM will join the pilots union in court in opposing the management equity plan. He described the stock allocations as "morally wrong."
The equity plan will be included in Northwest's reorganization plan, which must be confirmed by the bankruptcy court before Northwest can leave Chapter 11. A hearing on the plan is scheduled to begin May 16 in New York.
Northwest, in a statement, cited four reasons for the size of the awards to its executives. The carrier said the awards would allow Northwest to recruit and retain executives, to align compensation with the company's financial performance, to create a market-competitive plan that fairly compensates executives and to compensate CEO Steenland at a level that is competitive with his peers.
Northwest also said that Steenland's award is appropriate in the context of the stock awards given to other airline executives. In a Northwest chart, based on regulatory filings, it showed that Doug Parker, US Airways CEO, held stock worth $40.7 million as of the end of last year. American's Gerard Arpey had equity worth $37.7 million, followed by United CEO Glenn Tilton with $27.1 million and Continental's Larry Kellner at $14.9 million.
US Airways and United also were in bankruptcy in recent years.
Some Northwest employees have noted that Gerald Grinstein, Delta's chief executive, has refused to accept equity in Delta, which left bankruptcy this week.
"Comparisons between the equity compensation of Gerald Grinstein and Doug Steenland are apples and oranges," Mike Becker, Northwest's senior vice president of human resources and labor relations, said in a prepared statement Friday. "Management equity plans are designed to incent and retain executives who will lead the organization in the future.
"Mr. Grinstein has announced his intention to retire from Delta later this year and, as such, declined participation in Delta's equity plan. Northwest's board of directors, on the other hand, wishes to retain Mr. Steenland as Northwest's CEO."
The values Northwest placed on the restricted stock and stock options are based on the projected price of the airline's stock when Northwest leaves bankruptcy.
Liz Fedor • 612-673-7709 • lfedor@startribune.com
Obviously as a leader and the job he was tasked to complete with NWA provides reason for Steenland to receive a handsome pay. However, I question the amount in stock options that he will be due. Sure he can only cash them in at restricted quantities with approval of the board and as Delta has shown airlines recently coming out of bankruptcy have their stock prices fall from the initial "new" IPO, but is this ethical? Personally I would have a hard time, as the union members voice, harshly negotiating pay cuts across all unions only to receive stock options in the millions in addition to a handsome base salary. As a leader I would expect to lead by example as well as in voice. But then again he will probably be gone shortly after NWA's exit from bankruptcy having completed the job he was brought in to do.
Wednesday, May 2, 2007
The Coach as a Leader
The Coach as a Leaderby Dan Kotaska
When people are asked, "Who is a leader?" many respond by naming politicians, presidents, senators, and governors, military leaders, business leaders, and… successful coaches.
Why are coaches included in this list? Because all coaches are leaders, coaching effectiveness is maximized by understanding how to lead. In a way, the relationship between coaches and players is a contract. Players will follow the coach's wishes or demands and in return they expect their reward, whether that is winning, playing time, positive reinforcement, or some other benefit. With that in mind, a coach has the obligation to find out what each individual's wants and desires are and to get them to believe in the ultimate team goal(s). Here are some guidelines for specific implications of what the coach as a leader should do:
Master and Apply Current Knowledge. Be willing to learn and willing to take the time to understand correct movement mechanics, strategies, and the fundamental principles of sport.
Develop Interpersonal Skills. Develop interpersonal skills especially communication skills. Have a sense of humor but scrap the sarcasm. Players need to feel that they can approach you, if they don't feel that way problems can multiply.
Eliminate all Dehumanizing Language. Treat each person with the dignity and respect that they deserve. Give positive reinforcement rather than negative feedback. Offer solutions when criticism is necessary.
Control Your Emotions. Athletes treat the coach as the role model and will emulate their behavior. If coaches are on the sidelines yelling at officials and throwing chairs, what message is that sending to the players?
Help Athletes Set their own Goals. Goals need to be established as a team and as an individual. Goals should be something that the athletes can actually achieve. Coaches are there to guide athletes in the goal setting process as well as the evaluation of the goals but they are not there to tell the athlete what their goal is or what their goal should be.
Live in the Present. Athletes don't need to be consistently reminded how good your team was last year or in prior years. You may use the past as an example but don't compare your athletes or team to prior years.
Provide Opportunities for Success. Provide good practices, time for game conditions, sensible scheduling and a pleasant atmosphere. The administrative aspects of the job are just as important as any other aspect. Planning, preparation, and budgeting are very important functions. A coach must be a leader, teacher, and an administrator all at once.
Every coach has the ability to lead but it takes work to become a good leader. By following and living by these guidelines, you will be a long way on your path to becoming a good leader.
When people are asked, "Who is a leader?" many respond by naming politicians, presidents, senators, and governors, military leaders, business leaders, and… successful coaches.
Why are coaches included in this list? Because all coaches are leaders, coaching effectiveness is maximized by understanding how to lead. In a way, the relationship between coaches and players is a contract. Players will follow the coach's wishes or demands and in return they expect their reward, whether that is winning, playing time, positive reinforcement, or some other benefit. With that in mind, a coach has the obligation to find out what each individual's wants and desires are and to get them to believe in the ultimate team goal(s). Here are some guidelines for specific implications of what the coach as a leader should do:
Master and Apply Current Knowledge. Be willing to learn and willing to take the time to understand correct movement mechanics, strategies, and the fundamental principles of sport.
Develop Interpersonal Skills. Develop interpersonal skills especially communication skills. Have a sense of humor but scrap the sarcasm. Players need to feel that they can approach you, if they don't feel that way problems can multiply.
Eliminate all Dehumanizing Language. Treat each person with the dignity and respect that they deserve. Give positive reinforcement rather than negative feedback. Offer solutions when criticism is necessary.
Control Your Emotions. Athletes treat the coach as the role model and will emulate their behavior. If coaches are on the sidelines yelling at officials and throwing chairs, what message is that sending to the players?
Help Athletes Set their own Goals. Goals need to be established as a team and as an individual. Goals should be something that the athletes can actually achieve. Coaches are there to guide athletes in the goal setting process as well as the evaluation of the goals but they are not there to tell the athlete what their goal is or what their goal should be.
Live in the Present. Athletes don't need to be consistently reminded how good your team was last year or in prior years. You may use the past as an example but don't compare your athletes or team to prior years.
Provide Opportunities for Success. Provide good practices, time for game conditions, sensible scheduling and a pleasant atmosphere. The administrative aspects of the job are just as important as any other aspect. Planning, preparation, and budgeting are very important functions. A coach must be a leader, teacher, and an administrator all at once.
Every coach has the ability to lead but it takes work to become a good leader. By following and living by these guidelines, you will be a long way on your path to becoming a good leader.
CEOs as public leaders- a Mckinsey Survey
US executives say they should play a much greater role in shaping the debate about sociopolitical issues and in leading efforts to effect change.
The minority who do play such a leadership role are likely to be board members or CEOs, often at privately held companies with annual revenues below $1 billion.
Most of them are motivated primarily by personal reasons and usually act as private citizens.
They say a comprehensive understanding of public issues and a strong network of peers with a similar interest make it easier for them to play a leadership role, while time constraints keep them from playing an even larger role.
http://www.mckinseyquarterly.com/article_abstract.aspx?ar=1909&L2=21&L3=37&srid=246
The minority who do play such a leadership role are likely to be board members or CEOs, often at privately held companies with annual revenues below $1 billion.
Most of them are motivated primarily by personal reasons and usually act as private citizens.
They say a comprehensive understanding of public issues and a strong network of peers with a similar interest make it easier for them to play a leadership role, while time constraints keep them from playing an even larger role.
http://www.mckinseyquarterly.com/article_abstract.aspx?ar=1909&L2=21&L3=37&srid=246
Fostering Innovative Culture
Fortune Magazine hosted an Innovation Forum bringing corporate leaders together to share how they foster an innovative culture.
Gap International, VP, Eric Jackson, talks about driving innovation through a change in thinking patterns.
Ariane de Bonvoisin, CEO of The First 30 Days, talks about the way that comparison and second guessing a decision kills innovation.
A Citigroup CIO discusses hiring the right people to drive innovation.
Enjoy!
http://money.cnn.com/magazines/fortune/innovation/
Gap International, VP, Eric Jackson, talks about driving innovation through a change in thinking patterns.
Ariane de Bonvoisin, CEO of The First 30 Days, talks about the way that comparison and second guessing a decision kills innovation.
A Citigroup CIO discusses hiring the right people to drive innovation.
Enjoy!
http://money.cnn.com/magazines/fortune/innovation/
Leadership in the Virtual Office
In examining corporate and strategic leadership, I wonder how the role of a strategic leader will change with the increasingly virtual workplace. Some of the traditional mythical aspects of leadership may be harder to create in a virtual world. In 20 years, will we even care about charisma or will we be obsessed with how to inspire people through e-mail or a cool avitar.
It also relates to the idea of a corporate culture. How can a virtual company claim to truly have a corporate culture. I have this image of virtual bagels and donuts in Second Life every Friday for all of your virtual employees. There could be a new business concept around the disappearance of the traditional office. Even more retreat centers or the like could look to fill the void in human interaction and create a company culture for the day.
Virtual communication also gives people time to think before they virtually "speak." Many of the bad leadership traits arise when people act rashly. Would there be less bad virtual leaders than we have reality based leaders today?
These are interesting ideas to think about as the idea of corporate leadership evolves over time.
It also relates to the idea of a corporate culture. How can a virtual company claim to truly have a corporate culture. I have this image of virtual bagels and donuts in Second Life every Friday for all of your virtual employees. There could be a new business concept around the disappearance of the traditional office. Even more retreat centers or the like could look to fill the void in human interaction and create a company culture for the day.
Virtual communication also gives people time to think before they virtually "speak." Many of the bad leadership traits arise when people act rashly. Would there be less bad virtual leaders than we have reality based leaders today?
These are interesting ideas to think about as the idea of corporate leadership evolves over time.
True North
Bill George presented at Medtronic today about his thoughts on leadership from his new book "True North." It was a great presentation and sounds like a great book...
Review: 'True North' offers leadership lessons
Posted 4/22/2007 10:23 PM
By Kerry Hannon, Special for USA TODAY
True North has a simple premise for leadership: understand your own life story.
For example, Starbucks' founder Howard Schultz was forever changed at the age of 7 when a broken ankle caused his father to lose his deliveryman job and consequently his family's health insurance and economic security.
"I wanted to build the kind of company my father never had a chance to work for," he says in True North.
Schultz's memories of his father's lost health care led to Starbucks becoming the first U.S. company to provide health insurance for every employee, including those working as few as 20 hours a week.
Bill George, former CEO of Medtronic, and co-writer Peter Sims interviewed 125 executives, ages 23 to 93.
"Your truth is derived from your life story, and only you can determine what it should be," writes George. "When you are aligned with who you are, you find coherence between your life story and your leadership." That alignment is your "true north," an internal compass.
"What emerges from these stories is that virtually all the leaders interviewed found their passion to lead through the uniqueness of their life stories," he writes. "Not by being born as leaders. Not by believing they had the characteristics, traits, or style of a leader. Not by trying to emulate great leaders."
Oprah Winfrey, for example, grew up poor and was molested. At 14, she bore a baby who lived only two weeks. Today, she has a media empire.
"It would have been easy for Winfrey to get caught up in feelings of victimhood. Yet she rose above them by reframing her story in positive terms: first by taking responsibility for her life and then in recognizing her mission to empower others to take responsibility for theirs," he writes.
Winfrey's transformation came in her mid-30s. Often, it takes that long to see "where we fit in the world and help us understand the meaning of those difficult experiences for our personal missions," he writes. George was CEO of Medtronic, a global medical technology company, from 1991 to 2001 and chairman from 1996 to 2002. He, too, had crucibles that "ultimately transformed my approach to leadership."
An only child, he was very close to his mother. He was in his mid-20s when she died suddenly of cancer and a heart attack. Eighteen months later, he was three weeks from being married when his fiancée died suddenly from a brain tumor.
"Her death came as an incredible shock. Once again, I felt all alone in the world." Friends and prayer led him to recovery.
He married not long after and began a corporate career sprint. By 30, he was president of Litton Microwave. He moved on to continue the race at Honeywell.
But one day he admitted this was not how he wanted to spend his life. His unhappiness at work was harming his relationships with his wife, sons and friends.
With such a focus on becoming CEO, "I had lost sight of the purpose of my leadership — to benefit the lives of others." Reflecting on how the support of others pulled him through his personal crises, he was able to make the connection to his life story and transform his approach to leadership.
George contacted Medtronic, whose offers he had three times declined because they had not suited his ambition to lead a large company. Within several months, he became its president.
