The Center for Positive Change
Prepared by:
Dave Nystrom, LCDR, USN
30 January 2002
..
..
..
..
Engage – Influence – Transform .
The Leadership Summit (History Report)
Bold and Enlightened Naval Leaders at Every Level
Forging an Empowered Culture of Excellence
Executive Summary: The Leadership Summit was held at the Naval Postgraduate School, 3-6 December 2001. The
first of its kind, the Summit assembled over 260 people ranging from seaman to Admiral, that also represented all
backgrounds in our Navy. The Leadership Summit was an application of a new way to view and lead large-scale
change called a Large Group Intervention (LGI). Combining LGIs with the positive change approach of Appreciative
Inquiry yielded a dynamic summit process for rapid, collaborative change. Hence, the Leadership Summit was aimed
at leadership improvement and our Navy’s system of leadership development, utilizing an LGI with Appreciative
Inquiry to generate pilot projects with input from all stakeholders.
Background: In January 2000, the Honorable Jerry Hultin, then Under Secretary of the Navy, convened 19 mid-grade
officers at the Center for Executive Education at the Naval Postgraduate School in Monterey, California. The course
was called “30 Something,” and was a seminal innovation by senior leadership to tap the ideas of mid-level Navy
executives. The group was given free rein to envision their Navy/Marine Corps of 2020. While many ideas were
developed the group focused around their core vision of a Navy/Marine Corps that could “attract and retain great
people.” A central part of this goal was leadership.
High quality leadership is a cornerstone for everything our Navy does. As the 21 st Century, Information Age Navy
takes shape, how will leadership need to adapt? Today’s rapid pace of change and increasing uncertainty is fueled by
the constant development of new information technologies. This forces our Navy to become more adaptable, faster,
and flexible in response. Growing access to information will increase participation in decision making processes.
Hence, our people must be ready to respond, in kind, by stepping up to the call for increased responsibility and
leadership. Further, the changing values of the Internet generation are an important consideration for all leaders.
Outcomes: During the Leadership Summit, participants used Appreciative Inquiry questions to tap into their own past
high-point experiences in the Navy. The diverse group present discovered many commonalties and hopes for the
future. The participants then learned how to leverage these past strengths and shared visions to create action plans for
positive change. Specific outcomes included over 30 pilot projects. Additionally, the Leadership Summit:







Created a shared vision for the kind of leadership the Navy is calling for among participants
Provided spark for Task Force EXCEL’s leadership vector
Established a method to collect examples of exemplary leadership stories
Focused on the importance of positive “self-talk” and AI as a change management tool for leaders
Empowered participants with an awareness of Appreciative Inquiry and the summit method
Demonstrated value of methodology: Four separate summits will address other complex issues
Participants returned with a heightened sense of the possibilities ahead – positive effect on retention
The Leadership Summit initiative was briefed to the Chief of Naval Operations in October 2000. Admiral Clark
championed the effort as a CNO pilot project, and participated in the Summit on the third and fourth days. Admiral
Clark’s comments and other information about the Summit can be found at www.cee.nps.navy.mil .
The Leadership Summit
............................
Bold and Enlightened Naval Leaders at Every Level
Forging an Empowered Culture of Excellence
January 30, 2002,
Page - 2 -
How To Use This Report
This report is intended to provide a history of the Leadership Summit. This is not a “how to”
manual for conducting a Summit, but rather a resource that consolidates the important documents
from the Leadership Summit process. For example, readers will find an overview of the Summit,
outcomes, examples of reports, memorandums, workbooks used, lessons learned, and a list of
participants, among other items of interest. For more information, contact the Center for
Positive Change at (831) 656-3544 or 2328 or see www.cee.nps.navy.mil.
Table of Contents
Introduction: Overview of the Leadership Summit
Change Agent Lessons Learned
Acknowledgements
Overview of Summit Milestones
Original Objectives
Outcomes from the Summit: Agenda
Leadership Values Identified
Pilot Projects
Provocative Propositions
Intangible Outcomes
Comments from Participants
Opening Remarks from the CNO
Closing Remarks from the CNO
Steering Committee
Steering Committee Names
Stakeholder Map
Participant Organization Spreadsheet
Interview Team
Acknowledgement of Outstanding IT Members
Seven Themes of Outstanding Leadership
Interview Protocol
Interview Consent Forms
Lessons Learned from Interviewers
Workbooks: Leadership Summit Workbook
Steering Committee and Interview Team Workbook
Memos: Steering Committee Memo to CNO
Anticipated Outcomes Memo to CNO
Post September 11th Memo to CNO
Post Summit Report to CNO
Miscellaneous: Participant List
Summit Table Set-up
Summit Floor Team Playbook
Summit Floor Team Lessons Learned
Summit Expense Totals
Page 3
Page 10
Page 10
Page 11
Page 12
Page 15
Page 15
Page 16
Page 38
Page 44
Page 45
Page 48
Page 50
Page 55
Page 55
Page 56
Page 60
Page 65
Page 66
Page 67
Page 89
Page 97
Page 100
Page 101
Page 120
Page 240
Page 241
Page 244
Page 247
Page 250
Page 260
Page 261
Page 284
Page 287
2
January 30, 2002,
Page - 3 -
Introduction
“Our Navy needs talented young Americans who want to serve their nation and make a
difference. The key words here are serve and make a difference!”
- Admiral Clark, Chief of Naval Operations
In December 2001, amidst our determined efforts in Afghanistan, the Leadership Summit was
launched as a bold quest to help improve Naval leadership and shape our future culture. Admiral
Clark’s championing of this pilot initiative exemplifies both the kind of leader the Navy ought to
strive to grow at every level, and the kind of holistic, positive change process that can open the
status quo to transformations in collective action. The Summit was the first of its kind in our Navy.
Over 260 people were assembled ranging from seaman to CNO, and all backgrounds (surface, air,
sub-surface, staff corps, Marines, civilian, specwar…). Held at the Naval Postgraduate School in
Monterey, California, the Leadership Summit piloted a new approach to change called a Large
Group Intervention that utilized Appreciative Inquiry methods of facilitation. Participants were
empowered to generate their own pilot projects aimed at improving leadership and our Navy’s
system of leadership development.
In the wake of the attacks on America, 11 September 2001, Admiral Clark’s priority for education
and learning is even more pertinent as we prepare ourselves for dealing with the many facets of this
new threat. A fundamental building block of the transformation ahead is leadership. Not just in the
sense that we will continue to need great leaders, but also understanding how the dramatically
different 21st Century environment demands a different kind of leadership. Hence, how our Navy
develops, trains, and grooms future leaders – at every level – must adjust to better prepare our people
to anticipate and successfully meet these new challenges. Further, if this hyper-turbulent era we
currently live in demands a different kind of leader, then it also forces us to rethink how we view and
lead change – change that is emergent and generative vice programmatic and directive.
This report presents the background and theory that led to the Leadership Summit; the Summit’s
importance; and the Summit’s impact in terms of tangible and intangible outcomes/products.
BACKGROUND
“If the rate of change on the outside is greater than the rate of change on the inside, the end is
near.”
- Jack Welch
The Leadership Summit idea was born from a previous innovation called “30 Something.” This was
a course sponsored by the Honorable Jerry Hultin, then Under Secretary of the Navy, in January
2000. Held at the Naval Postgraduate School’s Center for Executive Education, it provided a “safe
space” to tap the ideas of 19 mid-grade Navy officers (this article’s author was a participant). While
many ideas were developed the group focused around their core vision of a Navy/Marine Corps that
could “attract and retain great people.” A central part of this goal was leadership. Intuitively, the
group sensed leadership was a foundation of the transformation they envisioned, and that there is an
3
January 30, 2002,
Page - 4 -
important shift occurring in the traditional role of leadership from “foreman” to more of a good
“coach.”
The original premise that gave rise to the Leadership Summit was the emergence of the theory of
Globalization and that the world is experiencing a dramatic, post-modern shift in the way
organizations function and hence leaders within them.
Environmental Changes:
Information Age,
Globalization, Trans-national
Terrorism
Changes in Values:
Internet Generation,
People Valued
Changes in
Leadership
Roles
adapted from Pasmore ‘98
Organizational Changes:
De-centralized,
Adaptable, Flexible
Member Participation:
Empowerment
Environmental Change: The Cold War period of the Industrial Age, although wasteful and
oppressive, was relatively stable. Today, free-market capitalism drives Globalization, fueled by
rapid growth in technology. Fast change and growing uncertainty increases demands on leadership
in organizations to speed up communication, innovation, and decision-making. Increasing
uncertainty increases the need for dialogue to explore options and uncover interdependencies while
searching for solutions. In response to environmental change, organizational structures adapt…
Organizational Structure: Leaders have changed organizational structures to be more flexible,
faster, and adaptable. Typically, this implies a flatter, less hierarchical, networked organization.
Rapid change and increasingly complex issues require open access to information and knowledge.
Social structure becomes characterized by interdependency rather than dependent relationships,
which drives more inclusive and de-centralized decision-making processes. The resulting adroitness
enables support for constrained improvisation – effectiveness over efficiency becomes the goal. In
response to changes in organizational structure, member participation changes…
Member Participation: In de-centralized organizational structures, member participation rises.
People become more empowered to make decisions. Individuals must step up to the call for
increased responsibility and leadership at all levels. Leadership development must support the
growth of this capacity.
Changes in Values: Environmental change can also influence values. The values/work ethic of the
Internet generation is different from the values/work ethic of earlier generations. People are valued
more than before, and are more included in the thinking process leading up to decision-making.
The above factors emphasize leadership’s role as steward or covenant leader in achieving
organizational effectiveness. Thus, the way we develop leaders must adapt to support these roles.
No longer is this just a local option for people with certain leadership styles. Today’s rapid pace of
change has become a defining part of the Information Age. This makes leading change an
increasingly important skill for all leaders. However, like leadership itself, how we view and lead
change is also shifting.
4
January 30, 2002,
Page - 5 -
LEADING COLLABORATIVE CHANGE
“No problem can be solved from the same consciousness that created it. We must learn to see
the world anew.”
- Albert Einstein
We live in increasingly complex and uncertain times. In response, many successful
organizations have become flatter, faster, and more flexible in order to keep up with the rapid
pace of external change. However, effective internal change cannot happen until people move
beyond superficial conceptions of traditional systems and recognize unseen values and attitudes
about power, privilege, and knowledge that keep existing structures, regulations, and authority
relationships in place. Without fundamental shifts in how we think and interact, as well as how
we explore new ideas, it will be difficult to achieve results that are any different from what we
already know.
Traditional approaches to change originate from our Industrial Age concepts of organizing.
These are often top-down, non-inclusive and incremental. As we move more into a networkcentric organization, designed to handle 21st Century complexity and uncertainty, access to
information is radically improved, as well as the speed with which it can be applied. The
predominant trend is that organizations are moving away from bureaucratic cultures of
information hording, and into networked cultures of information sharing. Traditionally, seniority
is predicated on knowledge accumulation over time and across specialized divisions/units. Rank
enabled greater access to information, ergo a better equipped person to make decisions.
However, with increasing information ambiguity and reduced information half-life, hierarchical
advantage is diminished since hierarchy is no longer a requirement for broad information access.
Therefore, to keep up with the rapid pace of change in the world and remain competitive, both
formal and non-formal structures need to support/facilitate a new paradigm of knowledge
management, timely problem solving, and decision-making. We need collaborative techniques
that tap into information and knowledge at the source. To make this solution possible, our Navy
must learn to behave in ways that are uncharacteristic of large organizations. To this end, Large
Group Interventions and Appreciative Inquiry are methods that can help challenge our culture in
positive ways. This suggests that there are alternative paths to accomplishing transformation,
and that we as leaders ought to ask ourselves: what approach to change is most congruent with
the inherently inclusive, information sharing culture that is typical of network-based,
Information Age organizational structures?
In uncertainty, the need for dialogue increases. Uncertainty implies ambiguity about the future.
Many interrelated variables make predicting the future, and hence the proper course of action,
difficult at best. Dialogue with knowledgeable topic experts and cross-dialogue among all parties in
a given system helps us share learnings to create a collective wisdom far greater than any single,
isolated opinion. In turn, such consensus creates a shared vision of the future. Combine this with
action plans, and a united front is set in motion to proactively create the future vice reacting to it.
Crafting a venue for this to occur simultaneously around a chosen topic is an entirely different
approach to change. In the Organization Development field, this change approach is called a Large
5
January 30, 2002,
Page - 6 -
Group Intervention (LGI). In this method, it is important to note the subtle change in leadership’s
role. The leader’s role in this case is to champion a high quality process, not direct the outcomes.
The leader invests his/her trust in the participants and the process with the assumption that it will
yield high quality results. Admiral Clark’s role in Leadership Summit was an example of such an
effort.
Large Group Interventions offer a new venue for dialogue and communication to occur that can turn
complexity and chaos into resolve and results. A powerful transformation lever, Large Group
Interventions strive to assemble “whole systems” in one room and facilitate large-scale change all at
once. LGIs can consolidate existing initiatives, eliminates turf battles, and make it easier for people
to work together toward a common end.
Given the size and complexity of our Navy, the Leadership Summit was designed to be a first step to
generate both pilot actions and cascading summit work in focused areas of Naval leadership
development. In addition, the Summit piloted a new methodology called Appreciative Inquiry (AI).
People live in the worlds their questions create. Hence, Appreciative Inquiry is a deliberate
effort to ask questions that seek moments when people and organizations are at their best – in
this case as it relates to leadership. The Leadership Summit used Appreciative Inquiry to focus
on the visible and tacit strengths of Naval leadership to leverage and accelerate positive change.
In other words, Appreciative Inquiry is about “root cause success analysis” vice “root cause
failure analysis.” Positive Image = Positive Action, is one of the underlying principles of
Appreciative Inquiry (to learn more, a good introductory book to Appreciative Inquiry can be
found online at: www.bkconnection.com/products/productshow.adp?code=202).
Prior to convening the Summit, a 50 person Interview Team (page 66) was assembled and given
the task of discovering examples of exemplary Naval leadership. Using an appreciative
protocol, team members interviewed hundreds of sailors, officers, and civilians, and submitted
many more hundreds of outstanding leadership stories back to the Summit’s project team at the
Naval Postgraduate School (NPS). Using new software tools and plain old brain-power, the
stories reviewed yielded emerging common themes. The result of this work produced seven
powerful themes about what is happening when our people exhibit and/or experience
outstanding Naval leadership (page 68, and this can be viewed online at:
www.cee.nps.navy.mil/NewSite/leadership_summit/stories.htm).
The purpose of this “root cause success analysis” was two-fold: 1) to learn what is happening
when leadership is at its best, and 2) to place the anticipated visionary content of the Summit in
juxtaposition to grounded examples of extraordinary leadership already happening in today’s
Navy. As a result, participant confidence is generated to try to expand the realms of what is
thought possible. Yet, this alone is not nearly enough to reach the crucial tipping point in culture
change. We need to generate buy-in at every level for change. Combining Appreciative Inquiry
with the LGI approach is one such method.
Changing the culture of any organization is like punching a soft pillow – there is no knockout blow
and each hit only makes a dent that slowly returns to its original form. Now imagine trying to do
that for our 600,000 person Navy, steeped with over 200 years of that most elastic component of
6
January 30, 2002,
Page - 7 -
culture – tradition. No matter how we approach change, it is still a big elephant to eat…one bite at a
time. So, what we need is a way to take bigger bites!
THE LEADERSHIP SUMMIT
“Be the change you want to see in the world.”
- Gandhi
As noted earlier, the Leadership Summit grew out of the “30 Something” experience. One of the
tools recommended by that group was 360-Degree Feedback, which became the focus of this author’s
NPS thesis. Combining 360 feedback with the positive change approach of Appreciative Inquiry
forces one to ask – what is it that you are really after? The answer is “outstanding leaders.” Hence,
using the AI Summit approach answered the larger question of – what else, in addition to 360-Degree
Feedback, should the Navy move forward with? The Leadership Summit provided answers and
brought the “30 Something” thrill of being asked to make a difference by senior leadership to the
Fleet.
At the Leadership Summit, participants (page 250) sat in 33, max-mix tables of eight (page 260).
In other words, each table was composed of junior enlisted all the way to flag officer or SES
civilian. Additionally, 17 tables had an external stakeholder present – someone from outside the
Navy that had a particular expertise or important background (CEOs, technologists, social
workers…even two high school students, see page 61). Participants used Appreciative Inquiry
methods to focus on their own past high point experiences in the Navy. The diverse group
discovered many commonalties and hopes for the future. The participants then referenced these
strengths to create “provocative propositions,” (page 39) and generate pilot action plans for
positive change. Specific tangible outcomes include over 30 pilot projects such as 360-Degree
Feedback, e-Mentoring, a Leadership Portal web site, a Center for Positive Change, and
additional summit work (page 16). Designed to encourage responsibility and self-generated
action, the participants assume responsibility for the success and follow-up of their pilot projects.
Additionally, the Leadership Summit:







Created a shared vision for the kind of leadership the Navy is calling for among participants
Provided spark for Task Force EXCEL’s leadership vector
Established a method to collect examples of exemplary leadership stories
Focused on the importance of positive “self-talk” and AI as a change management tool for
leaders
Empowered participants with an awareness of Appreciative Inquiry and the summit method
Demonstrated value of methodology: Four separate summits will address other complex
issues
Participants returned with a heightened sense of the possibilities ahead – positive effect on
retention
Grounded in both theory and practice, the Leadership Summit process is an exciting framework
for change. But like anything new, trying something for the first time is a bit like writing with
7
January 30, 2002,
Page - 8 -
your left hand if you are right-handed. It feels awkward. As a result, experienced facilitators
were brought in to help design and guide the Leadership Summit.
Comments from participants were very encouraging (more on page 46):
A seaman wrote…“It was wonderful just to come and be heard. What I will take back from the
Summit is that the leadership of the Navy really cares about the future sailor.”
A Chief Petty Officer submitted…“I have been around the Navy for awhile and have seen a lot
of changes come and go, but this is different. This time all levels were involved, from E1-O10, so
the success of the Summit is much more guaranteed. We have buy-in at all levels.”
From a Lieutenant…“It was an excellent venue for new ideas, direction, and collaboration
across the board. The Summit allowed me to look outside of my rice bowl and understand how
decisions I make effect the entire Navy.”
From a Captain…“I have never been so impressed with our people as I find myself today. The
young sailors who selflessly expressed themselves demonstrated great personal courage.
Likewise, our senior leaders demonstrated the courage to come and listen, and create a climate
for this amazing dialogue to occur.”
An Admiral commented…“The AI Summit approach was a positive way to make everyone feel
included and focus on the future. What a great way for a commander to start off a tour and
generate a shared vision that everyone can buy into.”
And an enlightening comment from an external civilian stakeholder…“I still keep falling out of
my chair about what I witnessed this week. All of my stereotypes about the Navy have been
blown away! I am impressed not only for the Navy’s future but for our country. As a parent, I
wish I had seen this side of the Navy sooner. I would have encouraged my kids to join.”
At the conclusion of the Leadership Summit, there was an overwhelming sense from participants
that this was a seminal effort by senior leaders in the Navy to improve leadership. The Summit
enabled voice and inclusion at every level. The high impact dialogue about the potential of
leadership in our Navy occurred because of the courage to speak up by junior people present, the
encouragement by senior leaders present to allow that to happen, and the power of listening on the
part of everyone. Finally, it was a courageous effort by our CNO to champion a quality process that
engaged every level in the Navy in a conversation about one of our most fundamental cornerstones
of success – leadership.
While, the range of outcomes from the Leadership Summit included both short-term and long-term
initiatives, perhaps one of the simplest yet most profound outcomes may be that it even happened at
all. This alone speaks volumes. It signals both a readiness and willingness for change from the full
range of generations and backgrounds in our Navy. In fact, if you want to help, you can join one of
the pilot projects at our web site to contribute or just stay informed about its progress. In any case,
8
January 30, 2002,
Page - 9 -
organizational change starts at a very personal level. Is leadership improvement important to you?
If so, then start by being the leader you want to see most in our Navy.
9
January 30, 2002,
Page - 10 -
Change Agent Lessons Learned (from LCDR Dave Nystrom)
One of the many lessons learned from this experience is that one person can make a difference.
When I left my sea tour to go to NPS, I never dreamed that I was going to have the opportunities that
I did. I am no different than many other thousands of people in our great Navy. If I can do it,
anybody can. A few tips I can pass along for budding change agents: 1) Find a champion. In a
hierarchy like ours, you will need a senior person commensurate with the breadth of your idea to “fly
high cover.” 2) Be credible. Do your homework and become the expert on the topic. 3)
Configuration control. At some point, you have to turn-off the good idea faucet and go with
“version 1.0,” or you’ll never get off the ground. However, save all the feedback you get along the
way for “version 2.0,” later. 4) Be an entrepreneur. If it’s easy, then somebody else has already
done it. Assume that resources and procedures for your innovation do not exist and that you will
have to find or create them. 5) Know your audience. You are a door-to-door salesperson for your
idea, and you must build advocacy in a positive way. Know your audience in advance so you can
tell them why your idea is good for them. 6) Have passion for your vision. You will have many
rocks thrown at you, but be tenacious yet open to suggestion.
Acknowledgements
As the Project Coordinator for the Leadership Summit, I would like to recognize the efforts of some
special people that helped make it all possible. First and foremost is our Chief of Naval Operations,
Admiral Clark and his staff. Admiral Clark’s commitment and vision were instrumental and a
constant source of inspiration (see opening and closing comments on pages 49 and 51, respectively).
In addition, MCPON Herdt was gracious with his time and support; Professor Barry Frew, Director,
Center for Executive Education and the CEE staff; Dr. Frank Barrett, Associate Professor at the
Naval Postgraduate School (NPS) and Dr. Dave Cooperrider, lead project consultants; the Steering
Committee for the credibility they brought to the effort (see page 56); RADM Ellison,
Superintendent of NPS; the Interview Team for all the outstanding stories; LT Paul Tripp and CAPT
Mark Zipsie (USMC); and my wife.
To learn more about Large Group Interventions and Appreciative Inquiry, contact Dr. Frank Barrett
(831) 656-2328, LCDR Dave Nystrom, or LT Paul Tripp at the newly established Center for Positive
Change.
10
January 30, 2002,
Page - 11 -
Overview of Milestones in the Leadership Summit Process
October 2000 – Concept briefed to the Chief of Naval Operations
December 2000 – Program elements sent for approval to CNO
January 2001 – Met with CNO to discuss Steering Committee members and milestones
May 2001 – Met with CNO to conduct an appreciative interview on leadership
June 2001 – Conducted 3-day Steering Committee workshop. Outcomes included:
a) Approval to conduct the Leadership Summit
b) Crafted the title of the Summit
c) Identified the major stakeholders and participant organizations
d) Approved an Interview Team to collect examples of outstanding leadership
August 2001 – Conducted a 2-day Interview Team workshop
September – Invitations sent and traveled to brief key stakeholder leaders
October 2001 – Met with CNO to discuss final preps for the Summit
October 2001 – Interview Team returned to review stories collected
November 2001 – Completed review of leadership stories and published findings
November 2001 – Completed video taping of top leadership stories
December 2001 – Conducted Leadership Summit, 3-6 December at NPS
January 2002 – Conducting follow-up efforts with pilot projects launched at Summit
11
January 30, 2002,
Page - 12 -
Original Objectives (from October 2000)











Create a shared vision of the kind of leadership the Navy is calling for in its future
Generate a set of ideas/change initiatives in alignment to realize that vision
Create alignment among the stakeholders
Allow key stakeholder leadership present to make significant policy decisions “on the
spot”
Empower participants to carry forward these ideas and change initiatives
Embolden participants with new knowledge of Appreciative Inquiry and the summit
method
Provide spark for CNO’s “Revolution in Education and Training”
Establishes a method to collect examples of exemplary leadership
Change “self-talk” from a negative to positive imbalance by focusing on strengths versus
deficits
Demonstrate the value of this methodology for other complex issues facing the Navy
Participants return with a heightened sense of the possibilities ahead—positive effect on
retention
The Leadership Summit Agenda (3-6 December 2001)
Sunday, 2 December 2001 – Participants arrive
- 1600 to 2000: Evening registration open at Herrmann Hall
Monday, 3 December 2001 – Discovery
- 0630 to 0800: Open registration continues at Herrmann Hall
- Morning: Exploring our History
- 1030: break
- 1200 to 1330: Lunch*
- Afternoon: Discovering Highpoints
- 1500: break
- 1630: Group reports
- 1700: Finish day 1
Tuesday, 4 December 2001 – Dream
- 0800: Continuity – Maintaining What We Value
- 1030: break
- 1200 to 1330: Lunch*
- Afternoon: Imaging the Ideal Future
- 1500: break
- 1630: Group reports
- 1700: Finish day 2
12
January 30, 2002,
Page - 13 -
Wednesday, 5 December 2001 – Design
- 0800: Map the Future
- 1030: break
- 1200 to 1330: Lunch*
- Afternoon: Action We Need to Take
- 1500: break
- 1630: Group reports
- 1700: Finish day 3
- 1830 to 2030 “Working” dinner with the Chief of Naval Operations at Herrmann Hall
Thursday, 6 December 2001 – Destiny
- (0700-0800 VIP Breakfast at the Superintendent’s Quarters)
- 0830: Ownership – Taking Charge of Our Future
- 1030: break
- 1200 to 1330: Lunch*
- Afternoon: Wrap-up
- 1500: Closing comments
- 1530: Finex
* Lunch will be a buffet served in the ballroom, but you may also prepare a “Lunch on the Run”
box if needed. Food service will be from 1200-1300. 1300-1330 servers will use this time for
clean-up so we can start the afternoon work on time at 1330.
** Bus Schedule. Buses will run each day from the Hyatt and Navy Lodge as follows:
Monday – early bus service for registration (2 Buses and Shuttles)
0645 Depart Hyatt and Navy Lodge for NPS Herrmann Hall at 0700 – return
0730 Depart Hyatt and Navy Lodge for NPS Herrmann Hall
Lunch (Shuttles)
1215 Depart NPS Herrmann Hall for Hyatt and Navy Lodge, return 1315
1715 Depart NPS Herrmann Hall for Hyatt and Navy Lodge
Tuesday – (2 Buses and Shuttles)
0730 Depart Hyatt and Navy Lodge for NPS Herrmann Hall
Lunch (Shuttles)
1215 Depart NPS Herrmann Hall for Hyatt and Navy Lodge, return 1315
1715 Depart NPS Herrmann Hall for Hyatt and Navy Lodge
Wednesday – (2 Buses and Shuttles)
13
January 30, 2002,
Page - 14 -
0730 Depart Hyatt and Navy Lodge for NPS Herrmann Hall
Lunch (Shuttles)
1215 Depart NPS Herrmann Hall for Hyatt and Navy Lodge, return 1315
1715 Depart NPS Herrmann Hall for Hyatt and Navy Lodge, return 1815 for the
“Working” dinner. Depart Herrmann Hall @ 2045, after dinner.
Thursday – (2 Buses and Shuttles)
0730 Depart Hyatt and Navy Lodge for NPS Herrmann Hall – bring luggage if you
intend to depart after the Summit for the Monterey airport
Lunch (Shuttles)
1215 Depart NPS Herrmann Hall for Hyatt and Navy Lodge, return 1315
1600 (or after the Summit) Depart NPS Herrmann Hall for Hyatt and Navy Lodge, then
continue to Monterey airport for those travelers leaving that evening
14
January 30, 2002,
Page - 15 -
Leadership Summit Output
Our Values
A goal of the Summit was to envision, plan and take action towards a new leadership model for
the 21st century. As part of that process members needed to recognize what they valued about
the current Navy and the current model of leadership. The group identified these values and then
created Provocative Propositions that described their ideal Navy.