"To become authentic leaders, we must discard the myth that leadership means having legions of supporters following our direction as we ascend to the pinnacles of power. Only then can we realize that authentic leadership is about empowering others on their journeys," he writes.
This transformation in thinking from "I" to "we" is "the most important process leaders go through in becoming authentic," he writes.
"Only when leaders stop focusing on their personal ego needs are they able to develop other leaders. … They recognize the unlimited potential of empowered leaders working together toward a shared purpose."
Review: 'True North' offers leadership lessons
Posted 4/22/2007 10:23 PM
By Kerry Hannon, Special for USA TODAY
True North has a simple premise for leadership: understand your own life story.
For example, Starbucks' founder Howard Schultz was forever changed at the age of 7 when a broken ankle caused his father to lose his deliveryman job and consequently his family's health insurance and economic security.
"I wanted to build the kind of company my father never had a chance to work for," he says in True North.
Schultz's memories of his father's lost health care led to Starbucks becoming the first U.S. company to provide health insurance for every employee, including those working as few as 20 hours a week.
Bill George, former CEO of Medtronic, and co-writer Peter Sims interviewed 125 executives, ages 23 to 93.
"Your truth is derived from your life story, and only you can determine what it should be," writes George. "When you are aligned with who you are, you find coherence between your life story and your leadership." That alignment is your "true north," an internal compass.
"What emerges from these stories is that virtually all the leaders interviewed found their passion to lead through the uniqueness of their life stories," he writes. "Not by being born as leaders. Not by believing they had the characteristics, traits, or style of a leader. Not by trying to emulate great leaders."
Oprah Winfrey, for example, grew up poor and was molested. At 14, she bore a baby who lived only two weeks. Today, she has a media empire.
"It would have been easy for Winfrey to get caught up in feelings of victimhood. Yet she rose above them by reframing her story in positive terms: first by taking responsibility for her life and then in recognizing her mission to empower others to take responsibility for theirs," he writes.
Winfrey's transformation came in her mid-30s. Often, it takes that long to see "where we fit in the world and help us understand the meaning of those difficult experiences for our personal missions," he writes. George was CEO of Medtronic, a global medical technology company, from 1991 to 2001 and chairman from 1996 to 2002. He, too, had crucibles that "ultimately transformed my approach to leadership."
An only child, he was very close to his mother. He was in his mid-20s when she died suddenly of cancer and a heart attack. Eighteen months later, he was three weeks from being married when his fiancée died suddenly from a brain tumor.
"Her death came as an incredible shock. Once again, I felt all alone in the world." Friends and prayer led him to recovery.
He married not long after and began a corporate career sprint. By 30, he was president of Litton Microwave. He moved on to continue the race at Honeywell.
But one day he admitted this was not how he wanted to spend his life. His unhappiness at work was harming his relationships with his wife, sons and friends.
With such a focus on becoming CEO, "I had lost sight of the purpose of my leadership — to benefit the lives of others." Reflecting on how the support of others pulled him through his personal crises, he was able to make the connection to his life story and transform his approach to leadership.
George contacted Medtronic, whose offers he had three times declined because they had not suited his ambition to lead a large company. Within several months, he became its president.
"To become authentic leaders, we must discard the myth that leadership means having legions of supporters following our direction as we ascend to the pinnacles of power. Only then can we realize that authentic leadership is about empowering others on their journeys," he writes.
This transformation in thinking from "I" to "we" is "the most important process leaders go through in becoming authentic," he writes.
"Only when leaders stop focusing on their personal ego needs are they able to develop other leaders. … They recognize the unlimited potential of empowered leaders working together toward a shared purpose."
Leadership in the Movies
Art often imitates life, so it’s not surprising that over time
Why Movies?
Our students are predominately adults. Those of us in education, training and/or consulting have experienced first-hand the principles of Androgogy, or the study of how adults learn. Adults learn better when: (1) their individual learning needs and styles are met, (2) their previous knowledge and experience are valued and used, (3) they have active mental and physical participation in the learning activity, and (4) there is a focus on the practical applications of the learning (Sheal, 1989).
The Leadership Challenge
One text that provides rich opportunities for movie infusion into the leadership learning process is The Leadership Challenge, 3rd ed. (TLC), by Kouzes and Posner (2002).
From nearly two decades of research, TLC describes five practices essential for effective leadership (Kouzes & Posner, 2002):
Practice #1: MODEL THE WAY
• Find your voice by clarifying your personal values.
• Set the example by aligning actions with shared values.
• Envision the future by imagining exciting and ennobling possibilities
• Enlist others in a common vision by appealing to shared aspirations.
• Search for opportunities by seeking innovative ways to change, grow and improve.
• Experiment and take risks by constantly generating small wins and learning from mistakes.
• Foster collaboration by promoting cooperative goals and building trust.
• Strengthen others by sharing power and discretion.
• Recognize contributions by showing appreciation for individual excellence.
Movies Take the Leadership Challenge
TLC PRACTICE #1: MODEL THE WAY
Movie: Schindler’s List
Oskar Schindler (Liam Neeson) is an empathetic factory owner in Nazi Germany. Schindler intends to give Jews work in his factory, so ultimately he can sneak them out of
TLC PRACTICE #2: INSPIRE A SHARED VISION
Movie: Field of Dreams
Ray (Kevin Costner) has built a baseball field in an
TLC PRACTICE #3: CHALLENGE THE PROCESS
Movie: Remember the Titans
Coach Boone (Denzel Washington), the rookie head coach of the newly integrated high school football team in northern
TLC PRACTICE #4: ENABLE OTHERS TO ACT
Movie: Twelve Angry Men (original version)
One juror (Henry Fonda) in a murder trial tries to help other jurors consider all the facts and avoid making assumptions. He convinces each juror, one by one, to change his vote.
TLC PRACTICE #5: ENCOURAGE THE HEART
Movie: Shawshank Redemption
Andy (Tim Robbins) is serving a life sentence in Shawshank Prison for a murder he did not commit. While there, he has been writing to convince community leaders to send books to improve the library for his fellow inmates. He finally gets money for needed resources.
From Journal of Leadership Education Volume 2, Issue 2 - Winter 2003
Movies offer us so much to learn about leadership and their visual depiction of pseudo-reality make it easy to absorb and remember … so the next time you hit the cinema, think of it as a possible education
References
• Reel Leadership:
Graham, Sincoff, Baker, and Ackermann (2003)
Provides information on how to apply movies to teach the tenets of the groundbreaking leadership research of Kouzes and Posner.
http://www.fhsu.edu/jole/issues/JOLE_2_2.pdf
• Reel Leadership II: Getting Emotional at the Movies
Graham, Ackermann, Maxwell (2004)
Combines the use of film with applied leadership development through emotional intelligence skill building.
Provides an excellent facilitator resource for incorporating movies into leadership development.
http://www.fhsu.edu/jole/issues/JOLE_3_3.pdf
Tuesday, May 1, 2007
Dr. Evil and his leadership style
Here is a link to an interesting article that basically talks about "positional power", as we discussed in class. There is a parallel drawn between the Stanford prison experiments that we watched in class and the Abu Ghraib prison tortures. The "evil" chapter in Bad Leadership talked about the transformation of some people when they are put into a position of power, and this personality study delves into that a little bit more deeply.
http://discovermagazine.com/2007/apr/book-excerpt
http://discovermagazine.com/2007/apr/book-excerpt
Corporate Leadership Development: 10 Crucial Questions (Part One)
Written by Scott J. AllenPublished February 28, 2007
See also:» BCRadio Podcast - February 27, 2007: American Idol's Antonella Barba and Ace Frehley» XM and Sirius To Merge: But What About Opie and Anthony?» The Not-Quite-Sunday Funnies
Full Aticle - http://blogcritics.org/archives/2007/02/28/031848.php
Is your organization planning to create a leadership development program? Does your organization already have a program in place? If so, this article will help you plan or quickly decide if you are on the right track. Five crucial questions to ask:
1. How does the program link to organizational goals/strategic objectives?
2. How are you defining leadership & leadership development?
3. What are the competencies/skills you hope to develop?
4. What sources of learning will you use?
5. How will the leadership development program link to organizational systems?
The Full article link gives you detailed guidelines to follow 30 possible sources of learning...great stuff if you are setting up a leadership program at your compnay...enjoy...
Written by Scott J. AllenPublished February 28, 2007
See also:» BCRadio Podcast - February 27, 2007: American Idol's Antonella Barba and Ace Frehley» XM and Sirius To Merge: But What About Opie and Anthony?» The Not-Quite-Sunday Funnies
Full Aticle - http://blogcritics.org/archives/2007/02/28/031848.php
Is your organization planning to create a leadership development program? Does your organization already have a program in place? If so, this article will help you plan or quickly decide if you are on the right track. Five crucial questions to ask:
1. How does the program link to organizational goals/strategic objectives?
2. How are you defining leadership & leadership development?
3. What are the competencies/skills you hope to develop?
4. What sources of learning will you use?
5. How will the leadership development program link to organizational systems?
The Full article link gives you detailed guidelines to follow 30 possible sources of learning...great stuff if you are setting up a leadership program at your compnay...enjoy...
What's Wrong With Being No. 2? A good leader needs good team players
Kinsman, Michael. Network Journal. New York: Sep 2004. Vol.11, Iss. 9; pg. 14
Organizational psychologist Don Grayson wonders what's so wrong with being No. 2. "It seems in our culture we only have room for winners and that means leaders," says Grayson, a consultant and part-time instructor at Alliant International University in San Diego, Calif. Grayson thinks that if you admit to being a follower, you get a bad rap. But every leader needs followers and, frankly, most people aren't leaders. "Followers are essential to getting the job done, but for some reason we don't seem to adequately respect that," Grayson says.
Mitch Simon, president of the Simon Leadership Alliance, a coaching and leadership development firm, doesn't think the term "follower" applies in today's work force. "Follower is dead," he says. "It's like the word typewriter. It had a time but it has no purpose today." Simon suggests that the people we once identified as followers are now people we call team players. "Fifty years ago, we had people who listened and followed the orders of their bosses. You weren't asked or expected to do anything more. You took orders from the person who controlled the information, and you did what they told you to do," he says.
Today is different. We want workers who think for themselves, make decisions, show us the best way to get jobs done. Information now flows freely, accessed by both the top executives of the company and those working for them. It gives us the chance to tap everyone's creativity for a better company. Yet, Simon thinks both leaders and their team members need to be accountable for the relationship they develop together.
Leaders need to inspire others, communicate a vision, help others develop, hold them accountable and constantly be a model of commitment and integrity. Team members need to let their leaders know when they are not inspired or can't clearly read the vision. They need to accept responsibility for their continuing development, make certain the leader maintains vision and integrity, and hold the leader accountable for the potential of the team. A respectful relationship between leaders and the people who work for them is essential in today's world.
Article copyright The Network Journal.
Love the Last Paragraph....Rodney
Kinsman, Michael. Network Journal. New York: Sep 2004. Vol.11, Iss. 9; pg. 14
Organizational psychologist Don Grayson wonders what's so wrong with being No. 2. "It seems in our culture we only have room for winners and that means leaders," says Grayson, a consultant and part-time instructor at Alliant International University in San Diego, Calif. Grayson thinks that if you admit to being a follower, you get a bad rap. But every leader needs followers and, frankly, most people aren't leaders. "Followers are essential to getting the job done, but for some reason we don't seem to adequately respect that," Grayson says.
Mitch Simon, president of the Simon Leadership Alliance, a coaching and leadership development firm, doesn't think the term "follower" applies in today's work force. "Follower is dead," he says. "It's like the word typewriter. It had a time but it has no purpose today." Simon suggests that the people we once identified as followers are now people we call team players. "Fifty years ago, we had people who listened and followed the orders of their bosses. You weren't asked or expected to do anything more. You took orders from the person who controlled the information, and you did what they told you to do," he says.
Today is different. We want workers who think for themselves, make decisions, show us the best way to get jobs done. Information now flows freely, accessed by both the top executives of the company and those working for them. It gives us the chance to tap everyone's creativity for a better company. Yet, Simon thinks both leaders and their team members need to be accountable for the relationship they develop together.
Leaders need to inspire others, communicate a vision, help others develop, hold them accountable and constantly be a model of commitment and integrity. Team members need to let their leaders know when they are not inspired or can't clearly read the vision. They need to accept responsibility for their continuing development, make certain the leader maintains vision and integrity, and hold the leader accountable for the potential of the team. A respectful relationship between leaders and the people who work for them is essential in today's world.
Article copyright The Network Journal.
Love the Last Paragraph....Rodney
Recruiting natural leaders
Read an interesting article in "The Zweig Letter" concerning the important role recruitment plays in finding future leaders of your firm. This is an industry newsletter geared toward the A/E and Environmental Consulting field but has some interesting perspectives that trancend industry. In this article the author contends that there are certain topics and lines of questioning that can be used during the interview process to identify "natural" leaders. I would go further and contend that beyond this, you should consider regularly assessing current employees in these areas.
- Taking Charge
- Academic Leadership
- Work Ethic
- Entrepreneurialism
- Risk-Taking
- Problem Solving
- People People
- Communication
- Career Progression
- Adaptability
In general, it's somewhat hard to disagree with the points made in this article. Most would readily agree that someone who excels in these areas would very likely be a successful leader. The part of this article which was most interesting to me were the examples given for discerning a person's capabilities in the areas listed above. I believe that a person's reaction to a question such as, "Have you every had an idea for an invention?" would actually give you a good indication of whether the candidate has some entrepreneur instincts or creative problem-solving traits. For me, this is where the preverbial 'rubber meets the road', i.e. how do you go about ascertaining whether a candidate, or even current employee has natural leadership potential? In my company, I can tell you there is nothing formal established either in the recuriting process (such as scripted interviewing questions) or employee performance appraisals to evaluate people in these types of areas.
The full article can be accessed at: http://www.zweigwhite.com/trends/thezweigletter/index.asp
Monday, April 30, 2007
Colin Powell on Leadership
Many of you have probably run across the leadership lessons made public by Colin Powell. Powell does a great job of identifying 18 lessons he believe are important for leaders to learn. In short, they are:
Lesson 1: "Being responsible sometimes means pissing people off."
Lesson 2: "The day soldiers stop bringing you their problems is the day you have stopped leading them. They have either lost confidence that you can help them or concluded that you do not care. Either case is a failure of leadership."
Lesson 3: "Don't be buffaloed by experts and elites. Experts often possess more data than judgment. Elites can become so inbred that they produce hemophiliacs who bleed to death as soon as they are nicked by the real world."
Lesson 4: "Don't be afraid to challenge the pros, even in their own backyard."
Lesson 5: "Never neglect details. When everyone's mind is dulled or distracted the leader must be doubly vigilant."
Lesson 6: "You don't know what you can get away with until you try."
Lesson 7: "Keep looking below surface appearances. Don't shrink from doing so (just) because you might not like what you find."
Lesson 8: "Organization doesn't really accomplish anything. Plans don't accomplish anything, either. Theories of management don't much matter. Endeavors succeed or fail because of the people involved. Only by attracting the best people will you accomplish great deeds."
Lesson 9: "Organization charts and fancy titles count for next to nothing."
Lesson 10: "Never let your ego get so close to your position that when your position goes, your ego goes with it."
Lesson 11: "Fit no stereotypes. Don't chase the latest management fads. The situation dictates which approach best accomplishes the team's mission."
Lesson 12: "Perpetual optimism is a force multiplier."
Lesson 13: "Powell's Rules for Picking People:" Look for intelligence and judgment, and most critically, a capacity to anticipate, to see around corners. Also look for loyalty, integrity, a high energy drive, a balanced ego, and the drive to get things done.
Lesson 14: "Great leaders are almost always great simplifiers, who can cut through argument, debate and doubt, to offer a solution everybody can understand."
Lesson 15:
Part I: "Use the formula P=40 to 70, in which P stands for the probability of success and the numbers indicate the percentage of information acquired."
Part II: "Once the information is in the 40 to 70 range, go with your gut."
Lesson 16: "The commander in the field is always right and the rear echelon is wrong, unless proved otherwise."
Lesson 17: "Have fun in your command. Don't always run at a breakneck pace. Take leave when you've earned it: Spend time with your families. Corollary: surround yourself with people who take their work seriously, but not themselves, those who work hard and play hard."
Lesson 18: "Command is lonely."
For further details on each one of these, go to: http://home.att.net/~coachthee/Archives/Colin_Powell_on_Leadership.html
Lesson 1: "Being responsible sometimes means pissing people off."
Lesson 2: "The day soldiers stop bringing you their problems is the day you have stopped leading them. They have either lost confidence that you can help them or concluded that you do not care. Either case is a failure of leadership."
Lesson 3: "Don't be buffaloed by experts and elites. Experts often possess more data than judgment. Elites can become so inbred that they produce hemophiliacs who bleed to death as soon as they are nicked by the real world."
Lesson 4: "Don't be afraid to challenge the pros, even in their own backyard."
Lesson 5: "Never neglect details. When everyone's mind is dulled or distracted the leader must be doubly vigilant."
Lesson 6: "You don't know what you can get away with until you try."
Lesson 7: "Keep looking below surface appearances. Don't shrink from doing so (just) because you might not like what you find."
Lesson 8: "Organization doesn't really accomplish anything. Plans don't accomplish anything, either. Theories of management don't much matter. Endeavors succeed or fail because of the people involved. Only by attracting the best people will you accomplish great deeds."
Lesson 9: "Organization charts and fancy titles count for next to nothing."
Lesson 10: "Never let your ego get so close to your position that when your position goes, your ego goes with it."
Lesson 11: "Fit no stereotypes. Don't chase the latest management fads. The situation dictates which approach best accomplishes the team's mission."
Lesson 12: "Perpetual optimism is a force multiplier."
Lesson 13: "Powell's Rules for Picking People:" Look for intelligence and judgment, and most critically, a capacity to anticipate, to see around corners. Also look for loyalty, integrity, a high energy drive, a balanced ego, and the drive to get things done.
Lesson 14: "Great leaders are almost always great simplifiers, who can cut through argument, debate and doubt, to offer a solution everybody can understand."
Lesson 15:
Part I: "Use the formula P=40 to 70, in which P stands for the probability of success and the numbers indicate the percentage of information acquired."
Part II: "Once the information is in the 40 to 70 range, go with your gut."
Lesson 16: "The commander in the field is always right and the rear echelon is wrong, unless proved otherwise."
Lesson 17: "Have fun in your command. Don't always run at a breakneck pace. Take leave when you've earned it: Spend time with your families. Corollary: surround yourself with people who take their work seriously, but not themselves, those who work hard and play hard."
Lesson 18: "Command is lonely."
For further details on each one of these, go to: http://home.att.net/~coachthee/Archives/Colin_Powell_on_Leadership.html
The Way of the General, Essay on Leadership and Crisis Management
The Way of the General
Essay on Leadership and Crisis Management
Authored by Zhuge Liang (Kongming)Translated by Thomas Cleary
( Return to Translator’s Introduction )
The Authority of the Military LeadershipMilitary authority, directing the armed forces, is the matter of the authoritative power of the leading general.
If the general can hold the authority of the military and operate its power, he oversees his subordinates like a fierce tiger with wings, flying over the four seas, going into action whenever there is an encounter.If the general loses his authority and cannot control the power, he is like a dragon cast into a lake, he may seek the freedom of the high sea, but how can he get there?
Chasing EvilsThere are five types of harm in decadence among national armed forces. First is the formation of factions that band together for character assassination, criticizing an vilifying the wise and the good. Second is luxury is uniforms. Third is wild tales and confabulations about the supernatural.Fourth is judgment based on private views, mobilizing groups for personal reasons.Fifth is making secret alliances with enemies, watching for where the advantage may lie.
All people like this are treacherous and immoral. You should distance yourself from them and not associate with them.
Knowing PeopleNothing is harder to see into people’s natures. Though good and bad are different, their conditions and appearances are not always uniform.There are some people who are nice enough but steal.Some people are outwardly respectful while inwardly making fools of everyone.Some people are brave on the outside yet cowardly on the inside.Some people do their best but are not loyal.Hard though it be to know people, there are ways.
First is to question them concerning right and wrong, to observe their ideas.Second is to exhaust all their arguments, to see how they change.Third is to consult with them about strategy, to see how perceptive they are.Fourth is to announce that there is trouble, to see how brave they are.Sixth is to present them with the prospect of gain, to see how modest they are.Seventh is to give them a task to do within a specific time, to see how trustworthy they are.
Types of GeneralsThere are nine types of generals.
Those who guide with virtue, who treat all equally with courtesy, who know when the troops are cold and hungry, and who notice when they are weary and pained, are called humanistic generals.
Those who do not try to avoid any task, who are not influenced by profit, who would die with honor before living in disgrace, are called dutiful generals.Those who are not arrogant because of their high status, who do not make much of their victories, who are wise but can humble themselves, who are strong but can be tolerant, are called courteous generals.
Those whose extraordinary shifts are unfathomable, whose movements and responses are multifaceted, who turn disaster into fortune and seize victory from the jaws of danger, are called clever generals.
Those who give rich rewards for going ahead and have strict penalties for retreating, whose rewards are given right away and whose penalties are the same for all ranks, even the highest, are called trustworthy generals.
Those who go on foot or on a warhorse, with the mettle to take on a hundred men, who are skilled in the use of close-range weapons, swords, and spears are called infantry generals.
Those who face the dizzying heights and cross the dangerous defiles, who can shoot at a gallop as if in flight, who are in the vanguard when advancing and in the rear guard when withdrawing, are called cavalry generals.
Those who mettle makes the armies tremble and whose determination makes light of powerful enemies, who are hesitant to engage in petty fights while courageous in the midst of major battles, are called fierce generals.
Those who consider themselves lacking when they see the wise, who go along with good advice like following a current, who are magnanimous yet able to be firm, who are uncomplicated yet have many strategies, are called great generals.
Capacities of CommandersThe capacities of commanders are not the same; some are greater, some are lesser.
One who spies out treachery and disaster, who wins the allegiance of others, is the leader of ten men.
One who rises early in the morning and retires late at night, and whose words are discreet yet perceptive, is the leader of a hundred men.
One who is direct yet circumspect, who is brave and can fight, is the leader of a thousand men.
One of martial bearing and fierceness of heart, who knows the hardships of others and spares people from hunger and cold, is the leader of ten thousand men.
One who associates with the wise and promotes the able, who is careful of how he spends each day, who is sincere, trustworthy, and magnanimous, and who is guarded in times of order as well as times of disturbance, is the leader of a hundred thousand men.
One whose humanitarian care extends to all under his command, whose trustworthiness and justice win the allegiance of neighboring nations, who understands the signs of the sky above, the patterns of the earth below, and the affairs of humanity in between, and who regards all people as his family, is a world-class leader, one who cannot be opposed.
Decadence in GeneralsThere are eight kinds of decadence in generalship.First is to be insatiably greedy.Second is to be jealous and envious of the wise and able.Third is to believe slanders and make friends with the treacherous.Fourth is to assess others without assessing oneself.Fifth is to be hesitant and indecisive.Sixth is to be heavily addicted to wine and sex.Seventh is to be a malicious liar with a cowardly heart.Eighth is to talk wildly, without courtesy.
Loyalty in Generals“Weapons are instruments of ill omen”; generalship is a dangerous job. Therefore if one is inflexible there will be breakdowns, and when the job is important there will be danger.
This is why a good general does not rely or presume on strength or power. He is not pleased by favor and does not fear vilification. He does not crave whatever material goods he sees, and he does not rape whatever women he can. His only intention is to pursue the best interest of the country.
Skills of GeneralsThere are five skills and four desires involved in generalship.
The five skills are:1. Skill in knowing the disposition and power of enemies,2. Skill in knowing the ways to advance and withdraw,3. Skill in knowing how empty or how full countries are,4. Skill in knowing nature’s timing and human affairs,5. And skill in knowing the features of terrain.
The four desires are:1. Desire for the extraordinary and unexpected in strategy,2. Desire for thoroughness in security,3. Desire for calm among the masses,4. And desire for unity of hearts and minds.
Arrogance in GeneralsGenerals should not be arrogant, for if they are arrogant they will become discourteous, and if they are discourteous people will become alienated from them. When people are alienated, they become rebellious.
General should not be stingy, for if they are stingy they will not reward the trustworthy, and if they do not reward the trustworthy, the soldiers will not be dedicated., the armed forces are ineffective, and if the armed forces are ineffective, the nation is empty. When the nation is empty, its opponents are full.
Confucius said, “People may have the finest talents, but if they are arrogant and stingy, their others qualities are not worthy of consideration.”
Military PreparednessMilitary preparedness is the greatest task of the nation. A small mistake can make a huge difference. When the force of momentum by which soldiers are killed and generals are captured can move with sudden rapidity, should we not be wary?
Therefore when a nation is in trouble, the ruler and ministers urgently work on strategy, selecting the wise and assessing the able to delegate responsibility to them.
If you count on safety and do not think of danger, if you do not know enough to be wary when enemies arrive, this is called a sparrow nesting on a tent, a fish swimming in a cauldron - they won’t last the day.