Integrity
Trust
Honesty
Respect
Pride
Hope
Compassion
Loyalty
Graphic artist Diana Arsenian’s conception the Navy’s “Positive Core” (see more photos at www.cee.nps.navy.mil)
15
January 30, 2002,
Page - 16 -
Pilot Projects
360-DEGREE FEEDBACK Pilot (A)
What is it? 360 is performance feedback from multiple sources: superiors, peers, direct reports, and self-assessment. A development
instrument, vice administrative, gives flexibility to tailor to the needs of each command.
Purpose: To give leaders, at every level, constructive feedback on desired leadership competencies.
Where: Pilot locations include SURFPAC (ships), South West Div (start at PWC), NATTC, NSSF San Diego,
HM-15, SPAWARS, and Naval War College.
Who? Over 40 people in sub-group. Executive Champions are VADM LaFleur, VADM Tracey, RADM Johnson,
RADM Slaght, RADM McGann
Short-term (6-month): Survey available models; select tools (web-based); develop metrics; foster benefits;
developmental in nature; 6-months decision pt.
Long-term (long-term): “Day 1 to Day Last;” capture positive trends (ie behavior trends, retention up, attrition
down, recruitment up, career deveopment); Further roll-out at 1 year decision pt.
360-DEGREE FEEDBACK Pilot (B)
The purpose is to improve upon the promotion selection process through the use of 360 degree surveys.
-
-
Who: HM-15 and other commands that are participating in the other 360 degree pilot programs
What: Use an upcoming eval cycle. Prior to the ranking board of the members, have the individual’s
peers, subordinates, and superiors complete a 360 survey (Note: giving this survey out prior to the ranking
board, will ensure there is no bias displayed on the survey, allowing the normal evaluation process to take
place). This survey will have questions that parallel the current eval subjects such as Honor, courage and
commitment, CMEO, etc. Upon the completion of the ranking board, the survey results and board results
will be evaluated. Should there be a discrepancy between the member’s board ranking and the 360degree
survey, the data will be noted, and the experiment will be repeated on the next cycle at different command
types. Should the results continue to differ, reevaluate current system and propose a new system, which
includes the 360degree survey as an integral part.
When: Next eval cycle.
How: Collaborate with current 360 degree pilot programs and develop the survey. Use a student from NPGS-OR
curriculum to head up program and design experiment. This will present a Thesis topic for a lucky individual.
LEADERS DEVELOPING LEADERS
Group Members (Pilot Steering Committee):
Damon Johnson
Larry Olsen
Jim Stokes
Reginald Hollis
Rick Tyson
Paul Jimenez
Rob Newson
Brad Kolorov
16
January 30, 2002,
Page - 17 Jan Cannon-Bower – NAWCTSD/TF EXCELL
Kelly Getzeleman
Bryan Beiriger
Paul Allen
Barnett Pearce - PDC
Larry Olsen
Group email address for steering committee – receive regular updates and provide input and recommendations
throughout the pilot.
Purpose: Encourage developmental relationships and leadership development by providing training, tools, and
resources to encourage and enable leaders to develop leaders. Partner with civilians (industry, civil servants, etc. w/
long-standing and well developed mentoring programs) to develop deep inter-personal skills and broader
perspectives and insights.
Desired outcomes: Increased
professional performance
job satisfaction
morale
Champions: TF EXCELL and NAVSPECWARCOM
Key resources: TF EXCELL (Jan Cannon-Bower), Barnett Pearce, CEE, and Pilot Steering Committee,
NAVSPECWARCOM and NAVSPECWARCEN.
Where: SEAL Team SEVEN, Coronado, CA (Commissions Mar. 17, 2002)
When: Immediately incorporated into TF EXCELL mentoring/leadership development initiatives. Reviews, using
yet-to-be developed metrics and techniques, bi-annually for two years.
What this is: a training and education initiative to improve leadership development. Mentors volunteer and are
requested by those they will mentor.
What this is not: an institutionalized, rigid, command mandated program.
Short-term action plans:
ACTIONS
Tap into TF EX
HELP NEEDED FROM
TF EX, PSC, WARCOM
DUE DATE
initiated
Identify roles/functions of mentors
Identify necessary training
Develop training continuum
Identify civilian partners
CEE
Develop success metrics
TF EX, PSC, WARCOM
and evaluation techniques
TBD
TBD
17
January 30, 2002,
Page - 18 -
USS CONSTELLATION MENTORING PROGRAM PILOT
Purpose: To create and sustain an effective mentoring program that promotes retention, advancement, and sense of
purpose for command personnel.
Outcomes: Increase advancement
Increase retention/reduce attrition
Reduce drug and alcohol incidents
Reduce disciplinary actions
Increase a sailor’s sense of purpose and career fulfillment
Key players: Tasking to be assigned to all command personnel:
CO/XO/CMC/CIO:
top support
LDO/CWO:
mentoring resources
CPO Mess:
mentor program advocates and facilitators
First Class Association:
mentoring coaches/trainers
Exceptional E5 and below:
mentors
Critical Program elements:
1. Training Program for mentors.
2. Memorandum of Understanding/contract to establish goals, and expectations of the mentoring relationship.
3. Specific timeline for meeting mentoring objectives.
4. Regular meetings for mentor facilitators
5. Mentor/protégée feedback forms
6. Evaluation of outcomes
Action Items:
1. Explore mentorship “best practices”/lessons learned---consult with CNET on commands that are doing it
right
2. Consult with CNET on mentor training programs
3. Generate shipboard mentorship training programs to become a self-sufficient command.
4. Identify a “core” mentoring team
5. Update the commands mentoring instruction.
6. Establish guidelines for the mentoring relationship
7. Incorporate the program into Training Indoctrination.
8. Long range focus on creating a command culture of mentorship.
Timeline: June 30, 2002
Group 4 Pilots presented by Alex Watt, CO FTC San Diego:
E-SPONSORSHIP/E-WELCOME
FTC San Diego and Service School Command Great Lakes have existing programs/Pilots that initiate the command
sponsorship program. As soon as the student’s Ultimate Duty Station is identified, an email is sent from the
Training Center’s course Lead Instructor to the receiving command’s Command Master Chief. This email provides
the receiving command with student’s name, contact information, training courses to be completed prior to departure
and requests assignment of a sponsor. Additionally, it initiates important dialogue between the ship and Training
Center for any specific training requests, tailored to the current needs of the ship.
These “Reverse Sponsorship” programs will be evaluated by CNET by the 31st of January 2002. The best features
of each program will be identified and CNET will promulgate program policy guidance to every Navy “A” and “C”
School, by 15 April.
VIRTUAL SEA BAG/TOUR
FTC San Diego is developing a Compact Disc, which contains a virtual tour of a Navy Surface Ship. It
includes video clips depicting the proper way to check aboard a ship, the Navy’s “First 72 Hours” video
18
January 30, 2002,
Page - 19 clip, typical berthing configuration/personal storage space available, messing facilities, action clips of
ships at sea and weapons firings, a division at quarters and some typical shipboard work spaces.
It is intended that this CD be provided to every sailor enroute to their first operational command. The
information is designed to improve the knowledge and confidence of our young sailors and ultimately their
potential for success. Once the sailor has checked aboard, they are free to send the CD to their
families/friends and share their Navy adventure.
It is envisioned that this information can also be placed on a web site and used by Recruiters and people
assigned to the Delayed Entry Program.
FTC SD and TFE PAC will continue development of the CD, with a target completion date of 31 January.
CNET will then evaluate the potential for mass production and use throughout NAVEDTRACOM.
USS BELLEAU WOOD SHIPWIDE IMPLEMENTATION OF
APPRECIATIVE INQUIRY
Group Members:
RADM Frederic Ruehe
James Bevel
Teresa Buckley
Malissa Chester
Tyson Davis
Kevin Middleton
Purpose: Create enlightened leaders throughout the BELLEAU WOOD crew. Improve moral and productivity by
including all members in the process of appreciative inquiry.
Description: First introduce the BWD crew to the appreciative inquiry method through exposure to stories,
testimony from Leadership Summit participants and presentations on AI. Next conduct a pilot summit on board
using a small cross section of the crew. Finally, conduct a large Summit onboard.
Action Plan:
Actions
Help Needed
Due Date
Present AI brief and implementation
LS participants
plan to Command Element (CO/XO/CMC)
10 DEC 01
Integrate plan into ships schedule
“Success Stories” Box
Publish stories
- Ship paper
- Interview on 6TV
- Leader in the spotlight
Introduce AI process to command
- All hands
o CNO video
o Testimony from
LS participants
- Overview of AI presentationn
Ships company
Ships company
Ships company
15 DEC 01 (PBFT)
17 DEC 01
15 JAN 01
As available
Bi-weekly
As available
TBD
(next All hands)
Pilot Summit on board BWD
- Cross section of ship
- Approx. 5% of crew
LS Participants
Ships company
TBD (MAR02)
Follow-on Summit (10% of crew)
Ships company
TBD (APR 02)
Ships company
LS participants
10-17 JAN 02
19
January 30, 2002,
Page - 20 -
ETHICAL LEADERSHIP
I.
Group Members
Daira Paulson
Bob Phillips
Evin Thompson
Tim Defors’
Valerie McCall
Rob Newson
Tom Grassky
Robert Fuentes
Steve Shapiro
S. Lokkifar
Bill Kowba
II.
COMNAVSPECWARCOM
Naval Postgraduate School
CNSWG-1
USS Higgins (DDG-76)
USS Constellation (CV 64)
Seal Team Seven
NWC
CNO
FISC Puget Sound/PSNS
USNA
FISC Norfolk
Purpose:
To assess, evaluate and improve the quality and availability of professional ethical
training at all ranks and levels, helping to create and sustain ethical citizen-sailors
serving in a Navy committed to “doing the right thing.”
III.
Short Term (2 month) Tasking to Center for the Study of Professional Military Ethics (CSPME), located at
USNA:
A.
Conduct a gap analysis to inventory types and extent of all formal ethical training occurring at
all levels of Naval leadership (E-1 to 0-10).
B.
Audit FY00 and/or FY01 records of Naval Non-Judicial Punishment to discern possible
trends in ethical shortfalls or needs.
IV.
Long Term (1-2 years) Tasking, coordinated through CNET, utilizing CSPME and other key active duty
leadership as primary resources:
A. Develop Guiding Principles to flesh out core values. Place these on a card to be carried by all
Sailors.
B. Develop fleet-wide continuous training resources on ethics that are interactive, practical and
user-friendly.
C. Integrate systemic ethical training and discussion into PARS, GMT, and other standard
training venues.
D. Liaison with other branches of the military to share resources and insights on mutually
beneficial approaches and programs.
E. Research and propose to CNO relevant policy statements to nurture ethical vision and
behavior throughout the sea services.
F. Give attention to ethical training and education that maximizes media (including Hollywood
movie vignettes), contemporary music and portable interactive resources.
G. Research and propose means and methods to identify and affirm Sailors who exemplify
ethical heroism and moral courage.
H. Develop software that embodies relevant ethical issues and scenarios for training.
I. Develop and articulate the navy’s Rules of Engagement for general or recurring types of
ethically conflicted situations faced by Sailors.
J. Evaluate and upgrade academic and professional education available in ethics at the Naval
War College, Armed Forces Staff College, the Naval Postgraduate School.
K. Develop and implement targeted ethics training at all Navy accession points for enlisteds and
officers, such as NAPS, OCS, NROTC and RTC Great Lakes.
L. Conduct a Navy-wide billet scrub to identify billets where an ethics P-code is necessary or
20
January 30, 2002,
Page - 21 highly desirable.
V.
Possible Indicators of Progress
A. Decline in number or percentage of Navywide NJPs, especially for offenses clearly rooted in
ethical violations.
B. Increased perception of “fair treatment” by personnel in Command Climate Assessments.
C. Improved morale at local commands.
D. Decrease in number or percentage of incidents of spouse abuse, DUI and other destructive
types of conduct.
E. Improved ability of enlisted and officers of all ranks to clearly articulate ethical ideas and
behaviors consistent with Navy Core Values, whether in training sessions, on duty or on
liberty.
F. Command confidence in shifting annual ethics training from the JAG to a cross-section of
command leaders.
Recorder/reporter:
CAPT. Robert J. Phillips, CHC, USN
Naval Postgraduate School, Monterey, CA
DSN 878-2241/2
POINTS TO PONDER
“He’s all skill and no character.”
(from ‘The Hustler,” quoted by VADM Stockdale)
“There is no right and wrong. There is only fun or boring.”
(Hero in movie, “Hackers”)
“Right is what I feel good after; wrong is what I feel bad after.”
(Ernest Hemmingway)
“When faced with a choice between evils, choose the one you’ve never tried.”
(Mae West)
“The man is immortal. He has no heart, no brains and no guts. How can he die?”
(Clemenceau on a political opponent)
“Character is fate.”
(Heraclitus)
“It is possible to get all ‘A’s’ and flunk life.”
(Walker Percy)
“He was never publically wrong nor inconveniently right.”
(description of bureaucrat in ‘The Day of the Jackal’)
21
January 30, 2002,
Page - 22 -
PLANE CAPTAIN (PC) PILOT
Purpose Statement:
The purpose of this important pilot is to shorten the time between when a rated E-3 and
below checks aboard their command and when they actually start work in their rating; while also enhancing
professionalism in the plane captain field.
Why: Every E-3 and below reporting to an aviation squadron finds themselves performing duties outside of their
trained profession for large periods of time (above and beyond normal TAD requirements).
For example, an AMAN checks aboard—the first 30 days are indoc, then the next 90-120 are spent TAD
(FSA, First Lieutenant, Barracks, CAG LOX/FOD teams, etc). Once completing these duties, this sailor is now
moved to the Line Division (all rates are used), where their initial Plane Captain qualification takes 3-6 months
(platform dependent). Once qualified, they remain in the division for an additional 6-9 months. Then, and only then,
can they go to their “in-rate” work center, finally getting to work in the field for which they were recruited. The
average time for this is currently 22-25 months from date of entry.
What: Detail 32 ABH’s (aircraft handlers) to VF-103 at post-overseas movement + 30 (early 2003) to assume
duties of Line Division.
Breakdown of personnel: E-7
1
E-6
2
E-5/4
4
E-1/2/3
25 (min)
The above number is for a ten plane F-14B (Upgrade) squadron. The number of other rated personnel (E-1/2/3)
would be reduced by a proportional number.
Players: TYCOM/EPMAC/CNPC/SQAUDRON CO
Pilot Length: 18-24 months
Advantages:
 Increase morale and retention among rated personnel formerly assigned to that division.

Increased detailing options and shore duty assignments, as well as broadened professional horizons, for
ABH rate.
 Increased professionalism in the Line Division through dedicated aircraft handlers.
 Improved aircraft handling and safety onboard CV/CVN’s due to common training/background.
 The Best Thing: with this in place, rated professionals would be performing the jobs they were recruited for
in 10-12 vice 22-25 months, street to shop.
E-PSD
Purpose: The purpose of this pilot is to put members’ pay and travel transactions in the hands of the members.
This will reduce overhead, the middle man, transaction time, and simplify the current bureaucratic system using
current and future web-based technology.
Group Members:
Barbara McGann
Paul Brown
Jason Parkhouse
Mike McCormack
Thomas Shugart
Richard Arriaga
Patricia Wright
Description: Today’s youth/ tomorrow’s Navy are raised in a technology rich/ web based environment. Upon
22
January 30, 2002,
Page - 23 entering the Navy today, there is an experienced regression into a 50’s bureaucratic structure.
We do have E/M Self Service, however it is not robust enough to handle the full gamut of member initiated Pay/
Pers transactions. It is possible to do almost all of these transactions online. The result: a member-driven system
similar to that which exists throughout the civilian world.
The pilot could begin at NSCS Athens and at one afloat unit to ensure feasibility ashore and afloat.
The issue of money and development time are driving / limiting issues. The technology is available for complete
exploitation. Since this is an apparent expansion of the current E/M SS system, the expansion is a matter of code.
Key Players:
NSCS Athens
One afloat unit
DFAS
CISCO Systems
Funding agent
Timeline: This Pilot could begin as early as the spring / summer of 2002, however money is a limiting issue. There
is also the question of Law. If there are any issues which may require the changing of public law, that will inhibit
the pilot. DFAS will provide guidance with this issue.
Short-term actions:
ACTIONS
Contact DFAS-CL to
check viability of
enhancing current E/M SS
HELP NEEDED FROM
DFAS-CL
DUE DATE
21 Dec 01
Inquire as to changing
Law wrt travel transactions
DFAS
21 Dec 01
Obtain funding
?????
31 Jan 02
Meeting between NSCS
and DFAS reps to develop
the pilot system for input
of transactions
DFAS
28 Feb 02
Initial Staff member test of
pilot system and debugging
NSCS/ DFAS
15 Apr 02
Final Pilot system ready for
use by incoming
NSCS class (02-003)
NSCS
15 Apr 02
Enroll all 02-003 students
in E/M SS
NSCS
22 Apr 02
Input travel claims
for 02-003
NSCS
29 Apr 02
Pilot feedback
NSCS
15 May 02
Long-Term Actions:
23
January 30, 2002,
Page - 24 -
ELECTRONIC/VIRTUAL SEABAG
Table 4:
Purpose: To test the feasibility and usage of a government issued laptop computer to increase Sailors’ rate of
learning and to enable them to better integrate into their commands through information obtained via a personal
portal web page and sponsorship.
What: Issue government procured laptop to Sailors upon graduation from Recruit Training Command
Procurement: Via NMCI contract (Line Item Entry)
When: Preferably in Spring 2002 (dependant on procurement timeframe)
Where: Recruit Training Command: One Recruit Division (88 Sailors)
Length of Pilot: Minimum 12 mos (A-school to first command)
Measurement: Continuous feedback from participants and gaining commands
Champions: CNO N6, CNET, RTC GLAKES, 88 Participants, Gaining Commands
Group POC: MCPO Pratt (RTC Glakes)
VALUING DIVERSITY AI SUMMIT
Members:







Keith Goosby
Doug Healey
Clyde Marsh
Deborah Ray-Brooks
John Nathman
Barbara Fletcher
Leanne Braddock
The purpose of this important pilot is to bring about a Diversity AI Summit to decide on the overt purposeful
activities to grow and value diversity in the Navy. This is a bit different from other diversity initiatives, in that it
will focus more generally on the concepts of valuing and embracing diversity as a strength. Earlier programs (and
some current programs) have focused more on the complaint/compliance model, which tends to send the message of
“tolerating” rather than valuing diversity. We want to gain insight and answer to the following questions:
a.
b.
c.
d.
What is diversity?
Do we value diversity?
Are we diverse?
What are the values of being diverse?
a. Retention
b. Different Experiences
c. External Appeal
d. Trust – Internal and External
e. Combat Capability
We plan to conduct an AI Summit:
a. Horizontal and Vertical – Admirals to Seamen.
b. Policy makers and Fleet representation involved.
c. As a short-term action we recommend a planning meeting concerning the development of the
summit to be held no later than February 2002 with the summit taking place June 2002.
d. The long-term action plan is for recruiting, mentoring, and retention.
24
January 30, 2002,
Page - 25 -
ANCHORING COVENANT LEADERSHIP IN OUR NAVY
Discussion: The philosophy that we are embracing in our Navy today which will allow our people to explore their
true capabilities is that of covenant leadership. The fact that what each of us can do is a product of what each of us
can be, drives us to the conclusion that allowing the full development of all of our Sailors (E-1 to 0-10), both
professionally and personally, is essential to the maintenance of our maritime warfighting superiority. Each of us is
a Sailor first, and each of us is required to establish a covenant relationship with both our shipmates as individuals
and our Navy as a whole. In order to establish that relationship we must articulate what it encompasses. The design
of the Sailor’s Oath will achieve that goal. In aligning every leader at every level with the simple swearing or
affirming of a common oath, we will ensure that the basic tenants of covenant leadership are instilled and
maintained as a part of our culture.
Utilization of the oath would be as follows: In conjunction with required oaths, at every major career milestone,
advancement, assumption of command or charge, reenlistment, etc, and at appropriate times outside that description,
the major participants in the event would recite the Sailor’s Oath, in front of as many of their shipmates as proper for
the situation. This Oath, an example of a possible Oath listed below, would be a common thread from Admiral to
Seaman and would serve to provide a bond and commitment between each and every Sailor in the Navy.
SAILOR’S OATH
I, (state your name), do solemnly swear/affirm, that I will embrace the Navy’s core values of HONOR,
COURAGE and COMMITMENT; that I will uphold the traditions of our Naval Service; that I will trust,
respect and develop my shipmates; and that I will place my ship and shipmates ahead of myself.
A pilot could be composed of introduction of the Oath and it’s use to a platform or shore command and after an
appropriate period of time evaluate the impact on command climate.
ACCELERATION OF THE CPO LEADERSHIP INITIATIVE
A.
The CPO Leadership Initiative begun in Dallas in June 2001 provided a set of core competencies CPOs.
a.
Leadership
b.
Development of junior officer and enlisted Sailors
c.
Communicating the core values and standards of the Navy
d.
Serving the chain of command and fellow CPOs with loyalty
B.
It is believed that the work done to date is the 80% solution and enough to forge boldly ahead with two
courses of action to capitalize on the core competencies.
C. Pilot: In concert with CEE staff and CNET obtain and pilot a course to a small group of CPOs from this
years CPO selects. Evaluate the benefit of and modifications required to provide the training to the CPO
selects of 2002. Time frame for accomplishment is February 2002
Conduct an AI based group intervention with select members from the officer and CPO participants of the current
Leadership Summit. The goal will be to identify and to clarify the respective roles, expectations and improvements
to the relationship of the officers and CPOs that will produce an improved cohesive combat leadership team
improving Navy mission accomplishment. Time frame for completion is 01/2002
COMMAND INDOCTRINATION LEADERSHIP COURSE
PURPOSE: Implement a philosophy of Leadership at the lowest level.
GROUP MEMBERS: RPC David Aguirre, NC1 Zak Carpenter
DESCRIPTION: Bring our vision of leadership to new Sailors (E1-E4) beginning with new check-ins in
Indoctrination Class in the form of First Term Leadership Workshop onboard USS Belleau Wood (LHA 3).
Short Term Action
Help Needed

Generate a proposal for Command
Chain of Command (CMC, XO, CO)
Leadership Summit Members from BWD

Develop curriculum with existing
Leadership Summit Members from BWD
resources
25
January 30, 2002,
Page - 26 Long Term Action
 Feedback (Tracking System)
 Specific Response Questionnaire at 6, 12 and 24 month to compile data and results
ACCELERATED SAILOR ASSIGNMENT PROGRAM
(A.S.A.P.)
1. Purpose: To link Sailors and their Families with their future: Allowing them to identify with their new
command and its leadership environment even before they arrive. We will accelerate the initial assignment of the
Sailor to his/her command and follow on advanced training, allowing for earlier command intervention.
2. Partnerships Required: TYCOM/EPMAC/CNPC/NTC
3. Pilot Length: 24-36 Months
3. Pilot Description:







CNPC working with TYCOMS will identify BG/ARG for conduct of this pilot.
CNPC working with TYCOM and EPMAC will identify the total number of GENDET billets needed man
BG/ARG to BA. GENDETS will then be billeted by BSC to the individual BG/ARG component.
Once this process is complete the BG/ARG will be notified to allow sponsorship program to be
implemented. BG/ARG should arrange with NTC to sponsor recruit divisions, which will provide fleet
familiarity.
GENDETS will be issued 36 Month orders. Individual commands will ensure that GENDETS are qualified
for “A” School assignment 12-15 months from report date.
CNPC will conduct “A” School Detailer visit/contact at 12-15 month point to screen GENDETS for “A”
School assignment. The goal of this visit is to issue orders for GENDETS to allow member to detach at the
24-month point. Mbr will be required to Obliserv for “A” School IAW ETM.
CNPC will fill gaps created by those detached to attend “A” School.
“A” School length will determine follow-on assignment from “A” School. Member may opt for return to
previous assignment in new rating.
4. Measure of success: At the 24-36 month point re-enlistment and cohort attrition rate for the BG/ARG will be
compared with other BG/ARG. Additionally, all members of pilot will be requested to complete ARGUS survey to
gather additional data.
EXPANDING CAP
The Pilot’s Vision: The Navy wants to promote the best qualified candidates to fill leadership positions.
Will expanding CAP accomplish this? To limit size of pilot, the issue of whether shore commands should be
included in CAP will be addressed. There is great support, however, for the expansion of the percent CAP quotas
currently applied to sea going commands. This pilot should provide the groundwork for a future pilot with the sea
going CAP goal in mind.
Who owns the pilot? The ownership of this program should reside with the Chief of Naval Personnel.
CNP will designate one or two shore commands to institute CAP following the same guidance currently applied to
sea going commands (specifically, same CAP percentages)
Measure of the pilot’s success: To measure the success of this pilot an objective comparison must be made
amongst various groups. The proposed groups would consist of the following:
From pilot shore command: CAP’d personnel vs. PNA
From sea command: CAP’d personnel vs. PNA
Advanced personnel vs. PNA
Advanced personnel vs. PNA
26
January 30, 2002,
Page - 27 -
Notes:
1) Comparisons will be made only between same rates.
2) PNA are the top 5 personnel (highest final multiple) from the same rate who were not
advanced in the advancement cycle following CAP cycle.
3) This variety of groups is to provide for sufficient control group comparison. The idea
here is that those PNA personnel are those who were displaced as a result of the
personnel who were CAP’d.
To make the objective comparison the following rules should be adhered to:
 CAP Expansion Validation Board (those making the comparison) should consist of: command
qualified officer, junior officer, and senior enlisted of same rate.

CAP Expansion Validation Board members are not be in COC of those being compared.

If the process is to include an interview it should be in civilian clothes so judgments can be made
without knowing if the individual was advanced or not.
The CAP Expansion Validation Board task is to finalize a ranking of those personnel in each rate being compared.
The rankings are then to be compared to determine if the results of the CAP cycle consistently promoted the better
candidates or not.
When to initiate the pilot? Beginning Jan 02, coincident with the start of CAP cycle.
27
January 30, 2002,
Page - 28 -
PROFESSIONAL CERTIFICATIONS FOR NAVY SCHOOL
GRADUATES
Purpose: The purpose of this important pilot is to provide professional certification for Sailors graduating from their
Navy schools.
WHO: AMS, Aircraft Mechanical Structural Rating
WHAT: Provide Professional FAA Certification for Graduates of AMS “C” school by Partnership with Federal
Aviation Authority Certification Teams.
WHY: Improve AMS retention, Improve Professional Pride in the AMS Rating, Enhance Aircraft Readiness,
Provide Tangible Benefit to AMS Sailor’s and their Families.
WHEN: Within one year.
HOW:
SHORT TERM ACTIONS
Actions
Develop AMS Senior Rating Working Group
Meet with FAA Cert Team
Advertise the Pilot Project in LINK, Navy Web
site
Help Needed From
AMS “C” School
FAA Leadership
BUPERS
LONG TERM ACTIONS
Actions
Help Needed From
Adjust AMS “C” School Ciriculum to match FAA
AMS “C” School
Cert Requirements
Identify Resources Within Schoolhouse
AMS “C” School
Get FAA to Certify the First AMS “C” School
AMS “C” School
Class
Due date
Jan 2002
Feb 2002
March 2002
Due date
July 2002
July 2002
Dec 2002
GRADUATE EDUCATION OPPORTUNITIES AT EVERY LEVEL
Purpose: Open military graduation programs to qualified enlisted personnel E-5 and above. This, we believe, will
also inspire retention, meet educational expectations, and add diversity to the military force and to the educational
programs, as well.
 Promote the whole person concept.
 Develop parity between the military and civilian work force. ( Corporate models have proven education
is paramount to retention.)
 Seeking new goals and going to the next level is in line with the Navy’s philosophy.
 Recruiting tool for excellence.
Action: The following recommendation is not intended to limit enlisted personnel strictly to the NPS. This
recommendation presents a viable option that creates a point of reference for future options.
Matriculate 10 qualified enlisted personnel into a relevant post-graduate program at NPS. Track academic
achievement while in school and post- school professional performance for a period of two years. Each student will
incur a four-year obligation to include a degree utilization tour. Pilot will exist for four years, ten enlisted personnel
matriculating each year. Selection will be conducted at the Force and Fleet Master Chief level with the MCPON
having final approval authority. NPS chosen for the following reasons: 1. Institution and academic programs of
study are already in place. 2. World-class military sponsored education. 3. Easily tracked. 4. Ease of application
process.
POCs: BMCM(SEAL) Will Guild: wbguild@aol.com CNOCM(SW) Harry Kantrovich: profharry@aol.com
28
January 30, 2002,
Page - 29 -
LEADERSHIP DEVELOPMENT PORTAL
The purpose of this portal is as follows:
1.
Provide interactive web site to share leadership experiences
- Chat room
- Posting site
- Leadership-in-the-spotlight stories (video) depicting strong deck plate leadership.
2.
Leadership Training Toolbox
- Pre-packaged lessons
- Reading lists/current leadership articles (CNO, CMC, other)
- Interactive training videos
3.
Monthly leadership videos
- CNO
- MCPON
- Senior Leaders (enlisted and officer)
4.
Site functional by end of January
- CNET (LTC) lead, with support from Senior Enlisted Academy, Naval Postgraduate School and
the Fleet
- Team with TF Web?
5.
Business rules/funding/updates to follow…
EARLY DELIVERY OF LEADERSHIP TRAINING: E-1
THROUGH E-5 WORK CENTER SUPERVISOR TRAINING
Send E-1 through E-5 to E-5 Naval Leadership Training Continuum. The reason for the early training is that E-1
through E-5 often get put in positions of leadership before they receive formal leadership training. Providing the E5 LTC to more junior sailors will prepare them for future work center supervisor and other leader roles.
Opportunities for “recycling” through the course would be available as a refresher as students promote and become
more senior.
The pilot class make-up will include all communities (i.e. surface, aviation, submarines, etc.)
Pilot will take place on both coasts (Coronado and Little Creek NLTUs).
CNET LEAD Division will take responsibility for identifying class membership, and coordinating the initial class
(and follow-on classes) with the NLTUs. E-1 to E-5 members of the Summit Group proposing this pilot have
expressed interest in participating in these pilots. CAPT Rodger Krull has indicated that CNET can provide the
support for this project.
Additionally, CNET will devise a feedback instrument to administer to pilot participants immediately following
completion of the course to determine their assessment of relevance and application. Follow-up will be done after
90 days with an online/electronic assessment of the students and their supervisors to determine effectiveness in the
work center.
Points of contact:
Proposed by GM2 Meagan Voigt, voigt_gm2@higgins.navy.mil
FC3 Julia Gibson, gibsonj_fc3@higgins.navy.mil
SK2 Marcey Britt, britt_sk2@higgins.navy.mil
29
January 30, 2002,
Page - 30 -
DESTINY WORKSHEET
Members:
Captain Sain (Insane)
Captain Davis (Smoke)
CDR Coolidge (Cool)
LCDR Devany (Chubby)
FT2 Gill (Fish)
Pilot Name: Officer Basic School(OBS)
Background: While USN enlisted have single accession point training culminating in an emotional Battle Stations
drill, Officers do not have the same single source foundational training. The USMC has successfully
institutionalized a foundation leadership development (TBS).
The purpose of this important pilot is to establish a baseline leadership foundation, develop Navy Esprit de Corps
and provide the appropriate tools that are common to all naval officers. Leveraging the success of TBS, the Navy
should establish a similar opportunity.
The Navy Officer Basic School will be required for all naval officers regardless of community. The school will
follow accession and prior to any community training pipeline. The location is TBD, but envision either single or
dual site. Officers will learn and apply the basic skills and leadership principles required of every junior officer in a
blended environment, culminating in a Crucible type rite of passage. Through OBS, Officers will graduate with the
seed firmly planted that we are all leaders in one Navy.
Short term:
Actions
Define Requirements
Consult TBS/OBS
Identify location
Run Pilot
Assess Pilot
Help needed from
TF Excel/USMC/USA
USMC/USA
CNET
Bupers/CNET
CNET/Fleet
Due Date
02/02
02/02
03/02
06/02
09/02
Help needed from
Bupers/CNET/USMC
Due Date
10/02
Long term:
Actions
Implementation
UNIT LEVEL LEADERSHIP TRAINING
Group Members:
CAPT Marnee L. Finch Command Leadership School
LT Steve Whear SUBLANT (N12)
Purpose:
Enhance mission readiness through constant reinforcement of leadership
principles
Reinforce leadership concepts and techniques
Improve relationships within and throughout the command
Further develop the CPO mess and CPO/WR relationships
To build on the basics provided in existing continuum in a unit setting
Improved productivity and risk taking
30
January 30, 2002,
Page - 31 Description:
Conduct unit level leadership training, designed to improve everyday
interactions among all levels of the chain of command and reinforce the
importance of current and relevant leadership topics. The training would be conducted at
pack/pack minus commands (as identified by the TYCOM or ISIC), where the CO/XO team has
been in place at least 6 months and have 6 months remaining on their tour. “Classes” would
contain a cross section of the workforce (see Fig 1). The training would occur within a repetitive
one year cycle (see Fig 2). Training will be drawn from existing curriculum and delivered (at least
in the first increment) by trained facilitators from CLS/SEA/NLTUs.
End state:
People are valued
Enhanced respect and professionalism
E1-4
E5
E6
E7-9
DIVO DH
CO/XO
-------------------------------------------------------------------------------------------------------------Fig 1
Jan
Ext MTT
Apr
Cmd CTT
Jul
CMC
Oct
SOY
Fig 2
Timeline:
Jan 02 – Modify curriculum
Feb 02 - Work with TYCOM/ISIC to identify units
Identify training team
Conduct team training
Mar 02 Identify metrics
Conduct baseline climate assessment
Apr 02 Deliver unit training (ext MTT)
Jul 02 - First internally delivered training (Cmd CTT)
Oct 02 - Conduct follow up climate assessment
Actions:
Identified above
Help needed from:
Lead TYCOMS (Surf/Sub/Air)
Due date:
See above
ENHANCE THE “CAN-DO” CULTURE AT GREAT LAKES
Purpose: Energize staff at every level to seek innovative ways to enhance our “A” School (military) training at
SSC. Military is in parentheses because it is not the sole focus of this program, which is expected to have lasting,
widespread results. However, it will be the first area of focus, because Fleet feedback indicates this could have a
very visible impact and give the group a quick payoff/enabling success.
Short-term actions: 1) Establish Steering Group – Jan 02. 2) Large Group Intervention (LGI) with 200 staff
instructors and stakeholders – Spring 02
Long-term actions: 1) Develop ways to continue the changes and encourage the groundswell (i.e., we need to get
the message “this is how we do things here” to incoming people
What we need: A few thousand dollars to hire professional trainers for the LGI. Must send the signal that this is
important, and we have to train our implementation core team well!
Measure: Fleet’s perception of our “A” School graduates’ military bearing.
31
January 30, 2002,
Page - 32 -
CLARIFYING THE VISION OF THE NAVY
The purpose of this pilot project is to establish a vision statement and guiding philosophy so that our Naval identity
is clarified for all sailors. This will include an enduring motto coupled with timely catchphrases. The motto will tie
together both the CNO’s and SECNAV’s top priorities into a concise statement to which all sailors can relate and
recognize. The catchphrases will be used to target specific audiences. (An example of a motto is “Semper Fidelis”;
an example of a catchphrase is “The few, the proud, the Marines”.) The following organizations will draft a one
page vision statement and philosophy, as well as a motto and catchphrase:
Naval War College (one class)
Senior Enlisted Academy
30 Something Group (should have a cross-section of the Navy)
These organizations will have 30 days to complete this task. Upon completion, each of their products will be
submitted to the CNO for review and decision.
DECKPLATE SNAPSHOT
Why: We have a great story to share with our senior leaders and congressional stake holders and our senior leaders
have great insight to pass on to our deckplate sailors.
What: Educate our seniors, our juniors and our civilian leadership on the great things our sailors do on deployment
through a cross-section, cross-function area dialogue.
How: With a cross section of sailors and officers that have completed a deployment within the last two months and
a cross section of those deployers, conduct a brief to the CNO, SECNAV, SECDEF and Commander in Chief on
what they did during their deployment. Each of the sailors and officers will give a two minute vignette of what they
did to the senior leadership of our Navy. Every 6 months one of the two fleet commanders will delegate what ranks
and talents will be briefed and TYCOM, Group and Squadron Commanders will send the sailors to consolidate at
the Fleet Commander level to go forward. The meetings of the deployer team will be a dialogue where the
deployers will tell the senior leaders what they did but also the senior leaders can and should provide mentorship and
insights to the sailors.
When: Coordinate today, start in Jan with the Enterprise Battle Group.
Where: Starts at the fleet and goes to DC.
How: Make me the a virtual CNO Assistant to make this work. CNO gives priority for MILAIR to fly the team and
TAD funds to move this small group of people
The Deckplate team:
The Functional Areas
E1
Destroyer Sailor
E2
Cruiser Sailor
E3
AO Sailor
E4
Flight Deck Sailor
E5
P3 Sailor
E5
Amphib Sailor
E6
Airwing Sailor
E7
FMF Sailor
E8
SSN Sailor
E9
Airwing Sailor
O1
SEAL
O2
CV non-flight Deck
O3
SEABEE
O4
SSBN Sailor
O5
Special Choice by Fleet CDR
BOTTOM LINE: A BG Deployment cycle employs over 10,0000 man years of our sailors time. We believe
that the leadership has an hour to listen and mentor them for their efforts.
32
January 30, 2002,
Page - 33 -
PROTOTYPE FOR COMMUNITIES OF INTEREST PORTAL
Championed by: RDML Nancy Brown
Purpose:
Create communities of interest portal that link to the Navy’s portal (created by Task Force Web).
Focus:
Leverage the work being done by the new IP community professional development portal project.
Short term deliverables:
 Jan 02 – Define objectives and metrics to monitor progress/success (coordinated with TF
Web effort)

Feb 02 – Portal framework developed, and distributed to stakeholders.