Traditions say, “Without preparation, military operation are unfeasible.”
“Preparedness against the unexpected is a way of good government.”
“Even bees have venom - how much the more do nations. If you are unprepared, even if there are many of you, mere numbers cannot be counted on.”
A classic document says, “Only when we do our tasks are we prepared; when we are prepared, there is no trouble.”
Therefore the action of the military forces must have preparation.
TrainingSoldiers without training cannot stand up to one out of a hundred opponents, yet they are sent out against a hundred each. This is why Confucius said, “To send people to war without teaching them is called abandoning them." It is also said, "Teach the people for the seven year, and they too can go to war.”
Therefore soldiers must be taught with out fail. First train them in conduct and duty, teach them to be loyal and trustworthy, instruct them in rules and penalties, awe them with rewards and punishments. When people know enough to follow along, then train them in maneuvers.
One person can teach ten, ten people can teach a hundred, a hundred people can teach a thousand, a thousand can teach ten thousand, thus developing the armed forces. Train like this, and opponents will surely lose.
Corruption in the Armed ForcesIn military operation it may happen the scouts are not careful of their signal fires or there may be mistakes in calculation and consequent delays, infractions of rules, failure to respond to the time and situation, disorder in the ranks, callous and unreasonable demand made by superiors on their subordinates, pursuit of self-interest, lack of concern for the hungry and cool, tall tales and fortune telling, rabble rousing, confusing the officers, refusal of the mettlesome to submit to authority, contempt of superiors, or using supplies for personal enjoyment. These things corrupt the armed forces. When they are present, there is certain to be defeat.
Loyal HeartsThose who would be military leaders must have loyal hearts, eyes and ears, claws and fangs. Without people loyal to them, they are like someone walking at night, not knowing where to step. Without eyes and ears, they are as though in the dark, not knowing how to proceed. Without claws and fangs, they are like hungry men eating poisoned food, inevitably to die.
Therefore good generals always have intelligent and learned associates for their advisors, thoughtful and careful associates for their eyes and ears, brave and formidable associates for their claws and fangs.
Careful WatchingThe loss of an army is always caused by underestimating an opponent and thus bringing on disaster. Therefore an army goes out in an orderly manner. If order is lost, that bodes ill.
There are fifteen avenues of order:1. Thoughtfulness, using secret agents for intelligence.2. Organization, gathering news and watching carefully.3. Courage, not being disturbed by the number of the enemy.4. Modesty, thinking of justice and duty when seeing the opportunity for gain.5. Impartiality, being egalitarian in matters of rewards and punishments.6. Forbearance, being able to bear humiliation.7. Magnanimity, being able to accept the masses.8. Trustworthiness, so that there can be serious cooperation.9. Respect, honoring the wise and able.10. Clarity of mind, not listening to slander.11. Reason, not forgetting past experience.12. Human kindness, taking care of the soldiers.13. Loyalty, devoting oneself to the nation.14. Moderation, knowing to stop when you have enough of anything.15. Planning, assessing yourself first, and then assessing others.
Formation of OpportunityTo overcome the intelligent by folly is contrary to the natural order of things; to overcome the foolish by intelligence is in accord with the natural order. To overcome the intelligent by intelligence, however, is a matter of opportunity
There are three avenues of opportunity: events, trends, and conditions. When opportunities occur through events but you are unable to respond, you are not smart. When opportunities become active through a trend and yet you cannot make plans, you are not wise. When opportunities emerge through conditions but you cannot act on them, you are not bold.
Those skilled in generalship always achieve their victories by taking advantage of opportunities.
Good GeneralshipGood generals of ancient times had some overall principles:1. Show people when to proceed and when to withdraw, and people will learn regulation.2. Array them on the lines rightly and justly, and people will be orderly.3. Show respect for them by your judgment, and people will be enthusiastic.4. Motivate them with rewards and penalties, and people will be trusting.Regulation, order, enthusiasm, and trust are the overall principles of generals, by which they are able to ensure victory in battle.
The mediocre are not like this: they cannot stop their troops when they retreat, they cannot control their troops when they advance, they mix up good and bad, the soldiers are not given instruction and encouragement, rewards and punishments are not fair. Because people are not trusting, the wise and the good withdraw, while flatterers are promoted. Such an army will therefore inevitably be defeated in war.
Discerning BasesIf you attack evils based on social trends, no one can rival you in dignity. If you settle victory based on the power of the people, no one can rival you in achievement.
If you can accurately discern these bases of action, and add dignity and faith to them, you can take on the most formidable opponent and prevail over the most valiant adversary.
Victory and DefeatWhen the wise and talented are in the higher positions and undesirables are in low positions, the armed forces are happy. When the soldiers are scared, if they talk to each other of valiant combat, look to each other on by rewards and penalties, these are signs of certain victory.
When the armies have been shaken up several times, if the soldiers become lazy, insubordinate, untrustworthy, and unruly, if they scare each other with talk about the enemy, if they talk to each other about booty, make hints to each other of disaster and fortune, or confuse each other with weir talk, these are signs of certain defeat.
Using AuthorityPeople’s lives depend on generals, as do success and failure, calamity and fortune, so if the rulership does not give them the power to reward and punish, this is like tying up a monkey and trying to make it cavort around, or like gluing someone’s eyes shut and asking him to distinguish colors.
If rewards are up to powerful civilians and punishments do not come from the generals, people will seek personal profit - then who will have any interest in fighting? Even with superlative strategy and performance, self-defense would be impossible under these circumstances.
Therefore Sun Tzu the Martialist said, “When a general is in the field, there are some orders he doesn’t accept from the civilian ruler.” It is also said, “In the army, you hear the orders of the generals, you don’t hear about command from the emperor.”
Grieving for the DeadGood general of ancient times took care of their people as one might take care of a beloved child. When there was difficulty they would face it first themselves, and when something was achieved they would defer to others. They would tearfully console the wounded and sorrowfully mourn the dead. They would sacrifice themselves to feed the hungry and remove their own garments to clothe the cold. They honored the wise and provided for their living; they rewarded and encouraged the brave. If generals can be like this, they can take over anywhere they go.
AlliesTo operate, the armed forces need allies as consultants and assistants to the leadership.
Everyone looks up to those who are thoughtful and have unusual strategies beyond the ordinary ken, who are widely learned and have broad vision, and who have many skills and great talents. Such people can be made top allies.
Those who are fierce, swift, firm, and sharp are heroes of an age. Such people can be made second-ranked allies.
Those who talk a lot but not always to the point, who are slight in ability, with little that is extraordinary, are people with ordinary capabilities. They can be brought along as the lower class of allies.
ResponsivenessWhen you plan for difficulty in times of ease, when you do the great while it is still small, when you use rewards first and penalties later, this is refinement in use of the military.
When the troops are already on the battlefield, the cavalries are charging each other, the catapults have been set in position, and the infantries meet at close range, if you can use awesome authoritativeness to convey a sense of trust such that opponents surrender, this is ability in use of the military.
If you plunge into a half of arrows and rocks, facing off in a contest for victory, with winning and losing distinct, if your adversary is wounded but you die, this is inferiority in use of the military.
Taking OpportunitiesThe art of certain victory, the mode of harmonizing with charges, is a matter of opportunity. Who but the perspicacious can deal with it? And of all avenues of seeing opportunity, none is greater than the unexpected.
Assessing AbilitiesThose who employed warriors skillfully in ancient times assessed their abilities in order to calculate the prospects of victory or defeat:Who has the wise ruler?Who has the more intelligent generals?Who has the more able officers?Whose food supplies are most abundant?Whose soldiers are better trained?Whose legions are more orderly?Whose warhorses are swifter?Whose formation and situation are more dangerous?Whose clients and allies are smarter?Whose neighbors are more frightened?Whose has more food and money?Whose citizenry is calmer?When consider matters along these lines, structural strengths and weaknesses can be determined.
Facilitating BattleA scorpion will sting because it has poison; a soldier can be brave when he can rely on his equipment. Therefore when their weapons are sharp and their armor is strong, people will readily do battle. If armor is not strong, it is the same as baring one’s shoulders. if a bow cannot shoot far, it is the same as a close-range weapon. If a shot cannot hit the mark, it is the same as having no weapon. If a scout is not careful, it is the same as having no eyes. If a general is not brave in battle, it is the same as having no military leadership.
Striking PowerSkilled warriors of ancient times first found out the condition of their enemies and then made plans to deal with them. There is no doubt of success when you strike enemies under the following conditions:Their fighting forces are stale.Their supplies are exhausted.Their populace is full of sorrow and bitterness.Many people are physically ill.They do not plan ahead.Their equipment is in disrepair.Their soldiers are not trained.Reinforcement does not show up.Night falls when they still have a long way to go.Their soldiers are worn out.Their generals are contemptuous and their officers are inconsiderate.They neglect to make preparations.They do not form battle lines as they advance.When they do form battle lines, they are not stable.They are disorderly when they travel over rough terrain.There is discord between commanders and soldiers.They become arrogant when they win a battle.There is disorder in the ranks when they move their battle lines.The soldiers are tired and prone to upset.The army is supplied, but the people do not eat.Each man moves on his own - some go ahead, some lag behind.When opponents have the following qualities, however, withdraw and avoid them:Superiors are considerate and subordinates are obedient.Rewards are sure and punishments certain.The forces are set out in an orderly fashion.They give responsibility to the wise and employ the able.The army is courteous and mannerly.Their armor is strong and their weapons keen.They have plenty of supplies and equipment.Their government and education are substantial.They are on good terms with all of their neighbors.They are backed by great nations.
Psychological ConfigurationsSome generals are brave and think lightly of death. Some are hasty and impulsive. Some are greedy and materialistic. Some are humane but lack endurance. Some are intelligent but timid. Some are intelligent but easygoing at heart
Those who are brave and think lightly of death are vulnerable to assault. Those who are hasty and impulsive are vulnerable to delay. Those who are greedy and materialistic are vulnerable to loss. Those who are humane but lack endurance are vulnerable to fatigue. Those who are intelligent but timid are vulnerable to pressure. Those who are intelligent but easygoing are vulnerable to sudden attack
Orderly TroopsIn military operations, order leads to victory. If rewards and penalties are unclear, if rules and regulations are unreliable, and if signals are not followed, even if you have an army of a million strong it is of no practical benefit.
An orderly army is one that is mannerly and dignified, one that cannot be withstood when it advances and cannot be pursued when it withdraws. Its movements are regulated and directed; this gives it security and presents no danger. The troops can be massed but not scattered, can be deployed but not worn out.
Inspiring SoldiersHonor them with titles, present them with goods, and soldiers willingly come join you. Treat them courteously, inspire them with speeches, and soldiers willingly die. Give them nourishment and rest so that they do not become weary, make the code of rules uniform, and soldiers willingly obey. Lead them into battle personally, and soldiers will be brave. Record even a little good, reward even a little merit, and soldiers will be encouraged.
Self-exertionSages follow the rules of heaven; the wise obey the laws of earth; the intelligent follow precedent. Harm comes to the arrogant; calamity visits the proud. Few people trust those who talk too much; few people feel indebted to the self-serving. Rewarding the unworthy causes alienation; punishing the innocent causes resentment. Those whose appreciation or anger are unpredictable perish.
Harmonizing PeopleHarmonizing people is essential in military operations. When people are in harmony, they will fight on their own initiative, without exhortation. If the officers and the soldiers are suspicious of one another, them warriors will not join up. If no heed is paid to the strategies of loyal, the small-minded people will backbite. When the sprouts of hypocrisy arise, even if you have the wisdom of the great warrior-kings of old, you will not be able to prevail over an ordinary man, much less a whole group of them. Therefore tradition says, “A military operation is like fire; if it is not stopped, it burns itself out.”
The Condition of a GeneralAccording to the code of generalship, generals do not say they are thirsty before the soldiers have drawn from the well; generals do not say they are hungry before the soldiers’ food is cooked; generals do not say they are cold before the soldiers’ fire are kindled; generals do not say they are hot before the soldiers’ canopies are drawn. Generals do not use fans in summer, do not wear leather (or fur) in winter, do not use umbrella in the rain. They do as everyone does.
Order and DisorderWhen a nation is perilous and disordered, and the people are not secure in their homes, this is because the ruler has made the mistake of neglecting to find wise people
When the wise are disaffected, a nation is in peril; when the wise are employed, a nation is secure. When offices are chosen for persons, there is disorder; when persons are chosen for offices, there is order.
Observant GovernmentAn observant and perceptive government is one that looks at subtle phenomena and listens to small voices. When phenomena are subtle they are not seen, and when voices are small they are not heard; therefore an enlightened leader looks closely at the subtle and listens for the importance of the small voice.