May 02 – Portal light-off/IOC

Link to Navy’s Task force web portal

Expand concept to other Navy communities.
Long term:
LEARNING ENVIRONMENT SEMINAR
Group members: Barnett Pierce, Capt Rodger Krull, Capt Dave Begrodt
Purpose: The purpose of this pilot is to enhance the learning environment within a Navy command
Description: This pilot involves developing and conducting a one-day (maximum) seminar for all leaders (officers,
chiefs, petty officers) assigned to a command. Maximum use will be made of available off-the-shelf material when
developing the curriculum. The seminar will be designed to enhance each leader’s understanding of:
-
How people learn.
What motivates people to learn.
The strengths and weaknesses of various instructional strategies.
Techniques to maximize learning effectiveness (to include concrete examples of situations where such
techniques have been successfully employed).
In concert with developing the seminar curriculum, an evaluation plan will be created, to include measurable
criteria, to assess the impact of the seminar on the subsequent learning environment within the command.
The seminar will be administered to up to three individual commands in order to help assess its impact, which will
be done over the subsequent six months.
Short Term Action:
Action item
Develop seminar curriculum
Develop evaluation criteria/plan
Identify seminar leader(s)
Identify pilot platforms (Norfolk-based
submarine(s))
Schedule/conduct seminar
Evaluate impact
Share lessons learned
Assess revision/expansion of seminar
Responsibility
Due
CNET
Feb 02
CNET
Feb 02
CNET
Feb 02
Norfolk Submarine
Jan 02
Squadron Support
Unit CO
SSSU CO/CNET Mar/Apr 02
SSSU CO/CNET Fall 02
SSSU CO/CNET Fall 02
SSSU CO/CNET Fall 02
33
January 30, 2002,
Page - 34 -
CHOICE NAVY
Purpose: To provide prospective recruits insight and avenues to explore career options.
This pilot program would provide a website that would show portfolios of all ratings in the navy community vice
recruiters deciding what potential recruits need to know.
Website would include:
(1)
(2)
(3)
Direct access via e-mail to career counselors that would connect the potential recruits with a fleet sailor
that would e-mail them about their job and what it entails.
Have on-line video presentations of a day in the life of each rating to provide a visual aid.
Have hand-outs that have information avenues to educate potential recruits
The idea behind this program would be to make the person comfortable and allow them to look at all options they
have in their potential career.
Long-term goal: All recruiting stations make this the basis for recruiting the next generation.
A SERIES OF PILOTS THAT BUILD UPON ONE ANOTHER TO
ADDRESS LEADERSHIP TRAINING FROM THE EARLIEST
PERIODS OF A NAVAL CAREER
1. Augment the current teaching in leadership and values at boot camp and throughout the leadership continuum
with dramatic stories from naval history that will be remembered long after boot camp or the course.
2. Institute brief leadership training periods at each command for E1-E3 personnel. The course would be scenario
driven and concentrate on applications for real situations.
3. Reinvigorate the concept of the Leading Seamen. Any time that three Seamen are assigned together, one should
be in charge and learn leadership through that experience. The position should be rotated weekly.
4. Bring leadership training into a command’s daily routine. For example, during drills onboard a ship, remove key
players such as the CO or XO from play and fleet subordinates up to learn leadership by filling higher billets in a
dynamic, fast paced, but safe situation.
The first pilot would fall to CNET and would take from 6-12 months to develop. The other initiatives could be
implemented via an ALNAV within a month or two with some additional support from CNET for the Seaman
leadership training period following a few months later.
INTEGRATING THE FAMILY INTO NAVY LIFE
- Purpose: The purpose of this important project is to develop a program that makes family members feel like valued
members of the Navy.
- Action: Structure an AI inspired large group intervention to share positive experiences, help tell the Navy story,
and welcome spouses into the Navy family. The group will develop a pilot program to link families more closely to
the Navy family support structure throughout a Sailor’s career.
- Location: Norfolk and San Diego
- Sponsors/Champions: CHNAVPERS, MCPON, Ombudsmen, Mid-Atlantic and Navy Region Southwest Regional
Commanders
- Date: February 2002
34
January 30, 2002,
Page - 35 -
21-CENTURY FACILITIES FOR A 21 CENTURY NAVY
Current Status: Make do with 19 century facilities
Vision: WORLD CLASS FACILTIES TO SUPPORT A WORLD CLASS INTER- CONNECTED NAVY.
(Personnel buildings, utilities, as well as parking structures, piers, etc.)
Champions: PWC and Base CO’s, Regional Commanders, Congressional Leaders, etc.
Possible Locations: Fleet concentration areas, San Diego, Norfolk
Possible Commands: AIRPAC (Any command needing support facilities)
Possible Impacts: Provides an infrastructure, utilities and environment that supports a world class Navy.
When should it be started: Now
Group Members: Al Jo, Paul Crecelius, Dennis Narlock
Project Name: 21-Century Facilities for a 21 Century Navy
Purpose Statement: To provide world-class facilities to support, maintain and enhance a world class Navy.
Proposal: Compare two squadrons. Build a world-class facility for one squadron. Compare the squadron moral,
retention and operation in the world-class faculty to the one in the old existing facility, by interview with the
squadron members and metrics.
Short Term:
Actions: Obtain command support, define possible locations
Help needed from: Base and Senior level Commands, Congress
Due Date: ?????
Long Term:
Actions: Integrated facility plan developed for each base and continuous support and Commitment to build new
facilities!
Help needed from: Base and Senior level Commands, Congress
THIRD FLEET LEADERSHIP SUMMIT
Issue to Consider:
When our Sailors go home for Christmas Leave in a few days … each of their parents families, and friends will give
every one of us the “Go Home” Test.
The test is simple … and applies across our entire nation. How does the Navy value what our families hold most
precious … the extensions of their very lives … and the future of our society, namely: our people? Does our
institution value every person’s role, contribution, and potential … no matter what their job? When we think about
that during this year’s Holiday Season and in the coming years, can you imagine how satisfied we’d be if there was
no doubt about our success and excellence in this central area?
Challenge:
Covenant Leadership demands that we rise to this challenge ... and make the stewardship of those entrusted to us a
real, meaningful, and tangible priority. This is central to strengthening our culture of service, enhancing mission
35
January 30, 2002,
Page - 36 accomplishment, improving our institution, and fulfilling our promises to one another.
Action:
To extend the momentum of this CNO Summit and Covenant Leadership, C3F will conduct a "C3F Leadership
Summit" for our staff, focusing on the professional and personal development of all our team members. We see this
as a high potential next step, featuring Leadership by example, from the 3 Star, Numbered Fleet Commander. This
project is envisioned to be a vehicle that enables every C3F staff member to be an empowered and valued innovator.
This event can be a key forum for improving our Self Talk ..."Focusing on the Fleet" ... to enhance empowerment,
job satisfaction, performance, and the life enrichment of every team member.
One of the compelling aspects of the C3F venue is the unique leveraging potential with our Fleet operating forces,
Fleet training commands, and our array of Sea Based Battle Lab (SBBL) partners .. in DoD, the military services,
academia, industry, and other organizations in the public and private sectors. The diversity, span of influence, and
synergy of this network intersects with other key "Big Navy" initiatives in this spirit, including Task Force EXCEL
and Center for Executive Education (CEE) programs. There's no partner more important to us in this regard than
NPS ... our Corporate University and California neighbor. The C3F Leadership Summit Pilot Program is a prime
example of the potential represented by the Fleet-NPS relationship, that we've prioritized and nurtured in recent
years. The intellectual capital of the school, and the operational and innovation focus of C3F, are the key
ingredients in this dynamic and exciting partnership.
This all fits into the C3F identity of: Operate, Educate, and Innovate. We want our people to be the beneficiaries of
that identity, as well as the mission ... and we aspire to share this effort throughout our institution.
We see the C3F Leadership Summit as a significant opportunity for the entire Fleet, and "Big Navy" as a whole.
We also look forward to partnering and leveraging with the other Leadership Summit pilot projects, including the
interesting efforts proposed by USS BELLEAU WOOD, Service School Command (SSC) Great Lakes, and others.
LT Fred Dini, SC, USN
CNO Leadership Summit
3-6 Dec 2001
3-4 Month Deployment Pilot
Purpose: To improve recruiting and retention by changing one of the greatest downsides to the Navy over jobs in
private industry and the other military services: lengthy 6-month deployments away from loved ones (especially
young kids and new relationships).
Possible scenarios to investigate:
- Blue-Gold or Red-White-Blue crews for ships
- Change 18-month cycle:
- 12 month: 4 out, 8 in
- 9 month: 3 out, 6 in
- Change cycle for certain pilot groups:
- Only ships on East or West Coast
- Only ARG's
- Only Battle Groups
- Only land-based squadrons (eg. P-3's)
- Forward-deploy more ships
Pilot:
1. Name: Saving Time Away from Your Closest Loved Ones by Sailing Efficiently TO
Help recruit and retain Our Most Effective sailors -- "STAY CLOSE TO HOME"
2. Investigate research the Navy has already done in this area – through CNA, NPS, OPNAV staff
3. a. Conduct research into feasibility of listed possible scenarios– request help from NPS, CNA
b. Choose forum and approach large group of sailors, all ranks, Navy-wide: survey their preferences
and brainstorm other possibilities
36
January 30, 2002,
Page - 37 4. Use computer modeling to address feasibility of proposals
5. Introduce proposals to senior Navy/Fleet/TYCOM leadership
6. Fleet testing
Makeup of pilot team during Leadership Summit:
- JO's and mid-grade officers, Enlisted E4 to E9, Navy dependents
Benefits:
- QOL: Universal desire. Less time away from families/kids at one time
- Measurable recruiting and retention benefits – more choices
- Increase theater knowledge of sailors by returning them to deployment sooner
- Reduce complacency from repeated ops during 6-month cycle
- Education possibilities between deployments
Obstacles:
- 18-month cycle mentality
- Perceived benefits of 6-month deployments
- Longer inport period between deployments
- 1 month stand-down after deployments
- More time during deployments for port visits
- Transit time / less time in theater
- Blue-Gold rotation raises manning concerns
- A 3 month in / 3 month out Blue-Gold rotation means one crew stuck to Xmas schedule
- Need for experience and resources to support further research
- Timing during war on terrorism
Initial Lessons:
- Blue-Gold crews a probability in next 18 months in SURFPAC
- 3 submarines due to forward-deploy to Guam soon
37
January 30, 2002,
Page - 38 -
Provocative Propositions
Day two of the Leadership Summit ended with the group producing Provocative Propositions.
These propositions were based on emerging elements of the Common Ground Future Vision
articulated over the previous day and a half. Tables were given an element to prepare a
proposition from and invited to prepare a second proposition if there was interest in another area.
The propositions are organized with the Common Ground element that they support.
1. Leadership as instilling mission, sense of higher purpose and spirit of service – as an agent of
“freedom and world benefit.” (Tables 3, 4 and 31, 32)
Tables 3 & 4
Leadership continues to be the embodiment of mission. It is the multi-dimensional style, which
infuses all levels with the spirit of service where individual opportunities are only limited by
imagination.
Tables 31 & 32
The Nation places full trust and confidence in our Navy's ability to support and defend the
Constitution and to uphold freedom and democracy around the world. Maintaining this trust
demands that Navy leaders at all levels aggressively promote positive public awareness of the
Navy's bold and enlightened leadership and commitment to higher purpose. It is the duty of
every Sailor, past, present, and future, to embody our core values of honor, courage, and
commitment. Instilling these core values into future generations of Naval leaders will ensure
that a quality force is recruited and sustained.
2. Leader as teacher and mentor – “leaders creating leaders at all levels” – people proud to
follow the model and lead of their leaders.
Tables 1 & 2 -- “Learn to Teach, Teach to Learn”
Every member of our Navy team is committed to leading and creating leaders at all levels. We
believe that teaching and mentoring are foundational to building bold and enlightened leaders.
Throughout all Naval careers, sailors are learning by example and receive timely and tailored
training to be effective mentors and teachers. We remain committed to valuing and rewarding
successful leaders and mentors. We believe these principles are paramount to our individual
and collective success and future.
3. Leadership as building great groups – creating climate of collaboration, teamwork, dialogue
and breaking down barriers of rank.
38
January 30, 2002,
Page - 39 -
Tables 5 & 6
“Leadership as building GREAT TEAMS”
At all levels, our Bold and Empowered Leadership nurtures an atmosphere of collaboration,
mutual respect, and diversity. As Shipmates, we continue to challenge each other to contribute
through empowering both dialogue and teamwork, in order to advance a fighting force that is
second to none. We promote leadership at every level. We challenge each other to contribute
through empowerment, dialogue, and teamwork, advancing a fighting force that remains second
to none.
Our culture of openness to new ideas fosters unrestricted dialogue, innovation, positive
communication, and the emergence of new leaders.
“Speak up! Interact! Make a Difference!”
4. Positive command cultures – respect honesty valuing, trust in people, positive and
appreciating.
Tables 7 & 8
By virtue of the oath we take we realize that it is our responsibility to treat every Sailor with
dignity and respect. We remain committed to developing and appreciating the talented citizens
entrusted to our charge, enabling them to achieve their highest potential. Our culture is one in
which each member’s contribution is valued, appreciated, and recognized every day. Confident
leadership, and the ability to successfully accomplish the mission, is what the American people
expect and continue to demand from us!
5. Empowering decision making processes.
Tables 9 & 10
We, as leaders, are empowered to make decisions at the optimum local level and encouraged to
be intelligent risk takers. We are taught how to make decisions and are provided the training,
resources and authority for the task. This nurtures, inspires, and supports competence at all
levels. Every action taken develops leadership and furthers mission accomplishment. We are
committed to understanding the possible outcomes of our decisions and providing positive
feedback. This demands inclusive decision-making and shared knowledge.
6. Covenant Leadership – high human expecations, disciplined action, accountability and
responsibility coupled with real caring for people.
Table 11
We, the leaders, at every level of our Navy, make a covenant with ourselves and our people, to
promote personal growth, responsibility for action, and accountability for outcome. Covenant
39
January 30, 2002,
Page - 40 -
leadership is a fundamental, enduring pledge to lead myself, my shipmates, and the Navy to excel
in all respects in fulfilling the missions entrusted to us by our Nation.
Table 12 – decided that Career Structures and Incentives was important to write a proposition
about
Career structures & incentives remain vital to our Navy in the competition for talent. Our Navy
offers careers that provides a range of attractive professional and personal development options
to include:
1. Careers that are visible
2. Careers that include a wide range of educational opportunities
3. Careers that are available at all levels.
These three options reflect the choice of the individual as its principal driver. Career choice
against job requirement is enabled by a web-based market that properly values, incentivizes and
promotes specific job openings.
The “market making” function is the evolved detailing function. The market maker is the Sailors’
agent working alongside his or her career counseling team to enable a systematically informed
choice. The market making function depends on current, competitive, real-time picture of supply
and demand and dynamic incentivization.
The career structure permits fluid movement between ratings and communities, lateral entry
from a civilian career at most levels, expanded opportunity to convert from enlisted to officer
career paths, and elimination of unskilled jobs.
A career in the Navy brings incentives through the unique, elite nature and traditions of naval
service.
7. Leadership as creating culture of intelligent risk taking and innovation.
Tables 13 & 14
The Navy is promoting the growth of responsible leaders at all levels through the creation of
cultures that embrace intelligent risk taking and innovation. This culture is continually
reinforced through the communication of a crystal clear vision of what the command mission
and goals are; by providing the proper framework of knowledge, skills, and resources; and by
setting outer boundaries so that risk may be safely managed.
8. Navy as environment that accelerates “lessons learned” sharing knowledge and best practices
and accelerates organizational learning.
Tables 15 & 16
40
January 30, 2002,
Page - 41 -
Our Navy is a Global Group Genius (G3) of tremendous power and potential. We utilize the
diversity and size of the organization as a source of strength leading to empowerment and
knowledge. As stewards of global group genius, we accelerate the sharing of lessons learned,
knowledge, best practices and organizational learning.
9. Celebrating, honoring and respecting the strength of diversity.
Tables 17 & 18
The Navy is a magnet for this nation’s diverse talent because we embrace, celebrate, honor and
reward diversity in every facet of our organization and offer unlimited opportunity for personal
and professional growth in the workplace. Because of this, we are the world’s finest government
institution and combat force, and are an inspiration and role model for that which is exemplified.
17 & 18 also wrote a proposition for Navy Families
We continue to be sailor-centric and family-centric. We value, support and fully incorporate the
Navy family into an individual’s Navy career. We ensure that families are included in career
decisions and are fully indoctrinated into the Navy community and support structure. We assist
and facilitate the efforts of the spouse in their career and educational aspirations.
10. Creating connectivity “communities of practice” and virtual connections in a webempowered, information rich environment
Tables 19 and 20
We are a world wide, highly diverse Navy Family that is fully connected---any time, anywhere.
The Navy recognizes that maximizing the contributions of all Navy personnel is vital to mission
accomplishment. Our preeminent combat team is led by emboldened leaders committed to lifelong learning and to the fullest personal and professional development of the Navy family.
Communities of Practice provide a vehicle for passionate inclusion and positive action designed
to draw upon the combined brain power of all Navy personnel.
The results of these exchanges have produced a continuous process that perpetuates and reaps
the greatest possible personal and professional growth for all Navy members…thereby
strengthening our total capabilities.
11. Empowering work – creating powerful, dynamic, and meaningful jobs with opportunities to
stretch and grow.
Tables 21 and 22
We believe that a sailor’s time is precious; therefore we in the Navy recognize the right of every
member to be in a meaningful job, full of purpose and challenge. Each job has been designed to
instill in the member a sense of self worth that fosters a climate of unconstrained professional
and personal growth. Our dynamic work environment and the requirements of operational
41
January 30, 2002,
Page - 42 -
readiness, demand that our members exercise creativity and flexibility to meet our ever-changing
needs. We must optimize our most valued resource: Our people!
12. Empowering panning methods.
Tables 23 & 24
“INCLUSIVE PLANNING IS EMPOWERING PLANNING”
We continue to believe that plans are a framework for action. We define our planning methods
as open, to include all stakeholders, and believe that a dynamic communications structure is
vital for empowerment. We value our ability to adapt during execution. Hierarchy supports
networking and networking supports hierarchy in a reciprocal relationship. We recognize that
people at all levels have valuable knowledge, experience and unique perspectives. Our
stakeholders have ownership of the plans’ elements via the opportunity for dialogue. A variety
of planning tools are available and readily usable within and across units and organizations.
Our planning processes provide for measurement and feedback. They are iterative and well
socialized. These characteristics make our plans executable, effective, mission-focused,
integrated, adaptive and flexible.
13. Life-long learning, education and training connected to “world wide standards.”
Tables 25 & 26
Table 25
We are committed to excellence through the endeavor of life long learning education and
training. This will continue to serve as the foundation for our growth and our success. Because
of this commitment, we will be able to continually expand our capacity to create our future
Table 26
Life long learning, education and training are three of the pillars that we believe define the
concept of and form the foundation of covenant leadership. The Navy continues to have a
culture that values learning, education and training; where sailors serve their country and
expand their potential. Our sailors are motivated by the desire to achieve personal growth and
contribute to the mission of the Navy. The Navy provides the structural support, adequate time
and unlimited access for continuous learning. The Navy provides flexible adaptable learning
opportunities to world wide professional standards.
14. Organizational structure that balances fluid and stable elements: High synergy between
hierarchical modes and networked, web-enabled partnership structures.
Tables 27 & 28
Our hierarchical structure ensures that everyone understands their role in the organization and
mission. We balance mission accomplishment with personal and professional development,
42
January 30, 2002,
Page - 43 -
allowing individualized career paths. We encourage life-long learning and our people are
dedicated to both operational success and caring for their shipmates.
We tolerate mistakes and encourage risk-taking to unleash creative energy. Free-flowing
horizontal and vertical communication enables exchange of information and ideas across all
boundaries, to complement the chain of command.
15. Creating positive change – leader as evangelist for change in the service of adopting new
missions.
Tables 29 & 30
Navy leaders believe that positive change and innovation are the roots of our long- and shortterm success. We are committed to seeking out transformational opportunities, both large and
small, by engaging all members of each command in dialogue about being outstanding in
everything we do. Recognizing the power of these ideas, we provide forums for people to work
relentlessly to displace obsolete and previously accepted “best practices.” We share these
transforming possibilities, across all the services, by dedicating resources, time, and subjectmatter expertise, recognizing and rewarding those who contribute to our collective future.
As shepherds, we must live our words, keep this flame burning, and never let the damper of
inertia extinguish it.
43
January 30, 2002,
Page - 44 -
Intangible Products
Participants left the summit with more than action plans, pilot projects and ideas. They left
motivated, changed and empowered. Participants were proud to have had their voices heard and
to be included in such a monumental task.
The empowerment people felt was a product of the appreciative process that was used and the
diversity that was present at the summit. The entire system was in the same room, from research
and development through assessment.
When participants were asked to identify the important values of the Navy they realized it was an
opportunity for them to personally make a difference in this Navy. People were head saying
“this is my Navy.” There was a sense of accountability in the room, participants were taking
ownership for their actions. Participant quotes from the Summit tell of an event that they will
not likely forget (see next section).
44
January 30, 2002,
Page - 45 -
Representative Comments from Participant Surveys
There were many positive comments about the experience. A re-occurring theme was the power of the dialogue that
occurred in the max-mix table settings:
A Petty Officer Second Class wrote…
“I think the Leadership Summit has been an awesome step towards the future of the Navy. I was
most impressed with the way the whole group worked together – without uniforms, everyone just
rolled up their sleeves and got to work. That says a lot to me!”
A Captain wrote…
“I have never been so impressed with our people as I find myself today. The young sailors who
selflessly expressed themselves demonstrated great personal courage. Likewise, our senior
leaders demonstrated the courage to come and listen, and create a climate for this amazing
dialogue to occur.”
A GS-14 wrote…
“I was most impressed with the level of senior officer commitment towards this initiative! They
were open and encouraged input from all levels present…and then when Admiral Clark topped it
off…boy that spoke volumes of how dedicated and concerned our senior leaders are about
improving our organization.”
Other comments were emphatic about that the fact that it even occurred!
An Ensign wrote…
Even without the pilot projects, the fact that this even occurred sends a strong message to the
Fleet! When I get back, I will just be glad to tell people about it. It was very inspiring.”
A Master Chief wrote…
“I was very impressed with the Leadership Summit. Our senior leaders are sending a powerful
message to our Navy that we are committed to not only do our job, but find ways in which to
continually do it better.”
A seaman wrote…
“It was wonderful just to come and be heard. What I will take back from the Summit is that the
leadership of the Navy really cares about the future sailor.”
Another strong theme spoke to the design of the Leadership Summit:
A Navy Chief wrote…
“I have been around the Navy for awhile and have seen a lot of changes come and go, but this is
different. This time all levels were involved, from E1-O10, so the success of the Summit is much
more guaranteed. We have buy-in at all levels.”
A Lieutenant wrote…
45
January 30, 2002,
Page - 46 -
“It was an excellent venue for new ideas, direction, and collaboration across the board. The
Summit allowed me to look outside of my rice bowl and understand how decisions I make effect
the entire Navy.”
A Senior Chief wrote…
“I think communication is the key to success, and this Summit was a venue for meaningful
communication. I was most impressed with diversity of the group represented. Thank you for
the opportunity to be a part of it.”
A Third Class Petty Officer wrote…
“I want thank those who pulled this off and Admiral Clark for supporting this. I was reminded
of the spirit and optimism I had when I first enlisted. The cooperation and interaction of all
paygrades was the key to this Summit’s success.”
The Appreciative Inquiry methodology was important to many people:
A Commander wrote…
“WOW! I am most impress with the breadth of attendance. It was clear that Appreciative
Inquiry was an important tool to bring such a diverse group together around common ground.
No one talked about “me.” The stories captured helped raise the bar, yet they also were
bounded in reality because they had already happened.”
An Admiral wrote…
“The AI Summit approach was a positive way to make everyone feel included and focus on the
future. What a great way for a commander to start off a tour and generate a shared vision that
everyone can buy into.”
A Third Class petty officer wrote…
“I learned about Appreciative Inquiry and I think I will use that to make a more “useful me. I
look forward to getting back to my command and teaching my people about what I learned
here.”
The Leadership Summit Pilot projects were exciting to many:
A First Class Petty Officer wrote…
“I have never heard of 360-degree feedback before (performance feedback from superior, peers
and direct reports). This is something I would like to see instituted Navy-wide because I would
like to know how I am doing as a leader. It would be a good replacement for mid-term
counseling. It’s amazing to me that the Navy is doing things like this!”
A Lieutenant wrote…
It was a terrific opportunity. The “root causes of success” dialogue that we had at my table was
productive communication that led to some of the best pilot projects: 360-degree feedback, a
family AI Summit, web-based leadership portal…these are inspiring and I look forward to
continuing to work on my own pilot.”
46
January 30, 2002,
Page - 47 -
An Admiral wrote…
“Many of these pilot programs have similarities to initiatives already in progress, yet those come
at the issues of the day from a deficit perspective. What is refreshing to me is the appreciative
approach that looks at the same issue but from the other side. We need to actively create what it
is we are really after, not just fix problems. That’s the leaders job.”
A Master Chief wrote…
“I truly think we are engaged in an event that will be a pivotal mark for the Navy. Just like we
mark very significant changes like steam power, aircraft carriers, nuclear power, etc…this was a
turning point for people. Someday we will look back on this, and the projects started, and say
something about the efforts we did here.”
Comments about the future:
A Second Class Petty Officer wrote…
“The Navy is truly headed in the right direction, and I am glad to be part of the Navy today. We
can get quickly wrapped up in all the negativity of the day. Like Admiral Clark said, AI helps
remind us of why we serve. I know 9-11 was a terrible thing, but it did remind everyone of what
it means serve our country. I hope after the Summit we can use AI to help us keep this feeling
alive. We should keep collecting great leadership stories, so we can continue to learn from them
and teach people about what great leadership is like. I think the future for the Navy is very
good!”
A civilian external stakeholder wrote…
“I still keep falling out of my chair about what I witnessed this week. All of my stereotypes about
the Navy have been blown away! I am impressed not only for the Navy’s future but for our
country. As a parent, I wish I had seen this side of the Navy sooner. I would have encouraged
my kids to join. The emphasis on education, the level of respect and courtesy in the room, was
truly inspiring. I would be proud to see my kid join the Navy, and will encourage others to do
the same. I hope the Navy does become our nation’s ‘Employer of Choice!’ I am proud to have
been apart of this effort.”
47
January 30, 2002,
Page - 48 -
CNO Opening Remarks
Admiral Vern Clark
Chief of Naval Operations
The United States Navy
CNO Introduction Video for the Leadership Summit
“Welcome to the Leadership Summit. I know many of you traveled long distances and took time
out from your important commitments. Thank you for supporting this initiative. I trust it will be
a meaningful and worthwhile experience for all of us.
I am speaking to you from the World War Two battleship USS WISCONSIN – most appropriate
since we will mark the 60th anniversary of the attack on Pearl Harbor a couple of days from now.
We have been left a tremendous heritage by those who have served before us. A heritage of
service and leadership.
This Leadership Summit – the first of its kind ever – is about improving leadership for our Navy.
Some of you may have heard me speak about Covenant Leadership – it is a leadership
philosophy that I have been talking about wherever I go. When our sailors take an oath, they
make a promise to serve, they make a promise to support and defend the Constitution of the
United States and defend against all enemies foreign and domestic… And they promise to obey
the orders of all those appointed over them – can you imagine that? They promise to obey the
orders of a lot of people they have never met.
In return, leaders make a promise. They promise to commit themselves to the personal and
professional growth of their people.
I see a Navy in which all our leaders are personally committed, first and foremost, to mission
accomplishment, and second, to the growth and development of the people who are entrusted to
us. This is part of the covenant – the promise – of leadership. And this is very important to me.
I want every one of our jobs to be full of meaning and purpose. I want every one of our people
in the Navy to have a rich and meaningful experience .
This Leadership Summit is an opportunity to search for innovative ways of improving our
institution and supporting the development and growth of all of our people, both enlisted and
commissioned. This Leadership Summit is not the only answer, but it is an excellent opportunity
to start some important conversations.
During this summit, we will use a tool that is new to many of us – Appreciative Inquiry.
Appreciative inquiry is a way to rediscover and tap into our core strengths and highest potentials.
It also helps us develop our self-talk in a constructive way and encourages us to bring out our
best qualities in serving this institution. Appreciative inquiry is a method that helps us develop
48
January 30, 2002,
Page - 49 -
the goals and dreams that support the future of our Navy. It involves soliciting ideas from
people throughout our fleet.
This Summit is an invitation to join in a conversation. I hope you’ll take the chance over these
next few days to rediscover why the Navy is important to you and why you are important to this
institution. I hope you will take the chance to voice new ideas and to hear from others. Maybe
some of these ideas will inspire you to try something you never considered before. Maybe this
conversation will remind you why you committed to serve and will re-invigorate your
commitment. Maybe some of you will be inspired to experiment with new initiatives, and even
run some pilot programs.
This is an important opportunity. How often are we able to gather such a diverse group and
focus our conversation on the future of our institution? I feel fortunate to be a part of this event
and hope you do, too.
I look forward to seeing you in a few days.”
49
January 30, 2002,
Page - 50 -
CNO Closing Remarks
Admiral Vern Clark
Chief of Naval Operations
The United States Navy
“Well, what a neat morning! I envy all of you the chance to have been a part of this. And, let me
just see if I can bounce off a few things. I could give a two-hour speech now. My head is full and
my heart is full wanting to respond to all the things I have heard this morning. I love what was
just said from the master chief at the naval personnel command. There are a lot of things going
on in our Navy – things that maybe nobody knows about. One of my “take-aways” from this is
the issue of our vision and the issue of who the audiences that we’re talking to and the issue that
we’re communicating what we’re about every day – The issue of making sure that the things that
are going or even getting attention in the lives of 650 or 75,000 people that are in our Navy.
Do you know that a year ago when a person came up on rotation, the career counselor would
work with them, and when they contacted the bureau, down at the Navy Military Personnel
Command that, that’s when the bureau got engaged? Do you know that the folks in Millington
are going at it in such an incredibly different way today? The folks in Millington are seeking out
the individuals. They know who’s coming up a year out and nine months out and at the nine
months point, they are going on the offensive. I get a report from the chief of naval personnel
about how many of our people in our navy they have preemptively contacted to talk to them
about how important they are to our navy and our institution. About 90 percent – over 90
percent. Ninety percent is the lowest number I’ve seen. And, I don’t know what it is. Last month
it was 92 percent or something like that.
There are wonderful things going on out there. I was thinking for this group: How will we walk
away from this experience? Remember, this is a pilot. This was very interesting – first of all we
believe in the principal of leadership or we wouldn’t have wasted any time on the pilot – that’s
pretty clear, right? And, so what we saw happen here this week is we started talking about things
we valued. We started talking about principals that defined who we are and we began to talk
about appreciative inquiry and the power of that as a concept. And, then, over time, over the
course of the week, we have the power and the group dynamics of a group like this getting
involved to address issues that you collectively thought and think and believe would make our
Navy a better place to be – a better place to work – a better group to be part of. And, so, you
know this is about promises. And, you came down here and by your presence you promised to
invest of yourself. You promised to engage. You promised to expose yourself and the things that
sometimes maybe ideas that you weren’t sure that you were supposed to find out there, that you
did.
And, my promise to you is that we’re going to look at the output that has come out and I’ve only
got to see five or six of them here. But, the executive steering committee will go through them.
And, I promise you that I’m going to go over these with a fine-toothed comb. And, I promise you
50
January 30, 2002,
Page - 51 -
that what I said to you earlier that I’m not a “study-it-to-death” person. My philosophy in life is
that if it looks like its got potential and it has got promise; let’s go for it. If its got potential to
make our institution a better place to be, well then, let’s go give it a run. And, I promise you that
we’re going to be counting on people like you to make those pilots work, or to find out that those
pilots needs significant refinement, because this institution has invested in each of you by your
presence here this week. And, you know my suspicion is that most of you will never forget this.
Most of you will never forget this experience this week in a place like this where we were going
after, talking about the wonderful and rich experiences that have really touched you.
You know how I think we ought to start that web? I think we ought to post all these stories that
you all told here. How many of you have ever heard of Brad Farren, who’s a president at Walt
Disney. He tells audiences that he talks to how important stories are for leaders – how important
stories are. I think it’d be a great place to start. Tell these stories. Put your picture on there and
tell the example of the individual who touched you. You know I remember when they came to
interview me and I started thinking about that first C.O. Actually, my first C.O. I only had for a
few weeks and met him once – and the second one, is a person who I’ll never forget. You know,
you have to remember Vern Clark didn’t come up the standard track. I mean in my wildest
dreams I never had an idea that I would be standing in front of a group like you today as the
CNO. You know, through OCS in the Vietnam War era. And, I was telling some of the young
folks last night that were from HIGGINS how neat it was when I left OCS that I had the chance
to go to a destroyer. That’s all I wanted to do. You know when I talk to young people today; I
ask them, “When I was your age, you know what I wanted to do most?” And, they give me the
kind of standard answer they think my generation is looking for and so they say, “ You wanted to
go to command.” And, I say, “Heavens, no. I was a "j.g." I wanted my bosses job. I knew I could
do it better than he could.” I had a captain who made it clear to me. And that’s the story I told
them about. He was a big forearmed guy and I’d watch him pull it into Subic Bay without tugs –
and under circumstances that I’ll never forget. But, I also remember when it came time and the
chief engineer had to go on leave. We were coming home from a nine-month deployment and his
wife was getting ready to have a baby. And, I’ll never forget the captain called me up and said,
“Vern, I’d like you to be the acting CHENG.” I wasn’t the senior guy. He did more for me that
day than he ever knew.
I remember experiences and you do, too, that made it possible for you to start reaching out and
start fulfilling your potential. And, that’s what appreciative inquiry is about. It’s about
leadership. But, it’s leadership for what? Think about this. And, this is something I didn’t get for
awhile. Somewhere along the line it happened. Where’s the E-3? Who’s the most junior one?
Where are you? You know, here’s what I think. I think what we need to do is to give you more
authority, more responsibility and pile it on you as fast as you can take it. That’s what I think one
of the keys to our future is all about. I believe that there is so much potential wrapped up in you
as people that what we have to do as an institution is to figure out how to tap and how to
empower you. I heard the “empowerment” word was used a lot around here this week. How to
empower you and equip you – and leaders do that. Leaders make that happen.
I’ve been lucky. The Navy’s given me a lot of opportunities to learn and grow – a lot of them. I
got to go command when I was a lieutenant. And, I think part of that very early responsibility. I
had been in the Navy five years when I went to command my gunboat. And, do you know what I
51
January 30, 2002,
Page - 52 -
learned finally? Thankfully, I learned that leadership wasn’t just about making people feel good
and fulfilled. That I could have – in fact I did have – there were four of us in Naples, Italy and I
just want to share this story with you. We one the Battle “E” three straight years and those were
the years when only one ship got it. We won the Battle “E” because there were 27 young Sailors
on that ship and four officers, counting me, that absolutely refused to ever be found among the
missing. A gun boat that was kind of hard to maintain and at the long end of the logistics chain,
but that ship was full of a group of people that would never let the bell ring and have them not be
there and taking off from the starting line. In my squadron was a ship that was the exact opposite.
It was a ship that was happy. There was a lot of happiness over there, but they never answered
the bell. And, you know when you look back and see what happens – two of those four officers
on that ship that I was on became flag officers – two of four. Throughout that crew I still hear
from them wonderful stories about how success led to success. And, the reason for that, was that
the leaders in that ship, and I’m not just talking about yours truly, I’m talking about a group of
people who were leading together. They understood at the end of this that when we set about to
fix or change something on a given day, it was to make sure that we were going to be able to
meet the mission – that the end of this always was about change in order to improve ourselves. I
want to make sure that – let’s define what victory is going to be for us. When we leave here
today, what are we going to do next? What are we going to do on Monday morning when we go
to work?
Let me ask you a question. I love the volunteer method. What will stand out in your mind most
about this week?
Response: The energy level.
Think about that. How many of you would line up with that? The energy level. O.K. What will
stand out in your mind most about this week?
Response: The positive attitudes.
The positive attitudes. How is that going to affect what you do on Monday morning?
Response: Well, I’m going to be positive, sir.
What stands out most about this week for you?
Response: Sir, to be able to participate as a group and bring to fruition not only your vision, but
the vision that the steering group had.
One of the young women from the HIGGINS said to me last night she will never forget being in
her working group. Think about this. I think she’s an E-5. She’d never forget being in her
working group and the bell was over and it was time to move on and the chief of naval personnel
saying, “Wait a minute, I want to hear more about your idea.”
Something powerful happened here this week. The power of listening happened here. Every one
of us can take that home with us and put it to work on Monday morning.
What will you remember most about this week?
52
January 30, 2002,
Page - 53 -
Response: The sense of opportunity – I’m from SEAL TEAM SEVEN – we brought two
ensigns, a chief and a second class petty officer – and the opportunity they had to sit with
admirals and seamen and a cross section of the Navy and talk about the future. I know when I go
home on Monday, I’m going to pile it on them.
One of the things this group is going to do is they’re going to go tell about this experience. This
is a very important part of the investment in you. I want you to go tell people about this
experience. I want you to go tell those young petty officers about this experience. I want you to
tell people that you had the chance to invest yourself in a pilot to see how we can make leaders
better and how we could create leaders more effectively and how we could solve problems in a
proactive with a new scheme that’s called affirmative inquiry and how you want to figure out
ways to put it to work where you live and work. What will you remember most about this week?
Response: I think, sir, that even though that I feel and the Navy seems to confirm to me that I’m
a good leader that there’s so much more that I can learn. Even though I’m in a constantly
learning mode that there are things outside of myself that I need to be reaching for and the
primary part of that are the people that work for me.
If you’re a flag officer in the Navy, we’ve got required readings. The master chiefs have it, too,
now right? We have to keep reaching. Barry Frew told me about the latest book I’ve got to read.
What’s the name of it? The Tipping Point. You know what? I learned when I was flying out to
PAC Fleet a little of a year and a half ago I ran across a book: The Twenty-one Irrefutable Laws
of Leadership. A little thing that you can read it on a couple hour flight. And, it said that we must
be constantly pursuing things – the thrust of this was – you have got to read a book a month or
you’re short changing it. If you’re going to keep your edge, if you’re going to keep growing and
address the issue that you have made, we’ve got to keep investing in this. A book a month – just
to keep our edge. So, we’re going to leave this week having had a major in-line injection of the
principles of leadership that make this Navy the greatest in the history of man. And, so what are
we going to do with it this Monday morning? What stands out most to you?
Response: I think the eagerness of the group to want to make change and improve our
organization.
The Navy has recognized that we’ve got to keep growing. When I was a captain and a
commander coming up through the ranks, they always had schools for us. I always wondered if
the admirals went to schools. I got to be a one- and two- star and found out there a couple of
things at TACTRAGRU and so forth. At each level I thought that’s the end of the schools. Until
I became a four-star, they created a school for four-star, too. They know I needed it. Barry’s
book on Appreciative Inquiry (AI) is about deep change. A principal finding that – we read a
book and we all get something different out of it. And, remember what AI is about, first and
foremost, is equipping us so we can create the changes that are necessary in our organizations so
that we can make it better. Deep Change says that fundamentally don’t study it to death; do
something. Is that close enough, Barry? Get started. Let’s get going. The clock is running. Let’s
get going.
Will your voice hold out enough to tell us what you will remember most about this week?
53
January 30, 2002,
Page - 54 -
Response: What I will remember most here are all of the people that are in the room and the
people that I’ve had the opportunity to speak with and to find out the initiatives that are already
going on. I’ve got a few of them that I’ve already tied up and I’ve heard about meeting that I’ll
attending next week with task force excel with the leadership continuum and task force web.
These are things that are happening that my organization is very involved with and with the drug
and alcohol abuse prevention program and we’re doing our best to try to get the prevention word
out to everybody and that it needs to be part of the leadership continuum because part of
covenant leadership is actually to prevent them from going into things that they don’t need to go
into and so I see myself energized and I also have this for you.
Don’t ever forget this. One of the most important things that leaders ever do: Leaders define who
we are. Your job, leading. I guess I have to say this before I do that. Remember this about
covenant leadership. We make promises. They promise to support and defend the constitution.
They promise to obey all those orders. We make promises, too – those of us leading. Everything
we promise isn’t a happy face. One of the things that we promise people is that in this business
when we have to go to war, some days are going to be hard. Some days are going to difficult.
And, I love the words John Nathman had in his message when he was writing his Fleet. And, he
said, “We do hard things as a team. We promise people some things.” And, these words really
ring to me. Look at this: We promise people that we’re going to deal with them with integrity.
Now, we can have meetings until the cows come home. And, we can either be this or not be this.
And, we can choose to be this. We are going to be and are an institution of integrity. We value a
person’s word. And, as leaders, what I want to see us do is that I want to see leaders stand up for
their commitment to the growth and development of the people in accomplishing the mission and
in difficult days and that the commitments that we make to people, we’re going to keep. We are
going to equip and empower and enable people. One of the things that we promise them, the
greatest thing that I can that E-3 at the other end of this room is that we will give a chance to
lead. An institution with integrity and trust and honest and respect and pride and hope and
compassion and loyalty – that’s who we are. Go out and live it! God bless you.”
54
January 30, 2002,
Page - 55 -
Steering Committee
The Steering Committee workshop was held at the Naval Postgraduate School’s, Center for
Executive Education 31 May – 2 June. The objective of the workshop was to introduce the
committee members to the background of the project, decide on the depth and range of the effort,
determine who were the stakeholder organizations effected that should participate, and decide
upon an Interview Team to gather outstanding stories of leadership.
The Steering Committee envisioned the Summit as a “helm for change.” The Leadership
Summit was about the people element of our Navy’s readiness. The Summit was going to enable
sailors to build a common vision of their future and develop innovative ways to achieve it.
Members wanted to build leadership innovation, leadership knowledge and leadership capacity.
Steering Committee Members:
Vice Adm. Alfred Harms, Chief of Naval Education and Training - Committee Chair
Vice Adm. Dennis McGinn, Deputy Chief of Naval Operations (N7)
Vice Adm. Norbert Ryan, Chief of Naval Personnel
Vice Adm. Patricia Tracey, Deputy Assistant Secretary of Defense
Vice Adm. Michael Bucchi, Commander Third Fleet
Vice Adm. (ret.) Lee Gunn
RADM David Ellison, Superintendent, Naval Postgraduate School
RDML (sel) Robert Moeller, CPF, N3N5N7P
Mr. Greg Melcher, N81B
CAPT Orrin Wayne Young, Commanding Officer, SWOS
*CAPT Michael Davis, Reactor’s Officer, USS GEORGE WASHINGTON (CVN 73)
*CDR Robert Hennegan, Maintenance and Acquisitions, DCNO N7
+Maj Brian Buckles, USMC Systems Test Manager DRPMAAA
+LCDR Rob Newson, USN, XO SBU-12
+LT Robert Thompson, Surface Warfare Officer School, (Department Head Class 163)
+LT Barbara Fletcher, BUMED (Med-51)
MCPON James Herdt
Midshipman 1st Class Amy Jones, Brigade Commander USNA
MM1 (EOD/PJ) James Meagher, VSW, (SURFPAC Senior SOY)
FT2 (SS) Robert Gill, USS HOUSTON (SSN 713)
PNSN (AW) Joseph Evans, Fighter Squadron 103
55
January 30, 2002,
Page - 56 -
Emergent topics that helped focus the Summit from the SC workshop:






A Chance to Make a Difference- giving every sailor a voice
Values and Beliefs- living and inculcating our core values/guiding principles
Empowerment- supporting learning, growth, and development of everyone
Transformational Cooperation- bridging boundaries and making connections
Great Teams- being part of something larger than yourself
Innovation and Bold Risk Taking- creating enlightened leadership
Stakeholder Map from the Steering Committee:
The Leadership Summit: Stakeholder Map
Chief of Naval
Reserves
Reserves
Fleet/ForceCMCs
& MSGTs
Marine
Corps
(MEF)
UN
Numbered
Fleets
State Dept
Community
Managers
Detailers
N7
N1
N8
Recruiting
Technologists
Group
CMDRs
Ships, SQDRNs,
SUBs, units
Staffers
Retirees
CINCs
TYCOMs
Ashore
Congress
Citizens
CNO/OPNAV
MCPON Panel
Operations and
the Fleet
Union Leaders
Policy/Decision
Makers
SECRETARIAT
Families
Teachers
SECDEF/Joint
Staff
SYSCOMs
MWR/ Family
support
DLA
Staff, Support, Education
& Training
CNET
Industry/
CEOs
Policy/Decision Makers: 16%
CEC
Staff, Support, E & T:
31%
External:
04%
Total est. Participants: 280
Intel
Journalists
Red Cross
USNA
Flight
School
Legal
50%
Students
ERNT
TYCOM
ATGs
Supply
Operations/Fleet:
Allied
Navies
External
Stakeholders
The Leadership Summit
LMET
Chaplin,
metoc, ect.
Great Lakes,
A/C School
Sub
School
BUDS
Athens
NPS & LABs
Online learning
ROTC
OIS
Army,
USAF,
CG
OCS
SWOS
MSC
56
January 30, 2002,
Page - 57 -
Leadership Summit Stakeholder
Groups
External
Stakeholders
4%
Staff &
Education
30%
Policy &
Decision makers
16%
Policy & Decision makers
Fleet & Operations
Staff & Education
External Stakeholders
Fleet &
Operations
50%
Leadership Summit Groupings:
“Senator & Representative” Analogy
"Representatives"
"Senators"
2%
Flag
3%
1%
O6/O5
2%
O4/O3
20%
8%
21%
CMC
Flag
Sen Civilian
12%
67%
O2/O1
E9-E7
22%
E6-E4
CMC
20%
9%
E3-E1
Mids
5%
8%
Sen Civ
Jun Civ
57
January 30, 2002,
Page - 58 -
Leadership Summit Combined
Participant Charts
Combined "Senator & Representative" Totals
Flag
4%
2%
1%
O6/O5
16%
O4/O3
6%
O2/O1
CMC
18%
16%
E9-E7
E6-E4
E3-E1
7%
Mids
16%
8%
6%
Sen Civ
Jun Civ
Geographic & Community
Representation
Geographic Representation
Community Representation
3%
5%
16%
37%
EAST
CENTRAL
35%
12%
Air
7%
31%
15%
Surface
Sub
WEST
Staff Corps
DC
Specwar
39%
Marine
58
January 30, 2002,
Page - 59 -
“Strong Veins of Vertical
Integration”
• There are 11 “strong veins” of vertical
integration
• CVN, surface, sub, air, specwar, East &
West shore regions, 2 in CNET, BUPERs,
USNA
Note: This Summit design enabled over 11 specific chains of command to be present. This
allowed pilot projects to be born at commands that were deliberately over represented. Hence, in
these “strong vein” cases, everyone in that chain of commands – from seaman to CNO – was
aware of (or involved) the pilot initiatives that resulted from the Summit.
59
January 30, 2002,
Page - 60 -
Participant Organization Spreadsheet
CURRENT Total Number of Participants based on number in column
"Strong Veins" of vertical integration highlighted in blue
RED comments note why that person or group was selected
286
Policy and Decision Makers: Where Leadership Policy is Made
CNO & OPNAV staff:
1. Admiral Vern Clark, Chief of Naval Operations - Project champion.
1
2. Vice Adm. Dennis McGinn, DCNO, Warfare Requirements and Programs (N7)
a. N7 team—YN1 Gordon Rivers (Flag Writer)/CAPT John Pruitt (N79B)/CDR John Fristachi (N7A1)
CDR Robert Hennegan
1
4
3. Vice Adm. Norbert Ryan, DCNO, Chief of Naval Personnel (N1) - Personnel policy
a. RADM Jake Shuford, Asst. Commander, Navy Personnel Command for Distribution
b. RADM Gerald Hoewing, Commander Naval Personnel Command
c. RADM Joe Henry (N13) Military Personnel & Plans Policy
d. RDML John Harvey (N12) Total Force Programming Manpower & Requirements Div
e. CAPT Jake Ross, Center for Career Development
f. RDML Annette Brown (P6)
g. Mr. Murray Rowe (P1)
1
7
1
1
1
1
1
1
4. Vice Adm. Walter Doran, DCNO, Plans, Policy, and Operation (N3/N5) - Policy change
a. N3/N5 team
1
2
5. Vice Adm. Patricia Tracey, (N09B) - VCNO office, and exemplary leader
1
6. Vice Adm. Michael Mullen, DCNO Resource, Requirements and Assessments (N8) - $$
a. Dr. Susan Marquis (N8B)
b. Mr. Greg Melcher, (N81B)- Analysis
c. RADM Tom Church, N82- Budget
d. CAPT James McCarthy, N801- Programming
1
1
1
2
7. RDML Nancy Brown, N6 - New network structure, NMCI, new IT community
1
8. Office of Chief of Legislative Affairs - Liaison with Congress for possible legislative changes
1
NAVAL RESERVES: Parallel effort for reserves
1. VADM John Totushek, Commander, Naval Reserve Force & CMC
a. CAPT Gar Wright (N7 Reserves, Leadership Training)
2
3
NAVY RECRUIT COMMAND: Enlists our leadership raw material
1. RADM George Voelker, Commander, Navy Recruiting Command
2
60
January 30, 2002,
Page - 61 2
a. Regional NAVCRUITDIST NW recruiters (officer & enlisted)
MCPON Panel: Our senior enlisted leadership
1. MMCM James Herdt, Master Chief Petty Officer of the Navy
(Others from MCPON Panel cross with CMCs listed)
1
SECRETARIAT: Civilian strategic leadership perspective
1. The Honorable William Navas Jr. Asst. SECNAV for Manpower & Reserve Affairs
a. Deputy Assistant Secretary for Planning Programming & Resources (RDA): Mr. Bill Schaefer
1
1
JOINT CHIEFS OF STAFF: Future DoD direction, boundary crossing leadership
1. Vice Adm. Gordon Holder, Joint Chiefs of Staff (J4)
1
2
PRESIDENTIAL MANAGEMENT INTERNS from OPNAV
1. (GS-9 LEVEL) - future civlian leaders
UNIONS: Civilian leaders, and represent our civilian cadre
1. Union leaders (accounted for in ashore senior civilians)
Total for Policy and Decision Makers
46
Operations and the Fleet: Where We Practice Leadership
CINCs: The FLEET is the internal customer of the summit
1. Admiral Thomas Fargo, CINCPACFLT & CMC
2. Admiral Robert Natter, CINCLANTFLT & CMC
3. Admiral James Ellis, CINCNAVEUR
2
2
1
TYPE COMMANDERS: Where pre-deployment training occurs
1. Vice Adm. John Nathman, COMNAVAIRPAC
a. COMCARGRU & 3, with CVN (CO/XO, O5/DH, 3DOs, CMC, 3 CPO, 7 E4-E6, 3 E1-E3)
2. RADM Michael Malone, COMNAVAIRLANT & CMC
a. VF Wing Commander & 3, with SQDN (CO/XO, 2 DH, 2 JO, CMC, 2 CPO, 5 E4-E6, 2 E1-E3)
3. Vice Adm. John Grossenbacher, COMSUBLANT
a. SUBGRU Commander & 3, with Sub (CO/XO, DH, COB, CPO, 5 E4-E6, 2 E1-E3)
4. Vice Adm. Timothy LaFleur, COMNAVSURFPAC & CMC
a. COMCRUDES Commander & 3, with CG (CO/XO, 2 DHs, 1 JOs, CMC, 2 CPO, 5 E4-E6, 2 E1-E3)
5. Special guest from USS COLE (DDG-67) (From All Hands issue May 2001)
6. Force Master Chiefs form SURFLANT, SUBPAC
1
25
2
22
1
19
2
21
1
2
SPECWAR: Exemplary leadership requried, expanding SPECWAR role
1. RADM Eric Olson, COMNAVSPECWAR & CMC
2. NAVSPECWARGRU 1 & New Seal Team 7
2
8
61
January 30, 2002,
Page - 62 FLEETS AND MEFs: Train battle groups for deployment
1. Vice Adm. James Dawson, Commander SECOND Fleet
2. Vice Adm. Toney Bucchi, Commander THIRD Fleet
3. Major General Michael Hagee, Commanding General 1 MEF (2 from 1 MEF and 3 from 1 MEU-CDR, NCO,
SNCO)
ASHORE: Good infrastructure support enables leadership success
1. RADM Chistopher Cole, Commander Navy Region Mid-Atlantic & 9
2. RADM Frederic Ruehe, Commander Navy Region Southwest & 9
Total for Fleet & Operations
1
1
5
10
10
138
Staff, Support, Education, Training: Where We Teach Leadership
CNET: Viewed as a key cultural change lever
1. Vice Adm. Alfred Harms, Chief of Naval Education and Training
a. FORMC Pratt
b. CNET staff: Capt. Davis (POC/Off. Trng), Capt. Krull (LTC)
Capt. Russell (Enl. Trng), GMCS Carlton (Enl. Trng)
c. NTC-GL: CNOMC Thompson
RTC: LCDR John Shockley (XO) RDC TBD
SSC: CDR Hoffman (XO)
d. CNATRA: RADM Boyington & TRAWING/TRARON team
e. SEA: CNOMC Peters
f. CMD Leadership School: Capt. Baker
g. SWOS: Capt. Hinkley
h. SUBSCOL: Capt. Lotring
i. NATTC
j. FTCPAC: Capt Turley (ATGPAC & LANT sending others)
k. NAVSCSCOL Athens: Capt. Ruff
l. NASC/OCS: Capt. Weideman
m. NAVCHAPSCOL
n. NAVLEADTRAU: Sr. Instructor TBD
o. NETC/BOOST
p. NETPDTC: DTCM Houston
q. NPTU CHARLESTON: TBD
1
1
4
1
3
1
8
1
1
5
1
3
1
1
1
2
3
1
1
2
SCHOOLS NOT UNDER CNET:
1. Vice Adm. John Ryan, Superintendent USNA - where we incubate commissioned leaders
a. Deputy Commandant, Battalion Officer and Leadership and Ethics Chair, & 2 Mids
2. RADM David Ellison, NPS - a key personal growth juncture
a. Prof Barry Frew, Director Center for Executive Education
3. RADM Rempt President, Naval War College
4. TACTRAGRUPAC, TACTRAGRULANT - a place to learn competence
5. EWTGPAC, EWTGLANT - a place to learn competence
1
5
1
1
1
2
2
62
January 30, 2002,
Page - 63 -
SYSCOMS: Focus is on future Navy structures for leaders
1. Vice Adm. Joseph.W. Dyer, Commander, Naval Air Systems Command
2. Vice Adm. Pete Nanos, Commander Naval Sea Systems Command
3. RADM Daniel McCarthy, Commander Naval Supply Systems Command
4. RADM Kenneth Slaght, Commander Space and Naval Warfare Systems Command
5. RADM Michael Johnson, Naval Facilities Command
3
4
3
4
1
JAG: Legal barriers that may need to be removed or adjusted
1. Judge Advocate General
1
BUMED: QOL and link with Marine Corps via corpsmen
1. LT Fletcher and BUMED CMC
2
ERNT: Parallel emphasis on individual growth and development
1. VADM Lee Gunn (ret)
1
TYCOM ATGs: FLEET training interface
1. Commander Afloat Training Group Pacific
2. Commander Afloat Training Group Atlantic
2
2
FUTURE NETWORKS: Key structure driver, effects leadership roles
1. Mr. Dan Porter, DON CIO
2. VADM Richard Mayo, new IT CZAR Don't need, have N6 and other IT folks
3. Capt Jim Newman, CRYPTO, IT, NSA
1
0
1
ONLINE LEARNING EXPERTS: Expanding learning resource
1. Dr. Bernard Ulozas, NAWCTSD
2. CDR Susan Higgins, NPS
1
1
Total for Staff, Education & Training
82
External Stakeholders: "Customers" of Navy Leadership
Technologists: Cysco, NetAge, Virtual Teams
Other organizations using AI: Roadway, Learning Circle
NGOs: United Religions, City of Coopertino
High School students: People thinking about joining
College Students: People considering the Navy
Total for External Stakeholders
STEERING COMMITTEE MEMBERS NOT INCLUDED ELSEWHERE IN LIST (RDML Moeller
CAPT Davis, Maj Buckles, FT2 Gill)
Total Estimate
17
17
4
287
63
January 30, 2002,
Page - 64 -
The Steering Committee, now chaired by Vice Admiral Harms, is committed to ensuring that the
pilot projects proposed at the Leadership Summit have support. The Steering Committee will be
re-convening to act as a support agency for the pilot projects that need assistance, as well as
monitor other projects that are already up and running. It is envisioned that the Center for
Positive Change will assume part of this role.
The support of the ideas generated out of the summit will not only come from the Steering
Committee, but hopefully will find support from all members of the summit as they return to the
fleet and share the projects with their commands. Admiral Clark, CNO, is personally committed
to seeing the proposed ideas come to fruition.
“This Leadership Summit itself is a pilot program and I am please with results we achieved.
However, this is a process, not just an event. I am committed to supporting the continuation of a
journey to make our Navy and everyone who is a part of it the very best. By continuing the
dialogue that was started here, we can and will encourage others inspired and to dream.” (Adm.
Clark, December 6, 2001)
64
January 30, 2002,
Page - 65 -
Interview Team
An important part of the Leadership Summit process included a deliberate effort to search for
and discover examples of outstanding leadership happening in our Navy today. The purpose of
this is to highlight what is happening when our people and Navy are operating at their best.
Over 300 leadership stories were collected and submitted in September 2001 by the Leadership
Summit Interview Team. A sample of the entire spectrum of the Navy was explored - vertically
from seaman to admiral, and horizontally from aviation to surface, sub-surface, specwar,
Marines and staff corps.
Seven important themes about great leadership emerged after an intense review of the stories.
These themes are presented with examples of leadership stories that illustrate each topic. We
offer them to you as potential realms of expansion, to ignite our imaginations to consider how we
might enliven our entire leadership culture.
65
January 30, 2002,
Page - 66 -
Acknowledgements of Interview Team Members
We would like to thank the following members of the Interview Team who volunteered their
time to be a part of this important effort. The insights we gained from reviewing them would not
have been possible without the extra effort they made to find and submit these great leadership
stories:
NC1 Zak Carpenter
ET2 (SW) Christopher Clarke
LTjg David Cullasi
CMDMC (SS/SW) Kevin Davis
CAPT Rick Davis
PNSN (AW) Joey Evans
MS1 Wilbur Fifield
LTjg Donald Freeman
Mr. Roderick French
LTjg Mike Kalinski
LCDR Yancy Lindsey
LT Jose Marrero
MM1 (SW) James Meagher
LT Keith Moran
Mrs. Carol Newell
LT Benjamin Nguyen
LT Jason Parkhouse
Mrs. Daira Paulson
AE2 Chris Pohlson
YN1 (SW) Chris Reed
LT Mark Reyes
NC1 Paul Stewart
LCDR Harold Valentine
Mr. Michael White
YN2 Amie Williams
CAPT Wayne Young
Thank you very much!
66
January 30, 2002,
Page - 67 -
Seven Themes of Outstanding Leadership
Empowerment: Entrusting Sailors with Responsibility
When people feel entrusted by their superiors, it frees them to take autonomous action. The
experience of being entrusted with responsibility is often transformative, especially for the
younger officers and enlisted. It not only instills a sense of confidence, it also inspires and
invigorates them. In many stories, when a senior person expressed confidence in them or put
them into situations that were challenging or “over their heads,” it actually enlarged their self
concepts. They began to see themselves as competent and able to meet new challenges. They
tend to remember these experiences for the rest of their careers and often draw upon these
influential leaders as models for their own behavior. Below are a few stories that illustrate the
benefits of empowerment.
*******************
A LTJG submariner was near completion of his underway qualifications. Although he did
not yet see himself as “ready” to meet this particular challenge, his CO entrusted him with
responsibility and tacitly expressed his confidence in him.
I was a young officer, qualifying as Officer of the Deck on a submarine. The sequence we went
through was to qualify as Officer of the Deck Surfaced and then as Officer of the Deck
Submerged. I was in the process of qualifying as Officer of the Deck Surfaced. I had already
qualified as Engineering Officer of the Watch, Conning Officer, and Dive Officer. I had been
involved in this process for some time, and already had many items signed off in my
qualification book - requirements completed. I had stood a number of watches under instruction
on the bridge. And one night I was standing the watch with the Engineering Officer, a LCDR.
It's 0200, it's the mid-watch. There was a bright moon, and it was a reasonably peaceful surface
transit. There weren't a lot of [radar] contacts, though that was an area that usually had a lot of
surface traffic. The water was too shallow - it just wasn't deep enough to dive. The Officer of the
Deck, about half-way through the watch, calls down to the control room to look for a qualified
relief to come up and give him a break so could go below and make a head call. For some
reason, the C.O. was the person who answered the phone. And the Engineer explains to the C.O.
that he's looking for someone to come up for a little bit so he can make a head call. And the
C.O. says, 'Engineer, turn over the watch and come below.' And there was a pause - and the
Engineer said, 'Turn over the watch?' And the skipper said "Yeah, turn over the watch to your
Under Instruction and come on below. He can take it for you for the rest of the night.' So we did
a full turnover and went below, and it's just me and the lookout up there in the bridge, steaming
along in the middle of the night…and there I was - Qualified. What struck me was the
tremendous amount of confidence the skipper must have in me. He didn't have to do that. He
was obviously taking some degree of risk. But he was willing to do that based upon, I assume,
my demonstrated performance up to that point onboard the ship.
*******************
67
January 30, 2002,
Page - 68 -
A First class Petty Officer recalls an early experience of being entrusted to work without
being “monitored” or “micro managed.” This inspires him to mentor others and shapes
his view of leadership.
While onboard USS Oldendorf, I was an ET3 at the time. A Leading Petty Officer had a huge
impact on my approach towards leadership. I was the only radar technician onboard at the time.
The ship was called into duty for the Persian Gulf War. I recognized my LPO's "make it happen"
mentality and I felt empowered by the idea of being able to work on equipment without being
monitored all the time. Each day the LPO would tell his people what he needed done, and he
would let them do it without micro-managing the
task. The LPO instilled in me the idea that I just had to work hard and take care of my
equipment, and that I would always receive support from him. This made me want to mentor
junior personnel and increase my responsibilities early on in my career.
*******************
This is a story from a young aviator discussing his first deployment in a squadron. His CO
entrusted him to make a briefing to the entire Wing as a representative of his squadron.
His CO insisted that this young man be stretched to meet this challenge even though he had
no prior experience. He could feel the CO’s confidence in him. 28 years later it still stands
out as a high point in his life.
I can remember [it] 28 years ago as clear as I can remember it today. I finished the Training
Command and went through the RAG. I had done well. And, because of that, I was selected to
go to a deployed squadron. It was pretty challenging for this old farm boy - strapped my seabag
to my back and flew over to WestPac. I flew into Clark [AFB] and took the jeep down to Cubi. I
was met there by a couple of JOs and we jumped into the jets and flew out to the USS Ranger
that was on station in the South China Sea. I happened to be replacing the fellow who flew with
the skipper of the squadron. That was kind of an intimidating experience. Once again, it was
one of those opportunities. It
provided me with an opportunity like I never would have imagined. First of all, there were a lot
of Roll Aids because I was young, new, and inexperienced. The C.O. had a gift of making you
feel truly a part of the team and giving you an opportunity to grow. We finished up the
deployment an we came home. But the real event was probably two months into the turnaround.
There was going to be an all Air Wing meeting. We were stationed in Whidbey and the meeting
was somewhere in California. We were going to discuss new war-at-sea tactics. We were just
getting into the war-at-sea business. Our squadron had done a little bit of work [on war-at-sea]
during the deployment and we were going to give a presentation to the entire Air Wing. And I'll
never forget the day when the skipper came in and said, 'you are going to give the presentation.'
At that stage of my life it was a pretty big event to stand in front of the Ready Room and brief a
section or a division. And here I was going to brief the entire Air Wing. It was certainly a
nervous moment in my life. I worked hard. I studied. I knew that I knew the material. But what
that C.O. did was....he was so supportive despite the fact that I was a little peeved at him for
making me do this horrible thing. He had the vision to know that young people had to
68
January 30, 2002,
Page - 69 -
stand up and grow. He worked with me; he critiqued the briefing; and, he never wavered an
inch. To see his confidence and lack of concern that I would fail in front of the Air Wing - he
was completely confident that it would do just fine. Of course, during the briefing, he was up
there in the front row with all the C.O.s. And there were a couple of times that I glanced at him he was as calm as could be. You know at some point it begins to rub off on you. If your boss has
that much confidence in you, and you respect him like I did this person; well, maybe you are
doing O.K. And of course it went fine. At the end, there were a couple of tough questions that
came up and I was able to answer them. There was some discussion at the end. But I'll tell you
what - at the end of that I felt like King Kong. I couldn't believe that I had this opportunity. I
succeeded and it was because the C.O. believed in me, empowered me, worked with me, and he
showed unwavering confidence that I was going to be successful. What an empowering tool that
is.
*******************
69
January 30, 2002,
Page - 70 -
Risk Taking: Treating Errors as Learning Opportunities
Since influential leaders stretch people beyond their comfortable reach, they know that
mistakes, discrepancies, and miscues are inevitable. They have a sense that if they are going
to encourage people to take risks then they need to treat errors as a very important source of
learning. In these stories, leaders seem to have a sense that embarrassment, shame, and
humiliation are not conducive to learning, growth, and development. People who have
experienced leaders who supported them to take risks and did not punish failures, were deeply
impacted by these leaders. Later in their careers, they are more confident to seek innovative
solutions.
*******************
This story describes a young OOD who crashes a ship onto a pylon while getting underway.
The CO used the incident as a learning opportunity. He comes away with a new sense of
the meaning of accountability, responsibility, and leadership.
Being outside my community on the PC, it's a big ship… big ship life. I think it's a big ship of
course, everyone else coming from a real ship they think it's small. Anyway, I had the
opportunity to qualify for officer of the deck underway. We got a new CO we were unsure of
him at first because our previous CO was great. At the change of command we didn't know if he
was going to change everything around on us. What he did for me personally, he gave me the
opportunity to pull the ship out, no real big deal. We were in Costa Rica and I'm pulling away
from the pier and all of a sudden there's this on setting wind that came blowing in on us. Just as
I was going by this pylon and it blew us over and I scraped the pylon. It hit the side of the ship.
There was a crowd of people on the pier watching, you know the entire local's come down to see
the U.S. Navy ship leave. I looked at my CO; he was standing there looking at a five-foot nasty
gash in the port quarter. After the hit we got away from it and continued out to sea. I was
expecting to just get my but slammed right there. He looks at me and goes "What are you going
to do now? " I'm like, "transfer control to the pilothouse" because we were getting out into the
channel. So, I left my station out on the bridge wing where you drive the ship when you get away
from the pier. On the bridge I looked at him, he was looking at me just waiting. I could see it in
his eyes by the way he was looking at me. He was thinking, "So you messed up, continue on".
I'm thinking… I just waxed his ship hard and he still showed me he had the confidence in me to
continue on with the job. Then he debriefed me afterwards. Then he gets on the 1MC and tells
everybody he owes everyone a case of beer because he hit the pylon. Even though I was driving,
he's the one that's responsible he was standing out there with me. I tell you what, I learned a lot
from that, the accountability of a CO, I trust him. Out of all the SEAL's and all the boat guys I
have worked with, this is a regular SWO officer who has his entire stuff in one sock. I'll never
forget him.
*******************
70
January 30, 2002,
Page - 71 -
A former Department Head on the LEYTE GULF describes a CO whose approach enabled
people to learn from both their successes and mistakes.
I can think of two people that always operated in a way that enforced the idea of empowerment
and leadership by example. I don't know for sure if they realized it or not, but they ultimately
were the reason why I tried to operate day to day in that same fashion. One was the CO of the
LEYTE GULF. He gave us the authority to carry out the job in the way that we thought it
should be carried out. Even sometimes when we were wrong in our decision making, and he
even knew we were wrong in some cases, he still allowed us to continue on with our processes,
and see the problem through. I feel that is the only way you can really learn is to make mistakes
and see the real results of those mistakes. It's possible to correct too early, or to correct by
giving the typical "shotgun blast in the face" that most of us are in some way familiar with. If
someone is tracking every little move you make in your job, how do you learn or grow to make
your own decisions? As a result of this method, I can easily say that I learned the most from this
CO. We also knew that whether a decision was good or not, we knew we would come out with a
lesson learned, and without the fear of retribution for any mistakes made.
*******************
This story describes a situation that could have been the end of someone’s career, but that
person has since gone on to make Rear Admiral. It highlights tremendous empowerment
and bold risk taking on the part of the individual’s CO at the time.
Yeah, I can think of a CO of a DGG that I was on... At the time I was transferred to Hawaii and
at that point in time probably every two out of three Engineers were getting fired. We were at
time where in the early seventies where Engineering got away from us in the Navy. We are now
going through the nuclear mentality of getting things back together and establishing the
Engineering boards and so forth to come and inspect you. It was a significant element of the
CO's reputation if one of these boards came aboard and gave you a bad grade and so what often
happened the CO's would turn around and fire their Chief Engineers in some cases as scapegoats
and in other cases just because they were not up to task of getting through these, they were called
PEB, Propulsion Examining Boards. At that time they were all done by the nuclear community
and were very, very stringent inspections. We were getting ready for ours in Norfolk, oh excuse
me Hawaii. About a week and half before we had ours, I had a young enlisted man that lined up
the eductor system backwards and flooded out the Engineering space! As I remember there were
upwards of twenty electric pumps that were all ruined because of the flooding. The flooding in
and of itself was enough for the CO to fire me and that was what was happening at that time.
But not being able to make the operations propulsion examination test would surely make a
black mark on the ship. So the CO called me up to the his stateroom and instead of telling me
that I was fired, which is what was happening to a lot of people at that time, he said I want you
to go down to the Engineering space and I want you to come back and tell me, and give me a
plan that will get this ship through OPE on time. In other words get those 20 pumps fixed and
back on track in a week and half. And I went down and did that. We needed this much done by
the tender; this much done by the shore activity and it is going to cost this much money, so on.
And he took the plan and went and over defended it on the waterfront. To make a long story
short we got all the pumps repaired and we got the OPE on time and we passed with one of the
71
January 30, 2002,
Page - 72 -
best inspections of the year. It is all because of the way the CO handled the situation. Instead
of firing me he used the situation as a way of turning it around and making it a positive situation
by bringing a positive outcome.
*******************
This describes an example of an LPO who stood up and supported a young sailor who had
made serious mistakes. Because he was willing to stand up and act as an advocate for him,
this young sailor is afforded another chance.
When I was a first class petty officer I had a young third class that worked for me, he had some
problems, he was a young kid that worked his tail off, busted his butt. He was a great operator
on deck; it was on an amphibious ship that had cargo booms, boats, and different things. Very
busy and a work demanding ship. This young kid was very motivated to work hard he did a
great job but he had a little problem with drugs. This was just when zero tolerance started, this
kid had been to an admin separation board and the admin separation board basically turned the
case back to the command. And said," It was up to the CO". It was his decision whether this kid
stayed in the Navy or got out. I went to the CO and I shared some of my personnel experiences
in life with him and what I had overcome, and what I thought this kid could do if he were able to
overcome his problems. I asked if he could give him the opportunity to try that, the CO did. The
CO listened to what I had to say and he gave that kid the opportunity to do well and he did. The
kid did a great job, he overcame his problem on the ship, actually his problems were not the ship
but on liberty. He over came those problems and exceeded everybody's expectations. I kind of
look at the fact that if there were not people looking out for me when I was a young man in the
Navy that I definitely would not be where I'm at today. This is not a one-man show, there's
nothing about the military that's a one-person deal. It's about people trying to take care of
people. When we say take care of people it's not about babysitting or hand holding, it's about
saying, "hey, we are all human beings". Not everybody can go though life without having some
challenges and difficulties but if we can provide guidance to people maybe they can possibly
overcome some short falls. We should do that, so that's my deal.
*******************
This story describes a CAPT who was working for a future CNO. She and her team were
tasked with a short fuse requirement. The response she got her from the Admiral was
unexpected and a valuable lesson.
The whole time that I served as the enlisted planner, the Admiral was the CNP. He had a very
different approach to staff assignment from almost anyone that I have ever worked for. I
remember that we had a budget mark that came from NEH shop and typically it came Friday
night and they had to have it answered by Monday or they take the mark where they wanted to
take and so we crunched over the weekend. And one of our going in assumptions was that we
would never repeated the things that happened in 1988 and all of us who happened to be in key
positions at the time, had come into the jobs in 1988 and in 1988 the Navy froze promotions. So
that people who were on promotion list were waiting 18 to 20 months to actually pin on their
72
January 30, 2002,
Page - 73 -
rate. We froze promotions because we did not have money to pay for the full personnel
accounting. That was one of the actions that we chose to balance the books. We just froze
promotions of both enlisted and officer personnel, with the exception of Flag Officers. And so
we had as one of our rules that we would not repeated one of those kinds of very visible
personally very negative actions as a way to balance the books. So we worked all weekend to
propose to the Admiral a series of options, which would not require anything as visible as
delaying promotions. And we were very proud of this product, we had it hand carried to his
home on Sunday night. He came in to work on Monday and called us all into his office and lined
us all up and said, I asked my best people to do this and you failed me. Which is a pretty
devastating thing. His issue was that he intended to fight this. And he did not expect people who
were responsible for the health of officer and enlisted populations of the Navy, simply to have
rolled for a budget cut that meant that you were going to undo a personnel strategy that we had
put in place and had sold to the CNO and he did not expect us to come forward with the
arguments to accommodate this, he expected us to come forward with the arguments as to why
we could not accommodate this. And we quickly turned that around. But I think that you get so
much into the budget mindset in headquarters that you forget that there are outcomes that your
suppose to be worrying about. And you get so involved in making the books balance it is sort of
like a siren song to just kind of get clever at how to make the books balance instead of being
worried about at the end if you are accomplishing what you set out to do and whether there are
bright lines that you should draw and not let a budgeteer or a policymaker push you over that
line and whether you should be pushing back. And I think that any anybody who was in the
team at that time, most of us went to major command from there, I think that we went to major
command very differently having worked for him then you would have otherwise.
*******************
73
January 30, 2002,
Page - 74 -
Promoting Learning and Supporting Development;
The Experience of Being Mentored
People remember and value leaders who support their learning, development, and
advancement. People are deeply impacted when they experience leaders who take the time to
notice their potential, who deliberately select them and mentor them. These mentors often
guide them through obstacles and challenges. When people experience mentors who invest
time and energy in them, they are touched by these experiences and often a strong
camaraderie and loyalty develops.
*******************
An E-9 Cryptologist recalls a Chief who took him under his wings, saw his potential, and
guided him. This level of personal mentoring helped him build self confidence and a sense
of professionalism.
I'll tell you - the transformation in my career… I was in Guam. It was my second tour. I was
still a Third Class, which was indicative of how poorly I was doing, because most of the CTMs
by that time were Second Classes. I was in trouble, XOIs, the whole nine yards. This young
Chief - he'd just been frocked to Chief - brought me into his office and goes, 'I'm going to make a
sailor out of you.' My attitude at the time was not very positive. For 90 days, the guy started
with my haircuts, went to my uniforms, then my personality, and definitely molded me into a
sailor. He didn't do it in a manner that was belittling. He was compassionate, but very forthright
about where I was messing up. The way he handled that situation, or that transformation was the
way I feel that every Chief needs to handle the problem [sailors] within the organization. I'm a
firm believer that if it can work for me, it can work for others. And instead of just seeing a
troublemaker who worked hard, he saw someone who could be successful." " His approach - he
never let up. The guy rode me hard. You know it can be frustrating for a young guy with my
attitude at the time. But it was just the way he handled every situation. You know, 'Go get a
haircut Penick.' The next day I'd come in and I wouldn't have a haircut. He'd say, 'Well if you
don't want to go get a haircut, let's talk about EMI and let's talk about Regulations this afternoon.'
And at the end of that little session, he would say, 'Go get a haircut before tomorrow afternoon,
or we can spend more time discussing regulations.' Honestly, by the time it was all over, I knew
the uniform regulations very well. But it was just that constant mentoring. I started trying to
make a change - got my hair cut, squared away my uniform, shoes shined - the superficial part.
Then he started on the professional part where he would take me into the Department Head or
Division Officer and have me address issues about equipment, or what was going on in the
calibration lab. So he started making that transition - making me more professional. Being an
old southern boy from the back woods, I had that attitude that I didn't need to be professional and
all that. He helped me through that by mentoring. It was a hard road. . . I think when I got the
superficial part squared away; I started carrying myself more professionally. I was more proud
of my appearance, and that led to more professionalism on my part. This transformation didn't
take place in those 90 days. I actually saw the benefit of it in my next tour.
74
January 30, 2002,
Page - 75 -
*******************
Early in his career, a Special Warfare E-7 was surprised to be mentored by someone who
came from a very different background and appeared to be an unlikely mentor. However,
he made a deep and lasting impression on him.
I had been on the ship about four months. I was 17. There was an air crewman, an E4, who was
named Marlin Smith. He was across the aisle from me in the three-stack coffin-racks on the
ship. We didn't actually work together but we shared a berthing area. One evening he just
started talking to me and asking where I was from and the like. I was impressed because he was
from the south. I wasn't the stereotype black person he was expecting. And he wasn't what I was
expecting for a white person from Georgia. I didn't really think we would get along but we did.
He took me under his wing and showed me how to work within the Navy was -- the things I could
do and the things I couldn't do, and the things I should strive for while I was there. He took me
under his wing because he said he liked me. This mentoring was a good experience for me very
early in my Navy career. I could always rely on Marlin. He lived by his code and told me it was
important to set your standard and to live by it throughout your life. It wasn't so much what he
said as it was the way he acted. He was reliable. He was the rock. He was consistent.
Whatever he said today was the same thing he said tomorrow. He had an honor code. If we set
a time, he was there. And if for any reason he couldn't be there, and it had to be a major reason,
he would call you. He didn't have debts. He didn't go around drinking and partying and carrying
on. He wasn't a religious person -- he was just a very fair and dignified person. He came from
a really good family and took me to his home for a visit. I saw Marlin years later and told him
how all the things he told me, the things he had helped me with, had influenced me as a person -to be fair and to have integrity. He had invested time in me and he had no idea where I would
end up. I've carried the things he taught me as a young sailor with me all my life. It was good.
*******************
A Lieutenant SWO was deeply impressed when a new CO empowered his people to make
their own “leadership decisions.” He watched people in the wardroom grow and develop
under this mentoring style.
I was forward deployed to Bahrain as Operations Officer onboard USS DEXTROUS (MCM-13).
The MCM community had previously operated with Rotational Crews where a crew would take
a ship for 6 months in Bahrain, and then be relieved by another crew. My crew was the last
rotational crew and would assume duties as permanent crew DEXTROUS in May of 2000. Our
CO, a commander, would soon be relieved by our new CO, an LDO LCDR with 25 years
service. Our former CO was very hands on and wanted to be informed of EVERYTHING and of
every decision that was made down to the smallest detail. Our new CO however, had a
completely different style. The beginning of his tour was very frustrating for him because he
was tired of his officers coming to him to request permission for the simplest of tasks. He wasn't
frustrated with his officers, he was frustrated with the idea that his officers didn't feel
comfortable making leadership decisions without his permission. He sat down the whole
wardroom one day and explained his philosophy behind leadership. He empowered each of us
to make decisions because as officers, that is what we're paid to do. He still wanted to be kept in
75
January 30, 2002,
Page - 76 -
the loop, but he didn't want minute by minute updates on things as they happened. We saw a
growth in our wardroom that was unparalleled as a result of this shift in leadership thinking and
we were more effective as a result.
*******************
A Petty Officer experienced a CO who took a personal interest in his crew, was eager to get
to know them personally and provide mentorship. The Petty Officer recalls him as an
outstanding influence.
I had this Captain on the USS FOX (CG) whose father was also previously the captain of the
FOX. He honestly believed that the USS FOX was the best ship in the fleet. He believed it was
the best ship because of the crew. He conveyed his pride and belief in the ship in everything he
did or said. I was a chief at the time. He was so interested in knowing the crew that he decided
to set up a one on one lunch program. He wanted to eat lunch and talk with at least one chief or
one junior officer a week. He then placed a sign-up sheet outside of the wardroom. At first, no
one wanted to sign up. Everyone was intimidated or scared to eat lunch one on one with the
Captain. I finally signed up. That was the last time I signed up and got to see him quickly. The
next time I went back to sign up, the list was so long that it would have taken months to get a one
on one with the Captain. Everyone had quickly caught on. The Captain had established his
belief in the ship and was intent on being a mentor to all of the junior officers and chief petty
officers. He always spoke his mind and was always firm in his belief that his crew and his ship
were the best in the fleet.
*******************
76
January 30, 2002,
Page - 77 -
Providing Opportunities – The Experience of Mentoring Others
Leaders sense that some of the most important (and rewarding) contributions they make in
their careers are the moments they invested in others development, learning, and growth.
*******************
This story describes a Commanding Officer who saw potential in someone whose “play
hard” approach apparently got the better him occasionally.
I was on my way out of the Navy. Don't get me wrong, I enjoyed my job, I was good at it; but I
did not believe that the organization, on the whole, was for me. More to the point, I was a poster
child for the idiom work hard - play hard. It was the play hard that got me in a little trouble here
and there. Somehow my CO saw something beyond the immaturity and cynicism. Over my tour
with him, he reassigned me to new positions in all three departments each time, dramatically
increasing my authority and responsibilities in the respective department. My final transition
was to assume the billet of Chief Engineering Officer. Though I never truly thought I would fail,
for the first time, I had my doubts. He showed a lot of faith and confidence in me the day he
called me to his office and said, the Cheng will be leaving us, and I have chosen you to take his
place. After the fact he told me that it was the first time he saw a glimpse of humility in my face.
Needless to say, the CO had brought me up right. He was a gifted mentor. I had a lot of
exceptional people working for me, and I was lucky time and time again. But the remaining time
I served as Cheng was a turning point in my life as a company man. Its what made me decide to
stay in the Navy.
*******************
A Chief tells a story about a Command Advancement for one of his people.
One of the biggest impacts I made in a person was when I CAP’d a guy here at the
command…he was a third class at the time. His name was Johnny Smith he was working in
training. He was working way above the third class level. He should have been second class,
even a first class. We were able to have him command advanced and it was just amazing the
impact it had on him. It just seems like it motivated him beyond his already high efforts, and he
just took off and kept going. He turned out be our best second class and when he left the
command he was a first class. I wanted to do what the other chiefs that I used to work for did for
me as far as “taking care of the guys.” I think that's one of the most important things we can do,
it brings benefits in the end. When your people know that your taking care of them they will be
motivated to get the job done for you. It's one of the things that I feel the chain of command for
people need to follow threw on, and use those tools that the Navy has available to help our
people. Weather its MWR, Family service center, or command advancement program. These
are the quality of life issues that actually help people. It made an impact on me, and now I want
to make an impact on them.
77
January 30, 2002,
Page - 78 -
*******************
A CO recalls the traits he saw in excellent leaders and illustrates them with a good sea
story.
I worked for a number of excellent leaders. They all had similar traits: they are tolerant of errors,
they believe in letting junior people try to explore new roles and responsibilities. They give
people a chance to fail and learn from that…to fail, in ways that does not hurt them or the
command, opportunities to grow but at the same time keeping an eye on them. These leaders are
confident enough in themselves to let their junior people flex their wings. Once during "National
Week" in the '70s, on an auxiliary vessel, our CO let two people in the wardroom work out a
battle plan against the USS AMERICA (the auxiliary ship played the role of a Soviet vessel) that
allowed them to maneuver in such a way that they surprised the carrier and completed a mission
against it. Once, during this exercise they were at top speed when a destroyer detected them.
The destroyer was surprised and could not catch them (the destroyer only had one boiler lit off),
they blew past it going 30 knots! The CO did not interfere, though he was a bit nervous about
the plan. Still they pulled it off. The CO gave them the opportunity to do things like that…an
opportunity to surpass themselves.
*******************
A First Class Petty Officer describes the chance she was given to step up to increased
responsibility and how much she learned from the experience professionally and
personally.
About a week after being frocked as a Second Class Yeoman I was given the opportunity to go
TAD to fill a YN1/YNC independent duty billet at sea that had been gapped for over eight
months. The most significant factor of this experience was the fact that my LPO and department
head believed that I would be a success filling this challenging billet. My hard work ethic and
quick learning ability contributed to their decision to send me. I view this assignment as a good
learning experience that challenged me to succeed - for myself, my LPO and department head.
That give me the opportunity as a junior second class with only three years in the Navy to prove
to myself and to my superiors that I have what it take to step up and succeed. I receive my first
Navy and Marine Corps Achievement Medal for that assignment and out of the three NAM and
one NCM I've earned, I am most proud of the one I received for that assignment. I admire and
respect my LPO and Dept Head for having me prepared. Both my LPO and Department Head
instilled in me the value of being prepared to take on any challenge within my rate. They
allowed me to get involved with every aspect of the office so I would learn my rate and be able to
take on any assignment in case of their absence. Once I proved I could work well with little
supervision, they gave me the freedom to take on most projects on my own.
78
January 30, 2002,
Page - 79 -
Opportunities to Excel
People value the unique opportunities that the Navy provides in their life. When people have
opportunities to excel and a chance to make a difference, this contributes to a higher
individual sense of purpose and meaning. This sense of belonging to something larger than
oneself creates commitment to each other and the Navy. This raises intrinsic standards of
excellence and motivation to “not let one’s shipmates down.” With higher successes comes an
increase in self-confidence, and a personal sense of achievement.
*******************
A LTJG describes a defining moment for him when he is suddenly given a position of
significantly increased responsibility.
I was on my first tour onboard LHD-1 (USS WASP) as Main Propulsion division officer. This is
a steam plant so there's a lot to learn both technically and administratively. I had been onboard
for about 18 months and had just received my SWO pin. I worked directly for the Main
Propulsion Assistant who was an O-3E with 22 years in service. He was a former Machinist's
Mate Senior Chief so he knew an awful lot about steam plants. Our Chief Engineer had just
turned over to our new Chief Engineer, a 27 year LDO LCDR who in his own rights "knew
everything there was to know about steam plant engineering." We were on our way to New York
for Fleet Week '99 and things were going very well in the department. Without any indication,
our DCA, a fairly senior LCDR fell ill to epilepsy and had a serious seizure onboard. He
ultimately had to be medically discharged. Two nights prior to pulling into New York, the
CHENG called the MPA and me into his stateroom to inform us that I would now be the MPA,
and the MPA would now assume duties as the DCA. His reasoning for the change was that I was
the most knowledgeable steam officer onboard and that he liked the way I ran my division. I had
suddenly inherited another division of 45 people, plus an Oil Lab of 8 personnel. I went back to
my stateroom in shock and in fear of taking the job. However, after a few hours of terror, I
realized what an honor it was to be chosen. I went on and did very well in the job for my last 6
months without incident. I later told the CHENG just prior to rotating to my next command that
his decision had meant a great deal to me in my career. It gave me the confidence that I
previously did not have.
*******************
A Supply Officer describes a chance he was given to become an instructor, despite not
having a favorable recommendation from “the system.” He later went on to discover that
the CO who gave him the opportunity was a superb leader who initially saw something
special in him.
When I transferred to the Navy Supply Corps School, my arrival was not exactly what you
would call a welcome one. Due to some differences I had in my past in the Submarine
Community a bias had been communicated to Captain Ron Thomas, the CO of NSCS at that
79
January 30, 2002,
Page - 80 -
time. The CO was told not to take me onboard as a staff member. The CO disregarded this
advice and took me anyway. I guess he wanted to develop his own opinion of me. When I
checked on board and had my initial interview with CAPT Thomas, I expected the same kind of
interview that I had received so many times in the past. The quick 5 minute hello, do a good job
until you leave type of interview. When I sat down with the Captain, however, I received the
most comprehensive welcome infused with history of the command and instantly made to feel a
part of the command vision. I walked out in complete amazement and that great feeling I had
lasted for the rest of CAPT Thomas's tour until he retired. Captain Thomas, with the help of the
command developed his vision of the Navy Supply Corps School into a dynamic, living breathing
vision that reached from the top of the command all the way to the most junior enlisted on base
including civilian personnel. The base felt alive. From the time I walked onboard I felt it. When
I walked out of that welcome interview I knew exactly why. From day one I felt like an integral
part of a great team and empowered to act as the officer that I was. Throughout the next year or
so until CAPT Thomas retired, this living vision was supported by everything we did on base.
We tailored our actions to support the command and in essence, the Navy. During our monthly
vision update meetings, the CO would articulate his proud feeling to the entire command and
detail how we were tracking towards greatness. We truly felt a part of a great team, and indeed
we were! The CO's, and thereby command's, vision was uplifting and positive. The CO would
comment on how great it was to be in Athens. His comments such as “The speed bumps were
put on the base streets to slow me down as I come in to work in the morning” and “If you can
smile until ten o'clock in the morning in Athens, the rest of the day just seems to take care of
itself,” were inspiring as we went off to do our daily work. The CO's actualization was being
translated completely into the members of the command. I can honestly say it was the first time
I had really felt a complete team concept and a command moving forward in concert since I had
been in the Navy, twenty-four years, that in itself was moving. When I would see the CO on
base just walking about checking out progress and other things, he would stop and chat and ask
those questions about family and job that just make you feel a part; valuable. Captain Thomas's
attitude and behavior were the perfect model of positive energy and supported completely the
vision of the command. Needless to say, the next year came and it was time for a change of
command at NSCS Athens. We had a traditional Hail and Farewell to bid our CO a fond
farewell as he was retiring the next month. We did the usual mingling about the party, all
avoiding the culmination of the slightly happy yet somber occasion, when you are about to lose
someone whom you have grown to count on, respect, and emulate. I made my way over to
Captain Thomas and bid him my farewell. He accepted and then pulled me aside. I will never
forget the words he said to me and will probably never feel as much a part of a team or
organization again. “Gene, I wish I had spent more time with you. I learned a lot from you and
could learn so much more.” We actually broke down and expressed our thanks that our paths
had crossed at all. After all, I was not even recommended for a job at NSCS Athens. I was glad
I had decided to come to Athens despite what others said about me. I think that Captain Thomas
was glad he did not follow the advice of his fellow senior officers. I can say that I learned a lot
from him and with pride say that I taught him something too, although I didn't even know it!
*******************
80
January 30, 2002,
Page - 81 -
An E-2 reflects on getting through a challenge at Boot Camp that shaped his confidence for
working at his current command.
During battle stations in boot camp we were getting near the end of the training evolution. We
were on the second to last thing, which was the obstacle course. I was on the first team of two
teams, one team would go one way and the other team would go the other way. The instructors
would make up scenarios as you go threw on the course, you would put to use everything you
learned in boot camp to make it threw the scenarios. The person that was leading the group was
having trouble getting everybody past a certain obstacle, so the instructor told that person, "You
have 30 seconds to get the people threw or your dead." 30 seconds came and went and we were
still standing there so the instructor pointed at me and said, "you! your in charge,” and I stepped
up and got us threw the obstacle course. The influence that I think I had was to step up and take
the challenge and getting us over the hump that was keeping us from finishing the obstacle
course. We eventually ended up being the only group that finished the course that day. Being
able to step up under pressure and making the right judgment and think through the problem.
That was something I learned that day, that built my confidence up and at the time that's what I
needed. [Now talking about his current command] I really admire warrant officer Jones, when I
first got here he asked me,” what would you like to do? What classes would you like to go to?
What do you want to get from this command?" You're not going to get it unless you ask for it.
He's given me the opportunity to take classes that I might not be able to take at other commands.
Him and Senior Chief Smith are working to help me improve in the IT field. He is one of those
guys who is on the ball, and really takes time out to help me when I need it. I'm one of only five
E-2's at the command, and when I do a good job he's always there to say "Good job". He lets me
know when I did a good job and that gives me a lot of incentive.
*******************
A first class Petty Officer describes coming back from deployment, and his feelings of pride
and sense of accomplishment.
But I think the moment when I felt the most alive and really just a visceral tangible sense of
accomplishment had to have been coming back off deployment on the ENTERPRISE. We
deployed in early 1996 thru June 1996 through December, and at the beginning of the
deployment, before the deployment had happened, I had managed to qualify as engineering
officer of the watch. I was a second class petty officer at the time; I had qualified as a
engineering watch supervisor for the ENTERPRISE, an extremely rare thing to do on a nuclear
power plant, and then I was designated as the watch supervisor for our operational reactor
safeguards exam, which would take place at the end of the cruise. I also became the leading
petty officer for my division, which in all reality was the leading petty officer's position, because
of the other things that the LPO was doing. So I had operational control of my division, 30 some
odd people - throughout the entire cruise. And I remember as I pulled back off deployment, I
had just put on first class, I'm standing on the deck of the ENTERPRISE, we're manning the
rails, dress blues, it's December 20th or 22nd, just before Christmas, we had just come back off
deployment, and I'm thinking back as we're pulling into Norfolk after a long transit. You're
standing there on this amazingly large ship, you're in dress uniform, fresh first class crow on my
arm, and you can't help but reflect on the 6-month deployment you just did. And I remember
81
January 30, 2002,
Page - 82 -
thinking, I had accomplished everything that an enlisted nuclear operator could have ever have
hoped to accomplish. I had run a division of some of the most highly, technically competent
people you could have ever imagined. We had been resoundingly successful, and it had been
great in my opinion. It was very much my accomplishment to have gotten our division through
what we did. I had come through as a second class petty officer through an operational reactor
safeguards exam, where I'm in a room with chief petty officers taking exams, going through
interviews, standing watches and going through drills, and I had done it, and not just done it
enough, but well. I had made rate quickly, I was finally, I felt, getting paid for the job I was
already doing, and I just remember the sense of pride I had. And that included accomplishments
that the command had had. We had been on station in the Adriatic, flying missions over Bosnia,
when there was a call to transit to the Gulf at best speed. And the ENTERPRISE on that cruise,
set a record for the speed of transit between the Mediterranean and the Red Sea, and it had been
done under extremely intense pressure. Some of the worst watch standing conditions you could
imagine - 140 and 150 degree temperatures in the engine room, people rotating in and out. I
remember, we came through the Straights of Hormone, and we were proud of the fact that as we
cleared the Straights, we hadn't even secured from the Detail, that we began shooting planes. We
were ready, we were On Station, we were there. And everyone onboard the ship felt a sense of
pride, and I know as I came back off of deployment, it was just that visceral sense of “Look
What I Did.” I've done everything you could have expected, and more. It felt great!
*******************
82
January 30, 2002,
Page - 83 -
Appreciation and Recognition
By appreciating individual strengths and recognizing accomplishments, leaders advance the
potential of people. At this level of personal attention, leaders build relationships with the
people around them. For some, a sense of family develops. Emotional support, such as
caring and compassion, become important behaviors that leaders provide.
*******************
This story describes the interaction of a young sailor and his Department Head about a
recent family tragedy. It was a very important moment for the sailor and defined the
character of the leader he sought for consolation.
I have a friend. He is a retired Rear Admiral who is now teaching at the war college. He was a
LT and my Department Head onboard the USS Henderson DD-785. In those days, the Navy was
a little different - that it didn't care too much about people - it didn't seem like it. Our ship was
unusual and I thought he was an unusual person. I thought that he was too nice of a person to
succeed in the United States Navy - I thought you had to be a real jerk in order to be a successful
naval officer because I seen a lot of them. Our Executive Officer was one of those JERKS!!! My
mom had died and we were somewhere near Japan and I was not able to go home for various
reasons and it didn't matter anyway - there wasn't anything that I could do. My department head
was the one I wanted to talk to -he was a NICE person!!! So first of all he was professional and
said, "Gooch I'm happy to talk to you but you should inform your division officer." - so I did so.
My department head and I was sitting there talking and making me feel better. I'm only a third
class petty officer and 19 years old and he was an “OLD man” - 27 years old who was utterly
superior. Anyway the phone rang and it was the Executive Officer who was yelling at him. He
said, "I'll be there in a little while - right now I'm talking to Gooch." And hung up the phone! It
happened about 40 years ago but I've never forgotten it because he was attending to something
that he thought was important - namely my grief and was willing to take the time to do that
despite other stuff that was going on. I never forgot that and revered him. I tell this story to LTs
in the intermediate officer leadership course because some time small acts like that will do it.
*******************
A LT talks about a time when he chose to critique and debrief the positive aspects of an
inspection vice his peers’ traditional negative only approach.
This is a short story, but really shows the effects of positive thinking. I felt good that even in a
normally negative environment a positive thought can bring the right perspective into view and
help to realign people's thinking. I was the staff supply officer for a submarine squadron. We
were running drills on one of our boats during REFTRA. Generally, during the drill debriefs
most comments are angled towards deficiencies: He did this wrong, didn't follow procedures for
doing this or that. That kind of stuff. Well, as we were debriefing and it came to my turn to
83
January 30, 2002,
Page - 84 -
speak about the drills I had witnessed I felt that the person whom I was following during drills
was actually doing quite well given the circumstances and his nervousness. I made my
comments in a positive light; focusing on those things which he did correctly. The other officers
on staff were surprised and confused. This was not how a traditional debrief went in the hightech, nuclear powered submarine world! They asked me to tell the things the sailor did
incorrectly. I said he did do some things wrong, none of which were even significant in the
larger spectrum of the drills so I chose not to focus on them. I thought he carried out his actions
correctly and could hone his skills, but in reality if he spent the time to correct them then those
skills he already had mastered would slip. I felt he was a good watch stander and the things he
needed to improve on would develop in time. The others started to argue as I broke down their
deficient-focused style of debriefing. The argument continued moving from the ships drill set to
the principles of leadership and quality and all kinds of things. The Commodore was sitting in
the room listening to all of this and allowed the officers to go on for some time before he spoke.
When he spoke, he issued a simple statement. He said, “Why can't we do that more often?” As
the silence fell over the room, I felt that someone had actually listened to the voice of reason.
*******************
A high point for one Senior Chief in the Surface Community occurred when he was
personally recognized as having the best work center on the ship.
The first time I felt that I had contributed and made a difference would have been right after I
made First Class Petty Officer. The LPO (Leading Petty Officer) at the time was a twenty-year
TM1 who did not seem to care, in fact I remember the joke about him being on the ROAD
program (Retired On Active Duty). We had no CPO and a Division Officer that had washed
from flight school and blamed the Navy for all of his problems. The Division was responsible
for the cleaning and maintenance of approximately 30 spaces. With 30 E6 and below personnel
you would think that this would be an easy task. One of these passageways that we were
responsible for was used by the CO numerous times throughout the day in his travels around the
ship. The CO had had expressed his dislike with the condition of the passageway to the
Department Head on what seemed to be a daily basis. Finally the Department Head laid down
the LAW to the Division Officer who in turn laid it down to the Division. He said that he was
going to replace TM1 as the LPO, and if the replacement did not get the job done he would
continue down the line until someone could. The Division Officer called me in to his office
where he told me that even though the Division was not thought that highly of, my work center
was, and probably was the best work center on the ship. He then asked me if I could handle the
LPO position and help keep the CO off the Department Head’s back. I eagerly answered ‘yes’
and set out on my task. I accomplished the mission, but what made this so special for me was
that the CO personally sent me a hand written letter on command letterhead stating how he was
impressed with the change in the Division and to keep up the good work.
This story describes a hard working seaman who had been stymied by the Navy
advancement process, and is finally recognized in a very dramatic manner.
When I took over the reigns as First Lieutenant, I found I had a leading seaman who was about to
burst with untapped potential. He was smart, articulate, squared-away in appearance and
84
January 30, 2002,
Page - 85 -
knowledge, and had all the makings of a fine petty officer. He wanted to go to IT A School, but
I found out that he had been denied this opportunity for reasons I considered unjustified. After a
few months, he finally received orders to this school. It was the happiest day of his life.
However, after three years in the Navy, he was still an undesignated seaman. This was
decimating his self-esteem. Some peers originally in Deck with him were already second-class
petty officers. Luckily, the command recognized his outstanding qualities and on the day before
he checked-out, bound for Great Lakes, the Captain promoted him to third class petty officer in
the Command Advancement Program. He broke down in front of the whole crew, an emotional
display of pride, joy, and the indescribable feeling of overcome frustration. He was a whole new
person. For the little time he had left with us on HIGGINS, he didn't stop smiling. I knew his
family back in Georgia was very important to him and that separation from them was
aggravating, so I wrote his mother a letter. In this letter, I thanked her for raising such an
outstanding son. I told her of his accomplishments and their importance to himself, the ship, the
Navy and even the United States. I told her she should be proud. I'm not sure what has become
of Petty Officer Morgan or my letter, but I hope he never forgets the high regard in which my
command and I hold him. It was wonderful to see a command recognize such a great Sailor
when he needed it most.
*******************
85
January 30, 2002,
Page - 86 -
Theme: Teamwork
Teamwork is a powerful aspect of the Navy experience. Leaders working side by side with
their people enable high quality teams. Personal interaction, respect, and honesty create
conditions where traditional boundaries of rank and rate are transcended.
Team
accomplishment leads to an increased sense of personal achievement, meaning, and
contribution to a higher purpose.
*******************
The “Shooter” on an Aircraft Carrier describes his division and their success in dealing
with a potentially major setback shortly after deploying for Desert Storm. At the end, he
observes the difference in the leadership approach that made him, his division, and the ship
successful.
I was working as a catapult and arresting gear officer. I was sitting at home a few days before
Christmas and we are supposed to go on deployment in 3 or 4 months. We get the call that our
aircraft carrier is going to Desert Storm and we're leaving two to three days after Christmas. We
went out there and this ship of people just clicked. Everybody had a job, we were very focused
on what we had to do. The paperwork went away. The political stuff that I don't enjoy very
much went away. It was go out, work 18 - 20 hours a day, you did your job. During that time, I
had worked my way up to division officer in charge of all of the catapult and arresting gear. It
was a big job. There were 150 people and they were all young kids. They just did their job,
they worked hard, and they didn't get in trouble. They knew what they were supposed to do.
And that's when I felt like I was serving my country and doing what I was trained to do. But
more importantly, everybody on that ship felt that way and they did their job. Morale was high.
The events on the ship went smooth. The first day, we lost the arresting gear wire - it broke.