This harmonizes the outside with the inside, and harmonizes the inside with the outside; so the Way of government involves the effort to see and hear much.
Thus when you are alert to what the people in the lower echelons have to say, and take it into consideration, so that your plan include the rank and file, then all people are your eyes and a multitude of voices helps your ears. This is the reason for the classic saying, “A sage has no constant mind - the people are the sage’s mind.”
Rulers and MinistersFor rulers, generosity to subordinates is benevolence; for ministers, service of the government is duty. No one should serve the government with duplicity; ministers should not be given dubious policies.
When both superiors and subordinates are given to courtesy, then the people are easy to employ. When superiors and subordinates are in harmony, then the Way of rulers and ministers is fulfilled: rulers employ their ministers courteously, while ministers work for the rulers loyally; rulers plan the government policies, while ministers plan their implantation.
Knowledgeable RuleRulers are considered knowledgeable according to how much they have seen, and are considered capable according to how much they have heard.
Everyone knows the saying that an intelligent ruler is constant through the day and night, discharging the affairs of office by day and attending to personal matters at night. Yet there may be grievances that do not get a hearing, and there may be loyal people promoting good who are not trusted.
If grievances are not heard, the best cannot be straightened. If promotion of good is not accepted, the loyal are not trusted and the treacherous enter with their schemes.
This is the meaning of the proverb in the ancient “Classic of Documents”: “Heaven sees through the seeing of my people, heaven hears through the hearing of my people.”
Not KnowingConfucius said that an enlightened ruler does not worry about people not knowing him, he worries about not knowing people. He worries not about outsiders not knowing insiders, but about insiders not knowing outsiders. He worries not about subordinates not knowing superiors, but about superiors not knowing subordinates. He worries not about the lower classes not knowing the upper classes, but about the upper classes not knowing the lower classes.
AdjudicationWhen rulers adjudicate criminal cases and execute punishments, they worry that they may be unclear. The innocent may be punished while the guilty may be released. The powerful may arrogate to themselves alone the right to speak, while the powerless may have their rights infringed upon by those who bear grudges against them. Honesty may be distorted; those who are wronged may not get a chance to express themselves. The trustworthy may be suspected; the loyal may be attacked. These are all perversions, problems causing disaster and violence, aberrations causing calamity and chaos.
Disturbance and SecurityIt is said that when official are severe in everything, no one knows where it will end. If they feed off the people so severely that people are hungry and impoverished, this produces disturbances and rebellion.
Encourage people in productive work, don’t deprive them of their time. Lighten their taxes, don’t exhaust their resources. In this way the country is made wealthy and families secure.
AppointmentsThe official policy of making appointments should be to promote the upright and place them over the crooked. Governing a country is like governing the body,. The way to govern the body is to nurture the spirit; the way to govern a country is to promote the wise. Life is sought by nurturing the spirit; stability is sought by promoting the wise.So public servants are to a nation as pillars are to a house; the pillars should not be slender; public servants should not be weak. When the pillars are slender the house collapses; when the public servants are weak the nation crumbles. Therefore the way to govern a nation is to promote the upright over the crooked; then the nation is secure.
Pillars of StateFor strong pillars you need straight trees; for wise public servants you need upright people. Straight trees are found in remote forests; upright people come from the humble masses. Therefore when rulers are going to make appointments they need to look in obscure places.
Sometimes there are disenfranchised people with something of value in them; sometimes there are people with extraordinary talent who go unrecognized. Sometimes there are paragons of virtue who are not promoted by their hometown; sometimes there are people who live in obscurity on purpose.
Sometimes there are people who are dutiful and righteous for purely philosophical or religious reasons. Sometimes there are loyal people who are straightforward with rulers but are slandered by cliques. Ancient kings are known to have hired unknowns and nobodies, finding in them the human qualities whereby they were able to bring peace.
Evaluation and DismissalThe official policy of evaluation and dismissal should be to promote the good and dismiss the bad. An enlightened leadership is aware of good and bad throughout the realm. not daring to overlook even minor officials and commoners, employing the wise and good, and dismissing the greedy and weak-minded.
With enlightened leadership and good citizens, projects get accomplished, the nation is orderly, and the wise gather like rain; this is the way to promote the good and dismiss the bad, setting forth what is acceptable and what is blameworthy. Therefore a policy of evaluation and dismissal means effort to know what hurts the people.
What Hurts the PeopleThere are five things that hurt the people:1. There are local officials who use public office for personal benefit, taking improper advantage of their authority, holding weapons in one hand and people’s livelihood in the other, corrupting their offices, and bleeding the people.2. There are cases where serious offenses are given light penalties; there is inequality before the law, and the innocents are subjected to punishment, even execution. Sometimes serious crimes are pardoned, the strong are supported, and the weak are oppressed. Harsh penalties are applied, unjustly torturing people to get at facts.3. Sometimes there are officials who condone crime and vice, punishing those who protest against this, cutting off the avenue of appeal and hiding the truth, plundering and ruining lives, unjust and arbitrary.4. Sometimes there are senior officials who repeatedly change department heads so as to monopolize the government administration, favoring their friends and relatives while treating those they dislike with unjust harshness, oppressive in their actions, prejudiced and unruly. They also use taxation to reap profit, enriching themselves and their families by exactions and fraud.5. Sometimes local officials extensively tailor awards and fines, welfare projects, and general expenditures, arbitrarily determining prices and measures, with the result that people lose their jobs.These five things are harmful to the people, and anyone who does any of these should be dismissed from the office.
Military Actions“Weapon are instruments of ill omen, to be used only when it is unavoidable.” The proper course of military action is to establish strategy first, and then carry it out. Monitor the environment, observe the minds of the masses, practice the use of military equipment, clarity the principles of reward and punishment, watch the schemes of enemies, note the perils of the roads, distinguish safe and dangerous places, find out the conditions of the parties involves, and recognize when to proceed and when to withdraw. Follow the timing of opportunities, set up preparations for defense, strengthen your striking power, improve the abilities of your soldiers, map out decisive strategies, and consider life and death issues. Only after doing appointing military leaders and extending the power to capture enemies. This is the overall scheme of things in military matters.
Rewards and PenaltiesA policy of rewards and penalties means rewarding the good and penalizing wrongdoers. Rewarding the good is to promote achievement; penalizing wrongdoers is to prevent treachery.
It is imperative that rewards and punishments be fair and impartial. When they know rewards are to be given, courageous warriors know what they are dying for; when they know penalties are to be applied, villains know what to fear.
Therefore, rewards should not be given without reason, and penalties should not be applied arbitrary. If rewards are given for no reason, those who have worked hard in public service will be resentful; if penalties are applied arbitrary, upright people will be bitter.
Clarity and ConsistencyGenerals hold authority over life and death. If they allow those who should live to be killed, or allow those who should be killed to live, or if they get angry without discernible reason, or their punishments and rewards are not clear, or commands are inconsistent, or they carry their private over into public life, this is dangerous for the nation.
If their punishment and rewards are not clear, their directives will not always be followed. If they allow those who should be killed to live, treachery will not be prevented. If they allow those who should live to be killed, soldiers will defect. If they get angry without discernible reason, their authority will not be effective. If their rewards and punishments are not clear, the lower echelons will not be encouraged to achieve. If politics are inappropriate, orders will not be obeyed. If private affairs are carried over into public life, people will be of two minds.
If treachery is not prevented, it is impossible to last long. If soldiers defect, the ranks will be decimated. If authority is ineffective, the troops will not rise up in the face of the enemy. If the lower echelons are not encouraged to achieve, the upper echelons have no strong support. If orders are not obeyed, affairs will be chaotic. If people are of two minds, the country will be in danger.
Pleasure and DispleasureDispleasure should not lead you to harm people who have done no wrong; pleasure should not lead you to go along with those who deserve to be executed.
Pleasure should not induce you to forgive those who have done wrong; displeasure should not induce you to execute the innocent.
Pleasure and displeasure should not be arbitrary; personal prejudices ignore worthy people. A general should not start a battle out of personal displeasure; it is imperative to go by the collective will. If he does go into battle because of personal displeasure, it will certainly result in defeat.
Culture and the MilitaryCulture takes precedence; the military comes after. If you put victory first, you will surely get beaten later; if you start out with anger, you will surely regret it later. One day’s anger can destroy your whole life. Therefore a superior man is stern but not ferocious; he may get angry, but not furious; he may worry, but does not fear; he may rejoice, but not overjoyed.
OrganizationA policy to quell disorder involves minimizing offices and combining duties, getting rid of embellishment in favor of substance.
First organize directives, then organize penalties. First organize the near at hand, then organize the far removed. First organize the inner, then organize the outer. First organize the basic, then organize the derivative. First organize the strong, then organize the weak. First organize the great, then organize the small. First organize yourself, then organize others.
Instruction and DirectionA policy of instruction and direction means those above educate those below, not saying anything that is unlawful and not doing anything that is immoral, for what is done by those above is observed by those below.
To indulge oneself yet instruct others is contrary to proper government; to correct oneself and then teach others is in accord with proper government. Therefore true leaders first rectify themselves and only after that do they promulgate their directives. If they are not upright themselves, their directives will not be followed, resulting in disorder.
Therefore the Way of leadership puts education and direction before punishment. To send people to war without education is tantamount to throwing them away.
Thought and ConsiderationA policy of thought and consideration means giving thought to what is near at hand and considering what is remote. As it is said, “If people do not consider what is remote, they will have trouble near at hand.” Therefore “educated people think without leaving their positions.” Thinking means correct strategy, consideration mean thinking of plans for eventualities. One is not to plan policy when it is not one’s place to do so, or consider the scheme of things that are none of one’s business.
Major affairs arise in difficulty, minor affairs arise in ease. Therefore if you want to think of the advantages in a situation, it is imperative to consider the harm; if you want to think about success, it is imperative to consider failure.
Danger arises in safety, destruction arises in survival. Harm arises in advantage, chaos arises in order. Enlightened people know the obvious when they see the subtle, know the end when they see the beginning; thus there is no way for disaster to happen. This is due to thoughtful consideration.
Strength in GeneralsGenerals have five strengths and eight evils.The five strengths are: noble behavior that can inspire the common people, social virtues that can elevate their reputations, trustworthiness and dutifulness in personal relationships, universal love encompassing all the people, and powerful action to succeed in their tasks.
The eight evils are: inability to assess right and wrong when formulating strategy, inability to delegate authority to the wise and the goods in times of order, inability to mete out just punishments for incidents of disorder, inability to help the poor in times of plenty, insufficient intelligence to guard against threats before they have taken shape, insufficient thought to prevent subtle dangers, inability to express what is known intuitively, and inability to avoid criticism in defeat.
Sending out the Armed ForcesIn ancient times, when a nation was in trouble, the ruler would select a wise man and have hime fast for three days in quiet seclusion before going to the gate of the national shrine, where he would stand facing south. He then took a high courtier to present a ceremonial axe to the ruler, who in turn would pass it by the handle to the general, saying:“The military leadership settles matters outside the borders,” and also directing him in these terms:“Where you see the enemy to be empty, proceed; where you see the enemy to be full, stop.“Do not look down on others because of your elevated rank.“Do not oppose the common consensus with personal opinions.“Do not turn from the loyal and trustworthy through the artifices of the skilled but treacherous.“Do not sit down before the soldiers sit; do not eat before the soldiers eat.“Bear the same cold and heat the soldiers do; share their toil as well as their case.“Experience sweetness and bitterness just as the soldiers do; take the same risks that they do.“Then the soldiers will exert themselves to the utmost, and it will be possible to destroy enemies.”Having accepted these words, the general led the armed forces out through the city’s gate of ill omen.The ruler, seeing the general off, knelt and said, “Advance and retreat are a matter of timing - military affairs are not directed by the ruler but by the general.” Therefore “There is no heaven above, no earth below, no adversary ahead, and no ruler behind.” Thus the intelligent think because of this; the mettlesome fight because of this.”
Selection on AbilitiesIn military action, there are men who like to fight and enjoy battle, single-handedly taking on powerful opponents; gather them into one squad and call them “the warriors who repay the nation.
There are mettlesome men with ability and strength, courage and speed; gather them into a squad and call them “the warriors who crash the battle lines.”
There are those who are light of foot, good walkers and runners; gather them into a squad called “the warriors who capture the flag.”There are those who can shoot on horseback, swift as flight, hitting the mark every times; gather them into one squad and call them “the galloping warriors.”
There are archers whose aim is accurate and deadly; gather them into one squad and call them "the warriors of the fighting edge.”
There are those who can shoot heavy crossbows and catapults accurately at great distances; gather them into one squad and call them “the warriors who crush the enemy’s edge.”
These six kinds of skilled warriors should be employed according to their particular skills.
The Use of KnowledgeGeneralship requires one to follow nature, depend on timing, and rely on people in order to achieve victory.
Therefore, if nature works but the timing doesn’t work, and yet people act, this is called opposing the time.
If the timing works but nature isn’t cooperating, and still people act, this is called opposing nature.
If timing and nature both work, but people do not act, this is called opposing people.
Those who know do not oppose nature, do not know oppose the time, and do not know oppose people.
Not Setting Up Battle LinesIn ancient times, those who governed well did not arm, and those who were armed well did not set up battle lines. Those who set up battle lines well did not fight, those who fought well did not lose, and those who lost well did not perish.
The government of the sages of old was such that people were comfortable in their homes and enjoyed their works, living to old age without ever attacking one another. “Those who govern well do not arm.”
When King Shun (reigned 2255-2207 BCE) organized rules and penalties for wrongdoing, he accordingly created knights, or warriors. But people did not violate the rules, and no penalties were enforced. “Those who arm well do not set up battle lines.”
Later, King Yu (reigned 2205-2197 BCE) made a punitive expedition against the Miao tribes, but all he did was demonstrate the martial art and culture arts, and the Miao people became more civilized. “Those who set up battle lines well do not fight.”
King Tang (reigned 1766-1753 BCE) and King Wu (reigned 1766-1753 BCE) and King Wu (reigned 1134-1115) pledged armies for one military operation, by which the whole land was decisively pacified. “Those who fight well do not lose.”
When King Zhao and Chu (reigned 515-488) ran into the disaster, he fled to Qin for help and ultimately was able to get his kingdom back. “Those who lose well do not perish.”
Sincerity in GeneralsAn ancient document says: “Those who are contemptuous of cultured people have no way to win people’s hearts completely; those who are contemptuous of common people have no way to get people to work as hard as they can.”
For military operations it is essential to strive to win the hearts of heroes, to make the rules of rewards and punishments strict, to include both cultural and martial arts, and to combine both hard and soft techniques.
Enjoy the amenities and music; familiarize yourself with poetry and prose. Put humanity and justice before wit and bravery.
In stillness be as quiet as a fish in the deep, in action be as swift as an otter. Dissolve enemies’ collusion; break down their strengths. Dazzle people with your banners; alert people with cymbals and drums.
Withdraw like a mountain in movement, advance like a rainstorm. Strike and crush with shattering force; go into battle like a tiger.
Press enemies and contain them; lure and entice them. Confuse them and seize them; be humble to make them proud. Be familiar yet distant; weaken them by lending strength.
Give security to those in danger; gladden those in fear. If people oppose you, take what they say to heart; if people have grudges, let them express themselves.
Restrain the strong, sustain the weak. Get to know those with plans; cover up any slander. When there is booty, distribute it.
Do not count on your strength and take an opponent lightly. Do not be conceited about your abilities and think little of subordinates.
Do not let personal favor congeal into authority.
Plan before acting. Fight only when you know you can win.
Do not keep the spoils of war for your own possession and use.
If generals can be like this, people will be willing to fight when they give the orders, and the enemy will be defeated before any blood is shed.
( Return to Translator’s Introduction )
Authored by Zhuge Liang (Kongming)Translation Copyright © Thomas Cleary
Essay on Leadership and Crisis Management
Authored by Zhuge Liang (Kongming)Translated by Thomas Cleary
( Return to Translator’s Introduction )
The Authority of the Military LeadershipMilitary authority, directing the armed forces, is the matter of the authoritative power of the leading general.
If the general can hold the authority of the military and operate its power, he oversees his subordinates like a fierce tiger with wings, flying over the four seas, going into action whenever there is an encounter.If the general loses his authority and cannot control the power, he is like a dragon cast into a lake, he may seek the freedom of the high sea, but how can he get there?
Chasing EvilsThere are five types of harm in decadence among national armed forces. First is the formation of factions that band together for character assassination, criticizing an vilifying the wise and the good. Second is luxury is uniforms. Third is wild tales and confabulations about the supernatural.Fourth is judgment based on private views, mobilizing groups for personal reasons.Fifth is making secret alliances with enemies, watching for where the advantage may lie.
All people like this are treacherous and immoral. You should distance yourself from them and not associate with them.
Knowing PeopleNothing is harder to see into people’s natures. Though good and bad are different, their conditions and appearances are not always uniform.There are some people who are nice enough but steal.Some people are outwardly respectful while inwardly making fools of everyone.Some people are brave on the outside yet cowardly on the inside.Some people do their best but are not loyal.Hard though it be to know people, there are ways.
First is to question them concerning right and wrong, to observe their ideas.Second is to exhaust all their arguments, to see how they change.Third is to consult with them about strategy, to see how perceptive they are.Fourth is to announce that there is trouble, to see how brave they are.Sixth is to present them with the prospect of gain, to see how modest they are.Seventh is to give them a task to do within a specific time, to see how trustworthy they are.
Types of GeneralsThere are nine types of generals.
Those who guide with virtue, who treat all equally with courtesy, who know when the troops are cold and hungry, and who notice when they are weary and pained, are called humanistic generals.
Those who do not try to avoid any task, who are not influenced by profit, who would die with honor before living in disgrace, are called dutiful generals.Those who are not arrogant because of their high status, who do not make much of their victories, who are wise but can humble themselves, who are strong but can be tolerant, are called courteous generals.
Those whose extraordinary shifts are unfathomable, whose movements and responses are multifaceted, who turn disaster into fortune and seize victory from the jaws of danger, are called clever generals.
Those who give rich rewards for going ahead and have strict penalties for retreating, whose rewards are given right away and whose penalties are the same for all ranks, even the highest, are called trustworthy generals.
Those who go on foot or on a warhorse, with the mettle to take on a hundred men, who are skilled in the use of close-range weapons, swords, and spears are called infantry generals.
Those who face the dizzying heights and cross the dangerous defiles, who can shoot at a gallop as if in flight, who are in the vanguard when advancing and in the rear guard when withdrawing, are called cavalry generals.
Those who mettle makes the armies tremble and whose determination makes light of powerful enemies, who are hesitant to engage in petty fights while courageous in the midst of major battles, are called fierce generals.
Those who consider themselves lacking when they see the wise, who go along with good advice like following a current, who are magnanimous yet able to be firm, who are uncomplicated yet have many strategies, are called great generals.
Capacities of CommandersThe capacities of commanders are not the same; some are greater, some are lesser.
One who spies out treachery and disaster, who wins the allegiance of others, is the leader of ten men.
One who rises early in the morning and retires late at night, and whose words are discreet yet perceptive, is the leader of a hundred men.
One who is direct yet circumspect, who is brave and can fight, is the leader of a thousand men.
One of martial bearing and fierceness of heart, who knows the hardships of others and spares people from hunger and cold, is the leader of ten thousand men.
One who associates with the wise and promotes the able, who is careful of how he spends each day, who is sincere, trustworthy, and magnanimous, and who is guarded in times of order as well as times of disturbance, is the leader of a hundred thousand men.
One whose humanitarian care extends to all under his command, whose trustworthiness and justice win the allegiance of neighboring nations, who understands the signs of the sky above, the patterns of the earth below, and the affairs of humanity in between, and who regards all people as his family, is a world-class leader, one who cannot be opposed.
Decadence in GeneralsThere are eight kinds of decadence in generalship.First is to be insatiably greedy.Second is to be jealous and envious of the wise and able.Third is to believe slanders and make friends with the treacherous.Fourth is to assess others without assessing oneself.Fifth is to be hesitant and indecisive.Sixth is to be heavily addicted to wine and sex.Seventh is to be a malicious liar with a cowardly heart.Eighth is to talk wildly, without courtesy.
Loyalty in Generals“Weapons are instruments of ill omen”; generalship is a dangerous job. Therefore if one is inflexible there will be breakdowns, and when the job is important there will be danger.
This is why a good general does not rely or presume on strength or power. He is not pleased by favor and does not fear vilification. He does not crave whatever material goods he sees, and he does not rape whatever women he can. His only intention is to pursue the best interest of the country.
Skills of GeneralsThere are five skills and four desires involved in generalship.
The five skills are:1. Skill in knowing the disposition and power of enemies,2. Skill in knowing the ways to advance and withdraw,3. Skill in knowing how empty or how full countries are,4. Skill in knowing nature’s timing and human affairs,5. And skill in knowing the features of terrain.
The four desires are:1. Desire for the extraordinary and unexpected in strategy,2. Desire for thoroughness in security,3. Desire for calm among the masses,4. And desire for unity of hearts and minds.
Arrogance in GeneralsGenerals should not be arrogant, for if they are arrogant they will become discourteous, and if they are discourteous people will become alienated from them. When people are alienated, they become rebellious.
General should not be stingy, for if they are stingy they will not reward the trustworthy, and if they do not reward the trustworthy, the soldiers will not be dedicated., the armed forces are ineffective, and if the armed forces are ineffective, the nation is empty. When the nation is empty, its opponents are full.
Confucius said, “People may have the finest talents, but if they are arrogant and stingy, their others qualities are not worthy of consideration.”
Military PreparednessMilitary preparedness is the greatest task of the nation. A small mistake can make a huge difference. When the force of momentum by which soldiers are killed and generals are captured can move with sudden rapidity, should we not be wary?
Therefore when a nation is in trouble, the ruler and ministers urgently work on strategy, selecting the wise and assessing the able to delegate responsibility to them.
If you count on safety and do not think of danger, if you do not know enough to be wary when enemies arrive, this is called a sparrow nesting on a tent, a fish swimming in a cauldron - they won’t last the day.
Traditions say, “Without preparation, military operation are unfeasible.”
“Preparedness against the unexpected is a way of good government.”
“Even bees have venom - how much the more do nations. If you are unprepared, even if there are many of you, mere numbers cannot be counted on.”
A classic document says, “Only when we do our tasks are we prepared; when we are prepared, there is no trouble.”
Therefore the action of the military forces must have preparation.
TrainingSoldiers without training cannot stand up to one out of a hundred opponents, yet they are sent out against a hundred each. This is why Confucius said, “To send people to war without teaching them is called abandoning them." It is also said, "Teach the people for the seven year, and they too can go to war.”
Therefore soldiers must be taught with out fail. First train them in conduct and duty, teach them to be loyal and trustworthy, instruct them in rules and penalties, awe them with rewards and punishments. When people know enough to follow along, then train them in maneuvers.
One person can teach ten, ten people can teach a hundred, a hundred people can teach a thousand, a thousand can teach ten thousand, thus developing the armed forces. Train like this, and opponents will surely lose.
Corruption in the Armed ForcesIn military operation it may happen the scouts are not careful of their signal fires or there may be mistakes in calculation and consequent delays, infractions of rules, failure to respond to the time and situation, disorder in the ranks, callous and unreasonable demand made by superiors on their subordinates, pursuit of self-interest, lack of concern for the hungry and cool, tall tales and fortune telling, rabble rousing, confusing the officers, refusal of the mettlesome to submit to authority, contempt of superiors, or using supplies for personal enjoyment. These things corrupt the armed forces. When they are present, there is certain to be defeat.
Loyal HeartsThose who would be military leaders must have loyal hearts, eyes and ears, claws and fangs. Without people loyal to them, they are like someone walking at night, not knowing where to step. Without eyes and ears, they are as though in the dark, not knowing how to proceed. Without claws and fangs, they are like hungry men eating poisoned food, inevitably to die.
Therefore good generals always have intelligent and learned associates for their advisors, thoughtful and careful associates for their eyes and ears, brave and formidable associates for their claws and fangs.
Careful WatchingThe loss of an army is always caused by underestimating an opponent and thus bringing on disaster. Therefore an army goes out in an orderly manner. If order is lost, that bodes ill.
There are fifteen avenues of order:1. Thoughtfulness, using secret agents for intelligence.2. Organization, gathering news and watching carefully.3. Courage, not being disturbed by the number of the enemy.4. Modesty, thinking of justice and duty when seeing the opportunity for gain.5. Impartiality, being egalitarian in matters of rewards and punishments.6. Forbearance, being able to bear humiliation.7. Magnanimity, being able to accept the masses.8. Trustworthiness, so that there can be serious cooperation.9. Respect, honoring the wise and able.10. Clarity of mind, not listening to slander.11. Reason, not forgetting past experience.12. Human kindness, taking care of the soldiers.13. Loyalty, devoting oneself to the nation.14. Moderation, knowing to stop when you have enough of anything.15. Planning, assessing yourself first, and then assessing others.
Formation of OpportunityTo overcome the intelligent by folly is contrary to the natural order of things; to overcome the foolish by intelligence is in accord with the natural order. To overcome the intelligent by intelligence, however, is a matter of opportunity
There are three avenues of opportunity: events, trends, and conditions. When opportunities occur through events but you are unable to respond, you are not smart. When opportunities become active through a trend and yet you cannot make plans, you are not wise. When opportunities emerge through conditions but you cannot act on them, you are not bold.
Those skilled in generalship always achieve their victories by taking advantage of opportunities.
Good GeneralshipGood generals of ancient times had some overall principles:1. Show people when to proceed and when to withdraw, and people will learn regulation.2. Array them on the lines rightly and justly, and people will be orderly.3. Show respect for them by your judgment, and people will be enthusiastic.4. Motivate them with rewards and penalties, and people will be trusting.Regulation, order, enthusiasm, and trust are the overall principles of generals, by which they are able to ensure victory in battle.
The mediocre are not like this: they cannot stop their troops when they retreat, they cannot control their troops when they advance, they mix up good and bad, the soldiers are not given instruction and encouragement, rewards and punishments are not fair. Because people are not trusting, the wise and the good withdraw, while flatterers are promoted. Such an army will therefore inevitably be defeated in war.
Discerning BasesIf you attack evils based on social trends, no one can rival you in dignity. If you settle victory based on the power of the people, no one can rival you in achievement.
If you can accurately discern these bases of action, and add dignity and faith to them, you can take on the most formidable opponent and prevail over the most valiant adversary.
Victory and DefeatWhen the wise and talented are in the higher positions and undesirables are in low positions, the armed forces are happy. When the soldiers are scared, if they talk to each other of valiant combat, look to each other on by rewards and penalties, these are signs of certain victory.
When the armies have been shaken up several times, if the soldiers become lazy, insubordinate, untrustworthy, and unruly, if they scare each other with talk about the enemy, if they talk to each other about booty, make hints to each other of disaster and fortune, or confuse each other with weir talk, these are signs of certain defeat.
Using AuthorityPeople’s lives depend on generals, as do success and failure, calamity and fortune, so if the rulership does not give them the power to reward and punish, this is like tying up a monkey and trying to make it cavort around, or like gluing someone’s eyes shut and asking him to distinguish colors.
If rewards are up to powerful civilians and punishments do not come from the generals, people will seek personal profit - then who will have any interest in fighting? Even with superlative strategy and performance, self-defense would be impossible under these circumstances.
Therefore Sun Tzu the Martialist said, “When a general is in the field, there are some orders he doesn’t accept from the civilian ruler.” It is also said, “In the army, you hear the orders of the generals, you don’t hear about command from the emperor.”
Grieving for the DeadGood general of ancient times took care of their people as one might take care of a beloved child. When there was difficulty they would face it first themselves, and when something was achieved they would defer to others. They would tearfully console the wounded and sorrowfully mourn the dead. They would sacrifice themselves to feed the hungry and remove their own garments to clothe the cold. They honored the wise and provided for their living; they rewarded and encouraged the brave. If generals can be like this, they can take over anywhere they go.
AlliesTo operate, the armed forces need allies as consultants and assistants to the leadership.
Everyone looks up to those who are thoughtful and have unusual strategies beyond the ordinary ken, who are widely learned and have broad vision, and who have many skills and great talents. Such people can be made top allies.
Those who are fierce, swift, firm, and sharp are heroes of an age. Such people can be made second-ranked allies.
Those who talk a lot but not always to the point, who are slight in ability, with little that is extraordinary, are people with ordinary capabilities. They can be brought along as the lower class of allies.
ResponsivenessWhen you plan for difficulty in times of ease, when you do the great while it is still small, when you use rewards first and penalties later, this is refinement in use of the military.
When the troops are already on the battlefield, the cavalries are charging each other, the catapults have been set in position, and the infantries meet at close range, if you can use awesome authoritativeness to convey a sense of trust such that opponents surrender, this is ability in use of the military.
If you plunge into a half of arrows and rocks, facing off in a contest for victory, with winning and losing distinct, if your adversary is wounded but you die, this is inferiority in use of the military.
Taking OpportunitiesThe art of certain victory, the mode of harmonizing with charges, is a matter of opportunity. Who but the perspicacious can deal with it? And of all avenues of seeing opportunity, none is greater than the unexpected.
Assessing AbilitiesThose who employed warriors skillfully in ancient times assessed their abilities in order to calculate the prospects of victory or defeat:Who has the wise ruler?Who has the more intelligent generals?Who has the more able officers?Whose food supplies are most abundant?Whose soldiers are better trained?Whose legions are more orderly?Whose warhorses are swifter?Whose formation and situation are more dangerous?Whose clients and allies are smarter?Whose neighbors are more frightened?Whose has more food and money?Whose citizenry is calmer?When consider matters along these lines, structural strengths and weaknesses can be determined.
Facilitating BattleA scorpion will sting because it has poison; a soldier can be brave when he can rely on his equipment. Therefore when their weapons are sharp and their armor is strong, people will readily do battle. If armor is not strong, it is the same as baring one’s shoulders. if a bow cannot shoot far, it is the same as a close-range weapon. If a shot cannot hit the mark, it is the same as having no weapon. If a scout is not careful, it is the same as having no eyes. If a general is not brave in battle, it is the same as having no military leadership.
Striking PowerSkilled warriors of ancient times first found out the condition of their enemies and then made plans to deal with them. There is no doubt of success when you strike enemies under the following conditions:Their fighting forces are stale.Their supplies are exhausted.Their populace is full of sorrow and bitterness.Many people are physically ill.They do not plan ahead.Their equipment is in disrepair.Their soldiers are not trained.Reinforcement does not show up.Night falls when they still have a long way to go.Their soldiers are worn out.Their generals are contemptuous and their officers are inconsiderate.They neglect to make preparations.They do not form battle lines as they advance.When they do form battle lines, they are not stable.They are disorderly when they travel over rough terrain.There is discord between commanders and soldiers.They become arrogant when they win a battle.There is disorder in the ranks when they move their battle lines.The soldiers are tired and prone to upset.The army is supplied, but the people do not eat.Each man moves on his own - some go ahead, some lag behind.When opponents have the following qualities, however, withdraw and avoid them:Superiors are considerate and subordinates are obedient.Rewards are sure and punishments certain.The forces are set out in an orderly fashion.They give responsibility to the wise and employ the able.The army is courteous and mannerly.Their armor is strong and their weapons keen.They have plenty of supplies and equipment.Their government and education are substantial.They are on good terms with all of their neighbors.They are backed by great nations.
Psychological ConfigurationsSome generals are brave and think lightly of death. Some are hasty and impulsive. Some are greedy and materialistic. Some are humane but lack endurance. Some are intelligent but timid. Some are intelligent but easygoing at heart
Those who are brave and think lightly of death are vulnerable to assault. Those who are hasty and impulsive are vulnerable to delay. Those who are greedy and materialistic are vulnerable to loss. Those who are humane but lack endurance are vulnerable to fatigue. Those who are intelligent but timid are vulnerable to pressure. Those who are intelligent but easygoing are vulnerable to sudden attack
Orderly TroopsIn military operations, order leads to victory. If rewards and penalties are unclear, if rules and regulations are unreliable, and if signals are not followed, even if you have an army of a million strong it is of no practical benefit.
An orderly army is one that is mannerly and dignified, one that cannot be withstood when it advances and cannot be pursued when it withdraws. Its movements are regulated and directed; this gives it security and presents no danger. The troops can be massed but not scattered, can be deployed but not worn out.
Inspiring SoldiersHonor them with titles, present them with goods, and soldiers willingly come join you. Treat them courteously, inspire them with speeches, and soldiers willingly die. Give them nourishment and rest so that they do not become weary, make the code of rules uniform, and soldiers willingly obey. Lead them into battle personally, and soldiers will be brave. Record even a little good, reward even a little merit, and soldiers will be encouraged.
Self-exertionSages follow the rules of heaven; the wise obey the laws of earth; the intelligent follow precedent. Harm comes to the arrogant; calamity visits the proud. Few people trust those who talk too much; few people feel indebted to the self-serving. Rewarding the unworthy causes alienation; punishing the innocent causes resentment. Those whose appreciation or anger are unpredictable perish.
Harmonizing PeopleHarmonizing people is essential in military operations. When people are in harmony, they will fight on their own initiative, without exhortation. If the officers and the soldiers are suspicious of one another, them warriors will not join up. If no heed is paid to the strategies of loyal, the small-minded people will backbite. When the sprouts of hypocrisy arise, even if you have the wisdom of the great warrior-kings of old, you will not be able to prevail over an ordinary man, much less a whole group of them. Therefore tradition says, “A military operation is like fire; if it is not stopped, it burns itself out.”
The Condition of a GeneralAccording to the code of generalship, generals do not say they are thirsty before the soldiers have drawn from the well; generals do not say they are hungry before the soldiers’ food is cooked; generals do not say they are cold before the soldiers’ fire are kindled; generals do not say they are hot before the soldiers’ canopies are drawn. Generals do not use fans in summer, do not wear leather (or fur) in winter, do not use umbrella in the rain. They do as everyone does.
Order and DisorderWhen a nation is perilous and disordered, and the people are not secure in their homes, this is because the ruler has made the mistake of neglecting to find wise people
When the wise are disaffected, a nation is in peril; when the wise are employed, a nation is secure. When offices are chosen for persons, there is disorder; when persons are chosen for offices, there is order.
Observant GovernmentAn observant and perceptive government is one that looks at subtle phenomena and listens to small voices. When phenomena are subtle they are not seen, and when voices are small they are not heard; therefore an enlightened leader looks closely at the subtle and listens for the importance of the small voice.
This harmonizes the outside with the inside, and harmonizes the inside with the outside; so the Way of government involves the effort to see and hear much.
Thus when you are alert to what the people in the lower echelons have to say, and take it into consideration, so that your plan include the rank and file, then all people are your eyes and a multitude of voices helps your ears. This is the reason for the classic saying, “A sage has no constant mind - the people are the sage’s mind.”
Rulers and MinistersFor rulers, generosity to subordinates is benevolence; for ministers, service of the government is duty. No one should serve the government with duplicity; ministers should not be given dubious policies.
When both superiors and subordinates are given to courtesy, then the people are easy to employ. When superiors and subordinates are in harmony, then the Way of rulers and ministers is fulfilled: rulers employ their ministers courteously, while ministers work for the rulers loyally; rulers plan the government policies, while ministers plan their implantation.
Knowledgeable RuleRulers are considered knowledgeable according to how much they have seen, and are considered capable according to how much they have heard.
Everyone knows the saying that an intelligent ruler is constant through the day and night, discharging the affairs of office by day and attending to personal matters at night. Yet there may be grievances that do not get a hearing, and there may be loyal people promoting good who are not trusted.
If grievances are not heard, the best cannot be straightened. If promotion of good is not accepted, the loyal are not trusted and the treacherous enter with their schemes.
This is the meaning of the proverb in the ancient “Classic of Documents”: “Heaven sees through the seeing of my people, heaven hears through the hearing of my people.”
Not KnowingConfucius said that an enlightened ruler does not worry about people not knowing him, he worries about not knowing people. He worries not about outsiders not knowing insiders, but about insiders not knowing outsiders. He worries not about subordinates not knowing superiors, but about superiors not knowing subordinates. He worries not about the lower classes not knowing the upper classes, but about the upper classes not knowing the lower classes.
AdjudicationWhen rulers adjudicate criminal cases and execute punishments, they worry that they may be unclear. The innocent may be punished while the guilty may be released. The powerful may arrogate to themselves alone the right to speak, while the powerless may have their rights infringed upon by those who bear grudges against them. Honesty may be distorted; those who are wronged may not get a chance to express themselves. The trustworthy may be suspected; the loyal may be attacked. These are all perversions, problems causing disaster and violence, aberrations causing calamity and chaos.
Disturbance and SecurityIt is said that when official are severe in everything, no one knows where it will end. If they feed off the people so severely that people are hungry and impoverished, this produces disturbances and rebellion.
Encourage people in productive work, don’t deprive them of their time. Lighten their taxes, don’t exhaust their resources. In this way the country is made wealthy and families secure.
AppointmentsThe official policy of making appointments should be to promote the upright and place them over the crooked. Governing a country is like governing the body,. The way to govern the body is to nurture the spirit; the way to govern a country is to promote the wise. Life is sought by nurturing the spirit; stability is sought by promoting the wise.So public servants are to a nation as pillars are to a house; the pillars should not be slender; public servants should not be weak. When the pillars are slender the house collapses; when the public servants are weak the nation crumbles. Therefore the way to govern a nation is to promote the upright over the crooked; then the nation is secure.
Pillars of StateFor strong pillars you need straight trees; for wise public servants you need upright people. Straight trees are found in remote forests; upright people come from the humble masses. Therefore when rulers are going to make appointments they need to look in obscure places.
Sometimes there are disenfranchised people with something of value in them; sometimes there are people with extraordinary talent who go unrecognized. Sometimes there are paragons of virtue who are not promoted by their hometown; sometimes there are people who live in obscurity on purpose.
Sometimes there are people who are dutiful and righteous for purely philosophical or religious reasons. Sometimes there are loyal people who are straightforward with rulers but are slandered by cliques. Ancient kings are known to have hired unknowns and nobodies, finding in them the human qualities whereby they were able to bring peace.
Evaluation and DismissalThe official policy of evaluation and dismissal should be to promote the good and dismiss the bad. An enlightened leadership is aware of good and bad throughout the realm. not daring to overlook even minor officials and commoners, employing the wise and good, and dismissing the greedy and weak-minded.
With enlightened leadership and good citizens, projects get accomplished, the nation is orderly, and the wise gather like rain; this is the way to promote the good and dismiss the bad, setting forth what is acceptable and what is blameworthy. Therefore a policy of evaluation and dismissal means effort to know what hurts the people.
What Hurts the PeopleThere are five things that hurt the people:1. There are local officials who use public office for personal benefit, taking improper advantage of their authority, holding weapons in one hand and people’s livelihood in the other, corrupting their offices, and bleeding the people.2. There are cases where serious offenses are given light penalties; there is inequality before the law, and the innocents are subjected to punishment, even execution. Sometimes serious crimes are pardoned, the strong are supported, and the weak are oppressed. Harsh penalties are applied, unjustly torturing people to get at facts.3. Sometimes there are officials who condone crime and vice, punishing those who protest against this, cutting off the avenue of appeal and hiding the truth, plundering and ruining lives, unjust and arbitrary.4. Sometimes there are senior officials who repeatedly change department heads so as to monopolize the government administration, favoring their friends and relatives while treating those they dislike with unjust harshness, oppressive in their actions, prejudiced and unruly. They also use taxation to reap profit, enriching themselves and their families by exactions and fraud.5. Sometimes local officials extensively tailor awards and fines, welfare projects, and general expenditures, arbitrarily determining prices and measures, with the result that people lose their jobs.These five things are harmful to the people, and anyone who does any of these should be dismissed from the office.
Military Actions“Weapon are instruments of ill omen, to be used only when it is unavoidable.” The proper course of military action is to establish strategy first, and then carry it out. Monitor the environment, observe the minds of the masses, practice the use of military equipment, clarity the principles of reward and punishment, watch the schemes of enemies, note the perils of the roads, distinguish safe and dangerous places, find out the conditions of the parties involves, and recognize when to proceed and when to withdraw. Follow the timing of opportunities, set up preparations for defense, strengthen your striking power, improve the abilities of your soldiers, map out decisive strategies, and consider life and death issues. Only after doing appointing military leaders and extending the power to capture enemies. This is the overall scheme of things in military matters.
Rewards and PenaltiesA policy of rewards and penalties means rewarding the good and penalizing wrongdoers. Rewarding the good is to promote achievement; penalizing wrongdoers is to prevent treachery.
It is imperative that rewards and punishments be fair and impartial. When they know rewards are to be given, courageous warriors know what they are dying for; when they know penalties are to be applied, villains know what to fear.
Therefore, rewards should not be given without reason, and penalties should not be applied arbitrary. If rewards are given for no reason, those who have worked hard in public service will be resentful; if penalties are applied arbitrary, upright people will be bitter.
Clarity and ConsistencyGenerals hold authority over life and death. If they allow those who should live to be killed, or allow those who should be killed to live, or if they get angry without discernible reason, or their punishments and rewards are not clear, or commands are inconsistent, or they carry their private over into public life, this is dangerous for the nation.
If their punishment and rewards are not clear, their directives will not always be followed. If they allow those who should be killed to live, treachery will not be prevented. If they allow those who should live to be killed, soldiers will defect. If they get angry without discernible reason, their authority will not be effective. If their rewards and punishments are not clear, the lower echelons will not be encouraged to achieve. If politics are inappropriate, orders will not be obeyed. If private affairs are carried over into public life, people will be of two minds.
If treachery is not prevented, it is impossible to last long. If soldiers defect, the ranks will be decimated. If authority is ineffective, the troops will not rise up in the face of the enemy. If the lower echelons are not encouraged to achieve, the upper echelons have no strong support. If orders are not obeyed, affairs will be chaotic. If people are of two minds, the country will be in danger.
Pleasure and DispleasureDispleasure should not lead you to harm people who have done no wrong; pleasure should not lead you to go along with those who deserve to be executed.
Pleasure should not induce you to forgive those who have done wrong; displeasure should not induce you to execute the innocent.
Pleasure and displeasure should not be arbitrary; personal prejudices ignore worthy people. A general should not start a battle out of personal displeasure; it is imperative to go by the collective will. If he does go into battle because of personal displeasure, it will certainly result in defeat.
Culture and the MilitaryCulture takes precedence; the military comes after. If you put victory first, you will surely get beaten later; if you start out with anger, you will surely regret it later. One day’s anger can destroy your whole life. Therefore a superior man is stern but not ferocious; he may get angry, but not furious; he may worry, but does not fear; he may rejoice, but not overjoyed.
OrganizationA policy to quell disorder involves minimizing offices and combining duties, getting rid of embellishment in favor of substance.
First organize directives, then organize penalties. First organize the near at hand, then organize the far removed. First organize the inner, then organize the outer. First organize the basic, then organize the derivative. First organize the strong, then organize the weak. First organize the great, then organize the small. First organize yourself, then organize others.
Instruction and DirectionA policy of instruction and direction means those above educate those below, not saying anything that is unlawful and not doing anything that is immoral, for what is done by those above is observed by those below.
To indulge oneself yet instruct others is contrary to proper government; to correct oneself and then teach others is in accord with proper government. Therefore true leaders first rectify themselves and only after that do they promulgate their directives. If they are not upright themselves, their directives will not be followed, resulting in disorder.
Therefore the Way of leadership puts education and direction before punishment. To send people to war without education is tantamount to throwing them away.
Thought and ConsiderationA policy of thought and consideration means giving thought to what is near at hand and considering what is remote. As it is said, “If people do not consider what is remote, they will have trouble near at hand.” Therefore “educated people think without leaving their positions.” Thinking means correct strategy, consideration mean thinking of plans for eventualities. One is not to plan policy when it is not one’s place to do so, or consider the scheme of things that are none of one’s business.
Major affairs arise in difficulty, minor affairs arise in ease. Therefore if you want to think of the advantages in a situation, it is imperative to consider the harm; if you want to think about success, it is imperative to consider failure.
Danger arises in safety, destruction arises in survival. Harm arises in advantage, chaos arises in order. Enlightened people know the obvious when they see the subtle, know the end when they see the beginning; thus there is no way for disaster to happen. This is due to thoughtful consideration.
Strength in GeneralsGenerals have five strengths and eight evils.The five strengths are: noble behavior that can inspire the common people, social virtues that can elevate their reputations, trustworthiness and dutifulness in personal relationships, universal love encompassing all the people, and powerful action to succeed in their tasks.
The eight evils are: inability to assess right and wrong when formulating strategy, inability to delegate authority to the wise and the goods in times of order, inability to mete out just punishments for incidents of disorder, inability to help the poor in times of plenty, insufficient intelligence to guard against threats before they have taken shape, insufficient thought to prevent subtle dangers, inability to express what is known intuitively, and inability to avoid criticism in defeat.
Sending out the Armed ForcesIn ancient times, when a nation was in trouble, the ruler would select a wise man and have hime fast for three days in quiet seclusion before going to the gate of the national shrine, where he would stand facing south. He then took a high courtier to present a ceremonial axe to the ruler, who in turn would pass it by the handle to the general, saying:“The military leadership settles matters outside the borders,” and also directing him in these terms:“Where you see the enemy to be empty, proceed; where you see the enemy to be full, stop.“Do not look down on others because of your elevated rank.“Do not oppose the common consensus with personal opinions.“Do not turn from the loyal and trustworthy through the artifices of the skilled but treacherous.“Do not sit down before the soldiers sit; do not eat before the soldiers eat.“Bear the same cold and heat the soldiers do; share their toil as well as their case.“Experience sweetness and bitterness just as the soldiers do; take the same risks that they do.“Then the soldiers will exert themselves to the utmost, and it will be possible to destroy enemies.”Having accepted these words, the general led the armed forces out through the city’s gate of ill omen.The ruler, seeing the general off, knelt and said, “Advance and retreat are a matter of timing - military affairs are not directed by the ruler but by the general.” Therefore “There is no heaven above, no earth below, no adversary ahead, and no ruler behind.” Thus the intelligent think because of this; the mettlesome fight because of this.”
Selection on AbilitiesIn military action, there are men who like to fight and enjoy battle, single-handedly taking on powerful opponents; gather them into one squad and call them “the warriors who repay the nation.
There are mettlesome men with ability and strength, courage and speed; gather them into a squad and call them “the warriors who crash the battle lines.”
There are those who are light of foot, good walkers and runners; gather them into a squad called “the warriors who capture the flag.”There are those who can shoot on horseback, swift as flight, hitting the mark every times; gather them into one squad and call them “the galloping warriors.”
There are archers whose aim is accurate and deadly; gather them into one squad and call them "the warriors of the fighting edge.”
There are those who can shoot heavy crossbows and catapults accurately at great distances; gather them into one squad and call them “the warriors who crush the enemy’s edge.”
These six kinds of skilled warriors should be employed according to their particular skills.
The Use of KnowledgeGeneralship requires one to follow nature, depend on timing, and rely on people in order to achieve victory.
Therefore, if nature works but the timing doesn’t work, and yet people act, this is called opposing the time.
If the timing works but nature isn’t cooperating, and still people act, this is called opposing nature.
If timing and nature both work, but people do not act, this is called opposing people.
Those who know do not oppose nature, do not know oppose the time, and do not know oppose people.
Not Setting Up Battle LinesIn ancient times, those who governed well did not arm, and those who were armed well did not set up battle lines. Those who set up battle lines well did not fight, those who fought well did not lose, and those who lost well did not perish.
The government of the sages of old was such that people were comfortable in their homes and enjoyed their works, living to old age without ever attacking one another. “Those who govern well do not arm.”
When King Shun (reigned 2255-2207 BCE) organized rules and penalties for wrongdoing, he accordingly created knights, or warriors. But people did not violate the rules, and no penalties were enforced. “Those who arm well do not set up battle lines.”
Later, King Yu (reigned 2205-2197 BCE) made a punitive expedition against the Miao tribes, but all he did was demonstrate the martial art and culture arts, and the Miao people became more civilized. “Those who set up battle lines well do not fight.”
King Tang (reigned 1766-1753 BCE) and King Wu (reigned 1766-1753 BCE) and King Wu (reigned 1134-1115) pledged armies for one military operation, by which the whole land was decisively pacified. “Those who fight well do not lose.”
When King Zhao and Chu (reigned 515-488) ran into the disaster, he fled to Qin for help and ultimately was able to get his kingdom back. “Those who lose well do not perish.”
Sincerity in GeneralsAn ancient document says: “Those who are contemptuous of cultured people have no way to win people’s hearts completely; those who are contemptuous of common people have no way to get people to work as hard as they can.”
For military operations it is essential to strive to win the hearts of heroes, to make the rules of rewards and punishments strict, to include both cultural and martial arts, and to combine both hard and soft techniques.
Enjoy the amenities and music; familiarize yourself with poetry and prose. Put humanity and justice before wit and bravery.
In stillness be as quiet as a fish in the deep, in action be as swift as an otter. Dissolve enemies’ collusion; break down their strengths. Dazzle people with your banners; alert people with cymbals and drums.
Withdraw like a mountain in movement, advance like a rainstorm. Strike and crush with shattering force; go into battle like a tiger.
Press enemies and contain them; lure and entice them. Confuse them and seize them; be humble to make them proud. Be familiar yet distant; weaken them by lending strength.
Give security to those in danger; gladden those in fear. If people oppose you, take what they say to heart; if people have grudges, let them express themselves.
Restrain the strong, sustain the weak. Get to know those with plans; cover up any slander. When there is booty, distribute it.
Do not count on your strength and take an opponent lightly. Do not be conceited about your abilities and think little of subordinates.
Do not let personal favor congeal into authority.
Plan before acting. Fight only when you know you can win.
Do not keep the spoils of war for your own possession and use.
If generals can be like this, people will be willing to fight when they give the orders, and the enemy will be defeated before any blood is shed.
( Return to Translator’s Introduction )
Authored by Zhuge Liang (Kongming)Translation Copyright © Thomas Cleary
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