We needed that arresting gear wire; it had to be fixed. Usually it takes a special team of
professionals including civilians to come out and fix it, and my guys fixed it in five days working
24 hours a day. I had never seen anything like that. In other communities, if we had had an
accident, we all would have stopped, we would have had safety stand-downs, and we would have
talked about it for a while. But 5 minutes after this accident, we were launching and recovering
airplanes; it was kind of an amazing thing. These were all very young kids that probably didn't
have much of a choice on what job they were going to do. It's a hard job; it doesn't take a lot of
smarts, but it takes a lot of brute strength. And they just needed somebody to kind of watch out
for them and protect them. And I think that it wasn't just me, but all the "shooters" (catapult and
arresting officers) watched out for these guys. And they played hard and they worked hard and
we recognized that. And I think we were successful because we just kind of watched over them
and protected them. But what I noticed that was different about the air department, were the
khakis (the chiefs and officers) worked and stayed up and we were with our guys - out there
getting dirty with them. Whereas anywhere else I had been, the officers and the khakis, you land
your airplane and the officer leaves and the enlisted guys stay out there and work for another 2
or 3 hours on your airplane. And I never really like that, but that was just the way it was. But
on the ship it wasn't that way. You worked side-by-side and I think they appreciated that. The
guys that didn't do that - and there were a couple of "shooters" that didn't do that - they weren't
as successful, their divisions weren't as successful. Their guys didn't work as hard for them.
86
January 30, 2002,
Page - 87 -
And that was true for the air division. And there's lot of divisions where the officers and khakis
were, in the eyes of their men, up to the task, so to speak, had proved their metal in terms of how
hard they were willing to work and what they were willing to do.
*******************
Despite a dramatic setback, the crew of this ship – lead by the CO – came together to make
a bad situation a successful, positive, learning experience.
Before my second West-Pac aboard the COMSTOCK, we were in the middle of work-ups and
the ship failed our CART II inspection. Life suddenly changed and our working hours were now
0530 to 2000 Monday-Friday, and sometimes on Saturday. As much as this made a damper on
our lives, we all were highly motivated and never once cursed the fact that we gave up our time
with our families and friends. What was even more significant about this was that the Captain
kept the same hours as we did, and was out there with us working the drills we had previously
failed. It was a joint ship effort, which paid off to the extreme. I was just a seaman at the time,
and seeing the CO actively participate with us, that was teamwork. My personal qualities were,
and still are, if there is a specific reason or a mission critical experience that has to be done, then
there are reasons to change your life around to make time for the Navy. We all kept each other's
spirits up, and motivated one another throughout. Everyone played a certain role, whether they
were a 04 or an E-1, everyone had a part.
*******************
A LCDR aviator describes the great team effort his whole squadron made to prepare their
new “home” upon arriving in Aviano, Italy for the air war over former Yugoslavia
I was part of a tremendous team effort that left a lasting impression on me. My expeditionary
EA-6B squadron showed up in Aviano, Italy to participate in the Kosovo air operations. We
were shown a broken down, unfurnished, uninhabited hangar and spaces that were to be our
temporary home. There were a million things that needed to be done in a short amount of time.
Everyone in the squadron jumped right in and began to transform our situation and spaces into a
useful, productive, performing experience. The squadron CO and XO did not try to manage
every little situation, action or event. They intervened when asked or when they perceived they
could help knock down barriers. It was amazing how proactive and resourceful squadron
members became when allowed to perform their jobs with the full trust and support of their
leadership. People want to be part of great teams and to know that their input is valued and
vital.
*******************
87
January 30, 2002,
Page - 88 -
The interviewee in this story, a Surface Warfare LT, describes a training team that he led.
Although he points out the qualities of the team experiences, what he is really describing is
his own good leadership.
I was a Chief Engineer and I was leading the Engineer Casualty Control Training Team of Senior
and Junior enlisted. I had a great team. Our job was to train the other watch-standers and
basically conduct drills on them. Our team was good in that, when we sat down, even though I
was the senior guy, we took off our rank when we sat down and discussed things. And we
weren't afraid to discuss what went wrong or who screwed up. We wanted to learn from the
mistakes and move on. It was a great team in that we were honest with each other, and we did
show respect to each other, but also, respect didn't get in the way of giving an honest opinion of
what we were there to do. They didn't tell me what I wanted to hear. They told me what they
saw. I thought I had a real good team and this helped us when we went through our Operations
Propulsion Plant Examination. For the first time, we finished the exam in about 30 hours. It was
a 3-day exam and we were the first ship in a couple of years to pass it right off the bat and do it
that fast. A lot of that was because of not just the team, but also the entire engineering
department.
*******************
Prepared by:
Dr. Frank Barrett, LCDR Dave Nystrom, LT Paul Tripp and CAPT Mark Zipsie, USMC
88
January 30, 2002,
Page - 89 -
Interview Protocol for the Leadership Summit Interview Team
Name ____________________________________ Date _________
Designator / community _____________
Phone _________ email __________
Rank/ Rate _________________________________
Years in Navy _____________
Source of commission (for officers) __________
Interviewed by ____________________________________
Opening:
As you know, these are interesting times for the Defense Department, some might even say
turbulent times. And yet the US Navy is one of the largest organizations in the world and has
thrived for over 200 years. We have proven our resilience. As we move into the future, we need
to be able to identify and capitalize on our strengths and capabilities.
Thank you very much for participating in this process of gathering information for this special
study. You have been invited to participate in a study to learn about and understand the best of
Navy leadership. We are conducting interviews with Naval personnel from various
communities and levels of the organization. These interviews are part of an intensive effort to
discover what is happening when we are operating at our best. In particular, our goal is to
locate, illuminate, and understand the distinctive values, practices, and skills which are in
operation when the Navy is operating at its best.
As part of this process we’re looking at the following: what are the core factors that give life to
this organization? What can we learn from our experiences, especially if we examine closely
those moments when we have been at our best? What are the Navy’s most effective practices
and core strengths — those things we should try to preserve, even enhance, as we move into the
21st century? Building on this, what kind of Navy do we want for the future? What are some
small changes we could make that would have a big impact? Finally, what bold changes could
we make that would have an impact? We will be asking you and others questions along these
lines. The information you provide in this interview will be used to contribute to the Leadership
Summit to be held 3-6 December, at the Naval Postgraduate School.
How the interviews will be used:
We are planning to interview approximately 500 people from throughout the enlisted rates and
officer ranks between August and October 2001. The stories and collected comments that you
and others share will be compiled in a report and will be used to shape the design of the
Leadership Summit. The Leadership Summit is an innovative conference in which
representatives from all levels and branches of the Navy will meet to discuss the future of the
Navy. (I can leave you with a brief description of the Summit at the end of this interview.
89
January 30, 2002,
Page - 90 -
Our website, http://www.cee.nps.navy.mil/NewSite/leadership_summit.htm also has additional
information. We anticipate that this conference will generate many proposals and initiatives that
will have a lasting impact on our organization.
All comments from this and other interviews will be anonymous. Names will not be attached to
any of the stories, suggestions, examples, or comments made.
The Nature of this Interview:
I will be asking you a number of questions about your experiences in the past. This is a unique
kind of interview and I’d like to explain how we want to frame it. We know that we all have
ups and downs, peaks and valleys in our career. The questions I will ask you will be focusing on
your peak experiences, those moments that were for you and others the most positive. It will
help if you can recall and focus on concrete stories from your past, concrete incidents based on
the topics I will be asking you about. It might take a few moments for you to recall a story.
That’s fine. Do not feel rushed or pressured to come up with a grand story. There are no “right”
answers. Sometimes we achieve great insights from even the simplest events.
I will be taking notes during this interview and also may be tape recording it.
(Note to interviewer: please ask questions I-III, IX, and X of everyone. Choose at least two of
the subtopics IV-VIII in each interview. As you plan your group of interviews, please rotate the
subtopics to make sure that you cover each of them in at least two interviews).
I. Beginning: Initial attraction
To begin with, we would like to learn about your beginnings with the Navy, the first time you
were drawn to this organization.
1. What first attracted you to the Navy? Why did you join?
2. As you began your Naval career, what were your most positive impressions?
90
January 30, 2002,
Page - 91 -
II. Making a difference:
As you look back over your entire career in the Navy, think of a moment when you felt
particularly successful, a time you had an influence on the outcome of something that was
important, a time when you were effective in making a difference that mattered. It could have
been a creative idea you imagined or an action you initiated. Perhaps it was something that made
a difference to one individual. Or perhaps it was something that impacted your unit’s mission.
What’s important is that this is a moment in which you felt most alive, most involved, effective,
impactful, in which you felt you made a difference. Tell the story of what happened.
-What was going on?
-What factors made this a significant experience?
-What was it about you, your personal qualities that contributed to this?
-What others were involved and how were they significant?
-What was it about the condition, system or organization that helped make this such an important
and successful experience?
III. Values:
1. Yourself: We’d like to know about things you value deeply; without being humble, what do
you value most about yourself — as a human being, as an enlisted / officer? What would others
(boss, peers, direct reports) say are your best values as a leader?
2. Work: When you are feeling best about your work, what do you value most about it?
3. The Navy: What is it about the Navy that you value? What is the single most important thing
that the Navy has contributed to your life?
91
January 30, 2002,
Page - 92 -
SUB-TOPICS IV-VIII
IV. Empowering others: supporting learning, growth, and development:
1. Good leadership empowers people by supporting their growth and development. This often
means seeing someone’s potential and capacity even more clearly than they see themselves. Can
you think of a time when someone provided an environment that allowed you or others to learn,
to experiment, to take risks?
What was going on?
What was it about the leader that you value most in this story? Describe his / her qualities.
Hint: you might search for a time when the leader gave someone else the authority to accomplish
a task even though they had not previously demonstrated competence, but then the person
delighted the leader by their exceptional performance?
2 . Can you think of a time when you supported someone else’s growth and development, when
you saw their potential and supported them to go beyond their previous limits?
What was going on? Tell the story: (Probes: what lead to this? How did you persist in keeping
a positive image of potential? What were the outcomes?)
92
January 30, 2002,
Page - 93 -
V. Cooperation: Bridging across boundaries and making connections
To make any significant innovation, one must be able to connect people across departments,
levels, and specialties. We would like to learn what makes that cross- boundary cooperation
work. Think of a project or a time when you’ve been part of cross boundary cooperation that
resulted in some outstanding achievement. Tell a story and share the insights of what it takes to
be effective doing this.
1. Can you think of a time when you saw someone achieve a kind of transformational
cooperation between disparate groups -- a time when diverse groups were brought together in a
way that achieved coordination?
(Hint: we are trying to understand how someone achieved coordination and cooperation in spite
of bureaucratic boundaries).
2. Can you tell a story about a time you bridged boundaries to bring multiple parties together?
Tell a story of what happened.
VI. Great teams:
It is important to build a spirit of trust and teamwork. We want to understand what it means to
be part of a great team. In your experience in the Navy, describe the best team effort you’ve
ever been part of.
What was it about that group that made it an exciting community to be a part of? How did that
group function to support each other?
93
January 30, 2002,
Page - 94 -
VII.
Innovation and Bold risk taking:
Can you think of someone in the Navy who took a bold and innovative risk?
-Tell the story of what happened?
-What was the outcome?
-What were the factors that allowed it to happen?
VIII. Appreciating, valuing, and enlightened leadership:
One of the most important job of a leader is to appreciate: to notice moments when someone is
acting at their best, to recognize and notice potential, to remind members of who they are and
what they are capable of.
Recall a leader you have known who did this well. What was it about him / her that you value
most? What impact did it have on others?
Think of a time when one of your colleagues or superiors recognized your capabilities and it
made a difference to you?
IX. Examples of outstanding leadership:
Think about other leaders you have admired in the Navy. Can you think of a story or an
example that stands out for you, something that exemplifies the kind of leadership approaches
we should aim for more often?
94
January 30, 2002,
Page - 95 -
Envisioning the future:
Tonight when you go to sleep, you have a very deep, deep sleep, and wake up 4 years later. It is
2005. When you arrive at work, you begin to notice that the Navy is as you always imagined it
could be — the way you believe it ought to be. In terms of Naval leadership, describe what you
see happening. How is it different? Describe what is going on in 2005 that exemplifies the ideal
Navy you have always imagined.
If you could change or transform the Navy in any way, what three things would you do to
heighten the overall health and vitality of the organization?
What single small change could we make that would have the biggest impact in improving the
Navy right now?
What bold change could we make that would have a big impact in improving the Navy?
Would you be willing to meet again if we are interested in a follow up interview?
95
January 30, 2002,
Page - 96 -
Summary page:
(To be filled out by the interviewer immediately after the interview).
Your name (the interviewer):
Date of Interview:
Interviewee’s rank / rate:
Interviewee’s community:
Is this interviewee someone we might want to contact for a follow up?
What was the most quotable quote that came from the interview?
What were the two most compelling stories that came out of this interview?
detailed description of each story (in first person).
Please write a rich,
Please save your stories in “plain text” format (.txt). Submit your summary page electronically
to LT Paul Tripp; email: pbtripp@nps.navy.mil
Interview Hotline: LCDR Dave Nystom (831) 656-3631
96
January 30, 2002,
Page - 97 -
Consent Letters for Conducting Interviews
PARTICIPANT CONSENT FORM
(International Review Board Approved)
1. Introduction. You are invited to participate in an interview, which is a key part of an
initiative called the Leadership Summit, sponsored by the Chief of Naval Operations. This
interview is designed to collect stories of outstanding leadership. Thesis Students LT Paul
Tripp, USN and Capt Mark Zipsie, USMC will analyze your stories, and many others, to find
common themes and will use your leadership stories as part of their thesis work at the Naval
Postgraduate School. Additionally, the best stories gathered from you and other participants
will be used to create a booklet of exemplary leadership stories as a read ahead for the
participants at the Leadership Summit, 3-6 December. We ask you to read and sign this form
indicating that you agree to be a part of this project. Please ask any questions you may have
before signing.
2. Background Information. This research is sponsored in part by the Naval Postgraduate
School, Center for Executive Education, and Professor Frank Barrett.
3. Procedures. If you agree to participate in this study, the interviewer will explain the tasks in
detail. There will be one interview session lasting approximately one hour. If necessary the
interviewer may schedule additional time to complete the process.
4. Risks and Benefits. This research involves no risks. The benefits to the participants is an
opportunity to share their best story of positive leadership with the US Navy, and learn about
the upcoming leadership Summit.
5. Compensation. No tangible reward will be given.
6. Confidentiality. Your interview information will be known only to the person who conducted
your interview. No information will be publicly accessible which could identify you as a
participant unless you later volunteer to be video taped relating your best story for viewing by
participants at the Leadership Summit.
7. Voluntary Nature of the Project. If you agree to participate, you are free to withdraw from
the project at any time. You will be provided a copy of this form for your records.
8. Points of Contact. If you have any further questions or comments after the completion of the
study, you may contact the research supervisor, Dr. Frank Barrett, (831) 656-2328, or the
project coordinator, LCDR Dave Nystrom (831) 656-3631.
9. Statement of Consent. I have read the above information. I have asked all questions and
have had my questions answered. I agree to participate in this project.
---------------------------------- ----------------------------------------Participant’s Signature
Interviewer’s Signature
Date
97
January 30, 2002,
Page - 98 -
Minimal Risk Consent Statement
NAVAL POSTGRADUATE SCHOOL, MONTEREY, CA 93943
RISK CONSENT STATEMENT
Participant: VOLUNTARY CONSENT TO BE A RESEARCH PARTICIPANT IN:
Interviews to gather stories of outstanding leadership.
1. I have read, understand and been provided "Information for Participants" that provides the details of
the below acknowledgments.
2. I understand that this project involves research. An explanation of the purposes of the research, a
description of procedures to be used (interview), identification of experimental procedures (N/A), and
the duration of my participation (1 hour) have been provided to me.
3. I UNDERSTAND THAT THIS PROJECT DOES NOT INVOLVE RISK. I have been informed of
any reasonably foreseeable risks or discomforts to me.
4. I have been informed of any benefits to me or to others that may reasonably be expected from the
research.
5. I have signed a statement describing the extent to which confidentiality of records identifying me will
be maintained.
6. I have been informed of any compensation and/or medical treatments available if injury occurs and is
so, what they consist of, or where further information may be obtained (N/A).
7. I understand that my participation in this project is voluntary, refusal to participate will involve no
penalty or loss of benefits to which I am otherwise entitled. I also understand that I may discontinue
participation at any time without penalty or loss of benefits to which I am otherwise entitled.
8. I understand that the individual to contact should I need answers to pertinent questions about the
research is Dr. Frank Barrett, (831) 656-2328, and about my rights as a research participant. A full
and responsive discussion of the elements of this project and my consent has taken place.
______________________________________________
Signature of Interviewer
Date
______________________________________________
Signature of Volunteer
Date
______________________________________________
Signature of Witness
Date
98
January 30, 2002,
Page - 99 -
Privacy Act Statement
NAVAL POSTGRADUATE SCHOOL, MONTEREY, CA 93943
PRIVACY ACT STATEMENT
1.
Authority: Privacy Act of 1974, U.S.C 552A
2.
Purpose: Collect stories of exemplary Naval leadership to use in the Leadership Summit
process. The purpose of the Leadership Summit is to improve leadership and leadership
development in the U.S. Navy using Appreciative Inquiry and the Large Group Intervention
methodology.
3.
Use: Information given will be collected in the form of stories and analyzed to discover
common themes. Compelling stories may be used to form a booklet of outstanding
leadership examples. Use of the information may be granted to legitimate non-government
agencies or individuals by the Naval Postgraduate School in accordance with the provisions
of the Freedom of Information Act.
4.
Disclosure/Confidentiality:
a.
I have been assured that my privacy will be safeguarded. In all cases, the provisions of the Privacy Act
Statement will be honored.
b.
I understand that a record of the information contained in this Consent Statement or derived from the
project described herein will be retained permanently at the Naval Postgraduate School or by higher
authority. I voluntarily agree to its disclosure to agencies or individuals indicated in paragraph 3 and I
have been informed that failure to agree to such disclosure may negate the purpose for which the project
was conducted.
c.
I also understand that disclosure of the requested information, including my Social Security Number, is
voluntary.
________________________________________________________________________
Signature of Volunteer Name, Grade/Rank (if applicable) DOB
SSN
Date
__________________________________
Signature of Witness
Date
99
January 30, 2002,
Page - 100 -
Interview Team Feedback and Lessons Learned
1. Connecting during the introduction, personally with interviewee
2. Listen intently to identify follow up possibilities
3. Paraphrase and adapt introduction. Intro did not work and was impersonal
4. POD note prior to interview to provide background
5. Create Comfortable informal environment
6. Steer towards the positive
7. Explain basics of the process before the interview
8. Positive questions help people drop cynicism
9. Take time for responses
10. Stress that there is no right answer
11. Some questions provide answers to others
12. Use personal examples to keep things moving
13. Use read ahead package or the introduction up front
14. Bulletize notes and come back to key points
15. Be flexible and bounce around questions as required
16. Tape recorder was critical to capture verbatim responses
17. Promote rambling and keep interviewee talking
18. Believe in project and project positive karma
19. Develop rapport up front. Get to know the person
Group discussion from the Interview Team feedback session much focused on time limitations.
The group felt almost unanimously that one hour was not enough time to conduct an interview.
In fact, it took nearly a day to conduct two interviews with proper documentation. They felt
some of the questions and sub questions were redundant and unnecessary. Additionally the
group worried that the answers from the first question would be passed on to recruiters (not true).
We eventually decided that questions 1, 2, 3, 9, and 10 should be completed for each interview at
a minimum.
100
January 30, 2002,
Page - 101 -
The Leadership Summit Workbook
The Leadership Summit
Bold and Enlightened Naval Leaders at Every Level
Forging an Empowered Culture of Excellence
“Appreciative Inquiry is not hyping yourself into a corner and telling yourself that the world is
going to be better. The value of Appreciative Inquiry is that it is a methodology to create
change…We need a more enlightened and knowledgeable leadership.”
--Admiral Vern Clark
Chief of Naval Operations
“All that is meaningful grows from relationships; it is within this vortex that the future will be
forged."
--Ken Gergen,
In Realities and Relationships
“The central task of leadership is to create an alignment of strengths such that weaknesses are no
longer relevant.”
--Peter Drucker
A business short on capital can borrow money, and one with a poor location can move. But a
business short on leadership has little chance for survival.
--Warren Bennis
Leaders: Strategies for Taking Charge
“Leaders get to pick up the paintbrush and paint the future for people to walk into… and the
words leaders use to paint this picture are important.”
--Admiral Vern Clark, Chief of Naval Operations
101
January 30, 2002,
Page - 102 -
The organizers of the Leadership Summit would like to acknowledge the vision,
leadership, and support of Admiral Vern Clark, Chief of Naval Operations. Since first
learning of the Leadership Summit idea in Oct 2000, Admiral Clark has been extremely
generous of his time. In fact, his own leadership has been a constant source of
inspiration to all involved.
We would also like to acknowledge the work and dedication of the Leadership Summit
Steering Committee:
Steering Committee Members:
Vice Adm. Dennis McGinn, Deputy Chief of Naval Operations (N7)
Vice Adm. Norbert Ryan, Chief of Naval Personnel
Vice Adm. Patricia Tracey, Director of Navy Staff
Vice Adm. Alfred Harms, Chief of Naval Education and Training
RADM David Ellison, Superintendent, Naval Postgraduate School
RDML (sel) Robert Moeller, CPF, N3N5N7P
Mr. Greg Melcher, N81B
CAPT Orrin Wayne Young, Commanding Officer, SWOS
*CAPT Michael Davis, Reactor’s Officer, USS GEORGE WASHINGTON (CVN 73)
*CDR Robert Hennegan, Maintenance and Acquisitions, DCNO N7
+Maj Brian Buckles, USMC Systems Test Manager DRPMAAA
+LCDR Rob Newson, USN, XO SBU-12
+LT Robert Thompson, Surface Warfare Officer School, (Department Head Class 163)
+LT Barbara Fletcher, BUMED (Med-51)
MCPON James Herdt
Midshipman 1st Class Amy Jones, Brigade Commander USNA
MM1 (EOD/PJ) James Meagher, VSW, (SURFPAC Senior SOY)
FT2 (SS) Robert Gill, USS HOUSTON (SSN 713)
PNSN (AW) Joseph Evans, Fighter Squadron 103
*most recent recipient of the Vice Adm. Stockdale Leadership Award
+graduate of the first “30 Something” course
And to the Leadership Summit Interview Team, who volunteered their time to
interview hundreds of Navy people and discover stories of exemplary leadership.
Thank you!
102
January 30, 2002,
Page - 103 -
WHAT IS AN “AI” ORGANIZATIONAL SUMMIT?
The WHOLE SYSTEM participates — a cross-section of as many interested parties as is
practical. That means more diversity and less hierarchy than is usual in a working
meeting, and a chance for each person to be heard and to learn other ways of looking at
the task at hand.
Future scenarios – for an organization, community or issue - are put into HISTORICAL
and GLOBAL perspective. That means thinking globally together before acting locally.
This enhances shared understanding and greater commitment to act. It also increases
the range of potential actions.
People SELF-MANAGE their work, and use DIALOGUE – not “problem-solving” - as
the main tool. That means helping each other do the tasks and taking responsibility for
our perceptions and actions.
COMMON GROUND and NARRATIVE RICH INTERACTION rather than “conflict
management,” or negotiation as the frame of reference. That means honoring our
differences rather than having to reconcile them, and searching for meaning, and
direction in stories that honor and connect us to our “history as positive possibility”.
APPRECIATIVE INQUIRY (AI) — To appreciate means to value—to understand those
things of value worth valuing. To inquire means to study, to ask questions, to search.
AI is, therefore, a collaborative search to identify and understand the organization’s
strengths, its’ potentials, the greatest opportunities, and people’s hopes for the future.
INSPIRED ACTION ON BEHALF OF THE WHOLE — Because the “whole system” is
involved it is easier to make more rapid decisions, and to make commitments to action
in a public way—in an open way that everyone can support and help make happen.
The movement to action is guided by internal inspiration, shared leadership, and
voluntary initiative. People work on what they share a passion about, what they most
care about and believe with make the difference.
103
January 30, 2002,
Page - 104 -
Appreciative Inquiry
“4-D” Cycle
Discovery
•
Our Changing World
World
•
Navy Positive Core
Core
•
Opportunity Context
Context
Destiny
 Pilots
 PCL Net
 Improvisation
Bold and Enlightened NavalDream
Leaders at Every Level
 Articulation of Visions & Future We Want
We Want
Forging an Empowered
on
Culture of Excellence
Design
 Principles of Leadership: “Provocative
Propositions”-Ideals
104
January 30, 2002,
Page - 105 -
Discovery: Articulating the Positive Core of the Navy
Appreciative Inquiry—Opening Conversation in Pairs
Completed by ________ o’clock
Note: Please take brief notes, and use your skills as an interviewer as you listen and go
deeper into your partner’s experiences, visions, and stories.
Question 1: High point or peak experience. As you look over your experience with
the Navy, there have been many ups and downs, peaks and valleys. We’d like you to
reflect on one of the the peaks, one of the high points. Can you think of a time that
stands out as a “high point” for you—a time when you felt most alive, most engaged, or
really proud. Tell a story that describes this experience.
What made it a high point / peak experience for you?
What was it about you and others around you that made it a peak experience? What
was it about the situation, your community, the culture of the Navy, and/ or the
leadership of the Navy that allowed you to have that peak experience?
105
January 30, 2002,
Page - 106 -
If we now had a conversation with people that know you the very best and asked them
to share: what are the 3 best leadership qualities they see in you, qualities or capabilities that
you bring to this work—what would they say?
Question 2a: Leaders you admire in the Navy. Inspirational leaders bring out the best
in people. They create opportunities that draw out the individual’s potential while
supporting the organization’s mission.
Think about leaders you have admired or currently admire in the Navy. Tell a story
about this leader, one that exemplifies the kind of leadership approaches the Navy
should aim for.
What is it about the leader that you value most in this story?
106
January 30, 2002,
Page - 107 -
2b. Organizations that are Doing it Well—Developing Bold and Enlightened
Leadership at Every Level. Think about the best organization that you have seen, heard
about, or directly experienced outside the Navy. What we are looking for are
exemplary, even radical, models—places that are attracting great people because of the
positive culture of enlightened leadership at every level. Share what you know or have
heard of the exemplar organization and its approaches to leadership or leadership
development. What characteristics do you most admire in this organization and its
leaders, and why? What is it doing? How? With what benefits?
2c. Promising Innovations and Revolutions in Practice at the Navy-- For Developing
Bold and Enlightened Leadership at Every Level. Building an empowered culture of
excellence requires innovation and change, and there are many projects, initiatives, and
bold pilots happening all over the Navy. Some of the innovations are small, some are
large. But small or large, the good initiatives need to be singled out.
As you think about our topic--building bold and enlightened leadership at all levels--what
initiatives, pilots, practices, or innovations stand out to you as most noteworthy--things that
have high potential for helping us build an empowered culture of excellence with bold and
enlightened leadership at every level?
Please name the innovation, describe its strengths and potentials, and share where it is
happening
107
January 30, 2002,
Page - 108 -
Question 3: Creating a Leadership Culture that “wins the war for talent.” A strong
leadership culture is one that is vital and attracts and “magnetically” retains high
quality people. In our efforts to win the war for talent in the future, what kind of
culture does the Navy need to create and nurture? What will the best people want from
us, not now, but in the future? What will they be looking for?
Question 4: Visions of the future: creating “an epidemic of positive change”. Tonight
when you go to sleep, you have a deep, deep sleep and wake up 5 years later. It is 2006.
While asleep, major positive changes happened. When you arrive at work, you notice
that the Navy has become what you always hoped it could be – the way you believe it
ought to be. It is exciting to see. Describe what you see happening—things that are
new, different, or the same but even better. What is the culture like? Talk about what is
going on in 2006 that exemplifies the ideal Navy you have always hoped for.
108
January 30, 2002,
Page - 109 -
In summary now: If you could change or transform the Navy in any way, what three
things would you do to heighten its overall health, vitality, and capacity to perform its
mission?
109
January 30, 2002,
Page - 110 -
SELF-MANAGEMENT and GROUP LEADERSHIP ROLES
Each small group manages its own discussion, data, time, and reports. Here are useful
roles for self-managing this work. Leadership roles can be rotated. Divide up the work
as you wish:

DISCUSSION LEADER – Assures that each person who wants to speak is heard
within time available. Keeps group on track to finish on time.

TIMEKEEPER – Keeps group aware of time left. Monitors report-outs and signals
time
remaining to person talking.

RECORDER – Writes group’s output on flip charts, using speaker’s words. Asks
person to restate long ideas briefly.

REPORTER – Delivers report to large group in time allotted.
110
January 30, 2002,
Page - 111 -
Discovering the Resources in Our Community
Purpose: To appreciate and welcome each other, and to learn about special experiences,
visions, capabilities, and resources people bring to this summit
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
Steps:
1. Share highlights from what you learned about the person you interviewed.
Focus on question # 2 & 5. Go around the table. Introduce your interview
partner—focus on highlights from their “high point” story and visions for the
Navy. Everyone gets introduced.
2. Assign a recorder to listen for patterns and common themes for both—for the
high point stories and beginning visions of the future of the Navy in 2011.
Recorder makes two lists—and reporter is ready for 3 minute report-out:
High Points: Common themes
******
Visions of the Future Navy 2011
NOTES: (for your own use)
111
January 30, 2002,
Page - 112 -
Discovering and Articulating the “Positive Core” of the Navy:
When are We at Our Best-- in terms of Bold and Enlightened Naval Leaders at Every Level and
Forging an Empowered Culture of Excellence—and Why?
Purpose: To share the most powerful, future-relevant, and inspiring stories of bold and
enlightened leadership and to discover all the factors in the stories contributing to
“forging an empowered culture of excellence”.
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
Steps:
1. Share stories and discoveries from questions 3a & 3b.
2. As stories are shared, identify all the factors—the root causes of success-- that
make possible bold and enlightened leadership at every level. As you listen to
the stories listen for best practices, leadership qualities, structures, processes,
programs, relationships, values and beliefs, resources, technologies, training, etc.
that cause or support success.
3. Be prepared for a 3-4 minute report: reporter should share one exemplar story
from your group, and your analysis of up to ten “root causes of success”.
112
January 30, 2002,
Page - 113 -
NOTES:
Stories about Bold and Enlightened
Leadership at Every Level
Factors that make possible forging an
empowered culture of excellence—things that
are causing, creating, or supporting bold and
enlightened leadership at every level. These
factors can be at the individual level, or work
unit level, or organizational level (for example,
current programs or initiatives that are
effective and should be recognized).
113
January 30, 2002,
Page - 114 -
Stories from Our External Stakeholders & Friends
Roadway, Cisco Systems, Shell
1. What did you find most important or exciting? What was it about those
examples or ideas that particularly interested you?
2. When you think about the community or part of the Navy of which you are
connected, what kinds of things would you like to see happen to create a more
empowered culture of excellence ?
3. What do these stories say about the future—about what people will want
organizations to be like in the future? Are there things you heard that would be a
stretch for us, but might be worth testing for getting ready for the future? What are
some things we might consider testing or piloting?
114
January 30, 2002,
Page - 115 -
Dreams and Visions of The Future
Ideal Future Scenario of the Navy We Most Want
PRESENTATIONS ARE DUE AT ________________O’CLOCK
Purpose: To imagine a future you want to work toward.
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
1. Put yourself 10 years into the future—it is 2011. From the perspective of the
community you are part of and the whole, visualize the Navy you really
want-- as if it exists now. What is happening that is new, better, different— as
it relates to Bold and Enlightened Naval Leaders at Every Level and Forging
an Empowered Culture of Excellence
2. Many changes have happened in the ten years that have passed. So now
envision the positive changes, pilot projects and larger projects, innovations,
and accomplishments since 2001, with possible reference to (you choose—
these are simply examples):
----Nature of leader-follower relationships (what does this look like in the future you
most want?)
 Quality of life “positive command culture”—what is it?
 Quality of leadership education, research, development?
 Organizational practices and structures creating empowered culture?
 Decision making, and planning processes?
 Work groups and teams?
 Levels of retention you want and why?
 HR (e.g. performance appraisals) practices?
 Uses of technology, networks, e-learning and sharing of information?
 Revolutions in training?
 Relations between Navy and others?
 National images and reputation you want—what makes the Navy become a magnet
for good people
 Change readiness and methods for increasing change capacity
 Communications practices
 Other highly desirable features, you choose!
115
January 30, 2002,
Page - 116 -
Spend enough time to imagine concretely the Navy leadership and culture in which
your group wants to see. This is an exercise in imagination and dreaming – of the kind
of Navy you want to work toward.
3. On a flip chart, brainstorm the major challenges that you had to overcome,
and the opportunities you worked with.
4. Choose a creative way to present your vision as if it is happening now.
Examples:
the Life
* A TV Special
*A work of Art
* Magazine Cover Story
* Drama *A Day in
* Other – a panel presentation, etc.
116
January 30, 2002,
Page - 117 -
Design
Design Principles for an Empowered Culture of Excellence
Writing “Provocative Propositions” for key Organizational Elements
Presentations are due at ____________ o’clock
Purpose: To lift our hopes and dreams of an Empowered Culture of Excellence that fosters bold
and enlightened leadership. Here we consider elements such as practices, structures, policies,
technologies, etc. and other elements that would bring our dreams to life.
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
Steps:
1.
Self manage: Assign discussion leader, timekeeper, recorder, reporter (2 minutes).
2.
At your table, review the examples of provocative propositions on the next sheet and the guidelines
for great provocative propositions so that you all have a shared sense of what your product might
look like at the end of this exercise (________minutes).
3.
Discuss/ brainstorm the “ingredients” you would like to see present in the ideal version of the
organizational element which has been assigned to your table (_________minutes).
4.
As a group, create on your flip chart a first draft Provocative Proposition of the organizational
element which has been assigned to your table – a short picture of what it would look like when
infused with the energy and essence of your dream (______minutes).
5.
Finalize your DRAFT Design Provocative Proposition by printing a neat version on a single flip chart
page. Also, please type your proposition onto a disk. Be prepared to report out (4 minutes).
117
January 30, 2002,
Page - 118 -
Design Element Provocative Propositions
Definitions and Guidelines
Appreciative Design through creating provocative propositions is a time for the creation of new forms,
new containers, new practices which embrace and are infused by the positive core unearthed in
Discovery and imagined in our Dream.
“First we shape our structures and then our structures shape us.”
Winston Churchill
“Most people spend 50% of their time not just doing their job but fighting their own institutional
bureaucracies.”
Dee Hock, Founder of Visa International
“All systems are perfectly designed to achieve the results they are currently getting.”
Marv Weisbord, Organizational Consultant
Great Provocative Propositions:
-are exciting
-are provocative – they stretch and challenge
-are desired (people want to create them)
-represent constitutional beliefs as in “we hold these truths to be self evident…”
-describe what is wanted in a positive way (rather than saying what is not wanted)
-are written in the present tense, as if they are already happening
118
January 30, 2002,
Page - 119 -
Examples of Elements that make up the Organizational Architecture:
Education and Training
Leadership Style and Culture
Staff/People/Relationships
Work Processes & Job Design
Career Structures & Incentives
Organizational Structures
Stakeholder Relationships
Communications
Systems
Reward and recognition practices
Decision Making Procedures
Beliefs about people, beliefs about power and authority
Recruiting practices
Balance of personal / professional life
Information systems and technology
Empowering Planning Methods
Some example Provocative Propositions:
Education and training are the foundation of the empowered culture of excellence in the US Navy.
We foster leadership that encourages, challenges, and supports all members of the organization to
engage in ongoing learning, both personal and professional. The Navy provides life long training
and education opportunities that support a sense of purpose, direction, and continual growth. This,
in turn, nurtures the strength and confidence people need to achieve their full personal and
professional potential.
We recognize that all members want to contribute to a higher sense of purpose and service to a
larger mission. Jobs are designed so that people have freedom and autonomy to take necessary
action to achieve the mission of their unit and see the meaningfulness of their contributions. All
jobs are designed to be meaningful, purposeful, and rewarding.
The Navy recognizes that people from all levels of the organization have valuable knowledge,
experience, and immense potential. We have a culture that fosters empowerment at all levels of
the chain of command. Toward this end, decisions are made at the most local level possible and
include all relevant and affected parties ensuring the sharing of good information, and creating
the empowered involvement that breeds commitment.
119
January 30, 2002,
Page - 120 -
Destiny Worksheet:
Open Space Round One
Purpose: to dialogue on short and long term action steps and proposed pilot projects.
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
1. Questions to discuss:





Vision of this pilot: what is needed in order to be a successful learning
experience?
Who would need to involved in the implementation? Champions?
What are possible locations? Departments? Commands?
Learning potentials and possible impacts?
When should it be started?
2. Be prepared to summarize, write up and submit the following:

Group Members:

Name of Pilot project:

Craft a short purpose statement: “The purpose of this important pilot is….”

Write a short description of the proposed pilot: What, When, Where, How, Etc.
Short term Action plans (over the next 2 months):
ACTIONS
HELP NEEDED FROM
DUE DATE
Long term actions (next year and beyond)
ACTIONS
HELP NEEDED FROM
DUE DATES
120
January 30, 2002,
Page - 121 -
Destiny Worksheet:
Open Space Round Two
Purpose: to dialogue on short and long term action steps and proposed pilot projects.
Self-Manage: Select a Discussion Leader, Recorder, Timekeeper, Reporter
1. Questions to discuss:





Vision of this pilot: what is needed in order to be a successful learning
experience?
Who would need to involved in the implementation? Champions?
What are possible locations? Departments? Commands?
Learning potentials and possible impacts?
When should it be started?
2. Be prepared to summarize, write up and submit the following:

Group Members:
Name of Pilot project:
Craft a short purpose statement: “The purpose of this important pilot is….”
Write a short description of the proposed pilot: What, When, Where, How, Etc.
Short term Action plans (over the next 2 months):
ACTIONS
HELP NEEDED FROM
DUE DATE
Long term actions (next year and beyond)
ACTIONS
HELP NEEDED FROM
DUE
121
January 30, 2002
Page - 2 -
Steering Committee and Interview Team Workshop Workbook
"All the greatest and most important problems of life are fundamentally
insoluble... They can never be solved, but only outgrown. This "outgrowing"
proves on further investigation to require a new level of consciousness. Some
higher or wider interest appeared on the horizon and through this broadening of
outlook the insoluble problem lost its urgency. It was not solved logically in its
own terms but faded when confronted with a new and stronger life urge."
Carl Jung
2
January 30, 2002
Page - 3 -
PREFACE
This handbook is an invitation to an imaginative and fresh perception of organizations and the
process through which they change. Its “meta-cognitive” stance is choicefully affirmative. Its
central thesis -- as an extension of the Lewinian premise that human action is dependent on the
world as constructed rather than the world as it is -- is pragmatic and hopeful.
In its most practical construction, appreciative inquiry is a form of organizational study that
selectively seeks to locate, highlight, and illuminate what are referred to as the life-giving
forces of the organization’s existence.
Appreciative Inquiry seeks out the best of “what is” to help ignite the collective imagination of
“what might be”. The aim is to generate new knowledge which expands the “realm of the
possible” and helps members of an organization envision a collectively desired future and to
carry forth that vision in ways which successfully translates images of possibility intentions into
reality and belief into practice.
The handbook combines theory with practice in a comprehensive presentation of Appreciative
Inquiry, the theory and the practical application of appreciative methods. Theories and activities
in this book have been developed in work with small and large corporations and international
organizations working on issues of sustainable development. Research on appreciative inquiry
has been conducted in organizations all over the world: Africa, Asia, Australia, Europe and
North and South America.
Material in the handbook is presented to facilitate theoretical understanding and the effective use
of Appreciative Inquiry methodology by organization leaders, managers, members, and
consultants.
3
January 30, 2002
Page - 4 -
CONTENTS
1. Workshop Overview and Objectives
6
2. Appreciative Inquiry Theory
  Appreciative Inquiry: A Brief Introduction
 Five Principles of Appreciative Inquiry
 Positive Image, Positive Action
 Social Constructionism
 Beyond Problem Solving to Appreciative Inquiry
  Vocabularies of Human Deficit
  Toward a Theory of Affirmative Organization
 Tracking Internal Dialogue
  Managing Continuity, Novelty, and Transition
9
10
14
17
18
20
21
23
24
27
3. Phases Of The Appreciative Inquiry Process
The 4 - D Cycle
Overview – Discovery
Overview – Dream
Overview – Design
Overview – Destiny
30
31
32
33
35
36
4.





38
39
40
42
43
44
Getting Started: Affirmative Topic Choice
 Topic Choice: A Fateful Act
 Worksheet: Preparing for Topic Selection
 Topic Choice: Four Key Questions
 Sample Topics
 Key Consideration for Topic Choices
5. Discovery
Data Collection/Narrative Exploration
 Key Steps in Data Collection
 Considerations for Data Collection
 Creating The Interview Protocol
 Good Appreciative Inquiry Questions
The Appreciative Interview
 Tips for Conducting Appreciative Inquiry Interviews
Sample Interview Protocols
46
47
48
49
50
51
52
53
57
6. Dream
Envisioning the Ideal Organization
Evolution Of Dialogue to Create Vision Consensus

103
104
105
4
January 30, 2002
Page - 5 -
7. Design
Constructing Provocative Propositions
Social Architecture for Organizing
Sample Provocative Propositions
108
109
111
112
8. Destiny
Creating Appreciative Learning Cultures
Application Areas For Appreciative Inquiry
The Power of Appreciation 


Valuation and Learning
118
119
120

122



5
January 30, 2002
Page - 6 -
WORKSHOP OVERVIEW
In this workshop, Frank Barrett and Ron Fry introduce the theory and practice of
Appreciative Inquiry—an Organization Development (OD) process which grows out of
social constructionist thought and its applications to management and organization
transformation. Through its deliberately positive assumptions about people,
organizations, and relationships appreciative inquiry leaves deficit oriented approaches
to management behind, and vitally transforms the ways we approach questions of
organizational improvement: culture change, survey analysis, strategic planning,
organizational learning, customer focus groups, leadership development, joint ventures
and alliances, diversity training, performance appraisal, communications programs,
internal on-line networks, corporate history writing, and others.
Presented here is a thesis, a proposition, regarding the future of OD. It is a stand which
we take with some hesitation, even with some tentativeness. It is a proposition we will
illustrate with an about thirty case stories, hardly a proof. But it has, we think, some
wisdom in it; one might even argue the idea was modeled in the lives of early pioneers
like Kurt Lewin, Mary Parker Follett, Herb Shepard and others. The thesis goes
something like this: We have reached “the end of problem solving” as a mode of
inquiry capable of inspiring, mobilizing, and sustaining human system change, and
that the future of OD belongs to methods that affirm, compel, and accelerate
anticipatory learning involving larger and larger levels of collectivity. The new
methods will be distinguished by the art and the science of asking powerful, positive
questions (soon there will be an “encyclopedia of questions” that brings together classic
formulations like Maslow’s interview protocols on peak human experience and Peters
and Waterman’s studies of organizational excellence, or Vereena Kast’s exceptional
studies of joy, inspiration, and hope). The new methods will view realities as socially
constructed and will therefore become more radically relational, widening the circles of
dialogue to groups of 100s, 1000s, and perhaps more—with cyberspace relationships
into the millions. The arduous task of intervention will give way to the speed of
imagination and innovation; and instead of negation, criticism, and spiraling diagnosis,
there will be discovery, dream, design, and destiny.
In this program key steps for undertaking Appreciative Inquiry will be presented with
case study illustrations drawn from large and small corporations, with communities,
and with international organizations working across cultural boundaries.
6
January 30, 2002
Page - 7 -
WORKSHOP OBJECTIVES
Three objectives for the workshop are:

Understanding the Foundations of Appreciative Inquiry including: new theories
on the affirmative basis of human behavior; social constructionist approaches to
organizational analysis; the phases of Appreciative Inquiry; the power of positive
questions; the function of narrative and metaphor in human transformation; and
how Appreciative Inquiry is combined with large scale change methods such as the
Future Search Conference and Open Space.

Appreciation for the Wide Range of Applications for Appreciative Inquiry
spanning personal, organizational and social change. Including a recognition of
how the spirit and philosophy of Appreciative Inquiry can invite creative, new
avenues for action as an alternative to the “vocabularies of human deficit” which
have become ingrained in leadership and managerial practices.

Ability to Introduce Others to Appreciative Inquiry including how to introduce
Appreciative Inquiry to a new group; how to coach others through processes of
appreciative interviewing.
7
January 30, 2002
Page - 8 -
“Appreciative Inquiry can get you much better results than seeking out and solving
problems. That’s an interesting concept for me -- and I imagine for most of you-because telephone companies are among the best problem solvers in the world. We
trouble shoot everything. We concentrate enormous resources on correcting problems
that have relatively minor impact on our overall service performance...when used
continually and over a long period of time, this approach can lead to a negative culture.
If you combine a negative culture with all the challenges we face today, it could be easy
to convince ourselves that we have too many problems to overcome-- to slip into a
paralyzing sense of hopelessness. And yet if we flip the coin, we have so much to be
excited about. We are in the most dynamic, and the most influential business of our
times. We ought to be excited, motivated, and energized. We can be if we just turn
ourselves around and start looking at our jobs--and ourselves-- differently; if we kill
negative self-talk and celebrate our successes. If we dissect what we do right and apply
the lessons to what we do wrong, we can solve our problems and re-energize the
organization at the same time... In the long run, what is likely to be more useful:
Demoralizing a successful workforce by concentrating on their failures or helping them
over their last few hurdles by building a bridge with their successes?
Don’t get me wrong. I’m not advocating mindless happy talk. Appreciative Inquiry is a
complex science designed to make things better. We can’t ignore problems--we just
need to approach them from the other side.”
THOMAS H. WHITE
President, GTE Telephone Operations
Vital Speeches of the Day, 1996
8
January 30, 2002
Page - 9 -
APPRECIATIVE INQUIRY THEORY




















Appreciative Inquiry: A Brief Introduction
Five Principles of Appreciative Inquiry
Positive Image, Positive Action
Social Constructionism
Beyond Problem Solving to Appreciative Inquiry
Vocabularies of Human Deficit
Toward a Theory of Affirmative Organization
Tracking Internal Dialogue
Managing Continuity, Novelty, and Transition
9
January 30, 2002
Page - 10 -
APPRECIATIVE INQUIRY:
A BRIEF INTRODUCTION
Appreciative Inquiry is an approach to organizational analysis and learning that is uniquely
intended for discovering, understanding, and fostering innovations in social organizational
arrangements and processes. Appreciative Inquiry refers to both a search for knowledge and a
theory of intentional collective action which are designed to evolve the vision and will of a
group, organization or society as a whole. It is an inquiry process that affirms our symbolic
capacities of imagination and mind as well as our social capacity for conscious choice and
cultural evolution. The art of appreciation is the art of discovering and valuing those factors that
give life to an organization or group. The process involves interviewing and storytelling to draw
the best of the past to set the stage for effective visualization of what might be.
PERSPECTIVES:
1.
Inquiry into "the art of the possible" in organizational life should begin with appreciation.
Every system works to some degree, and a primary task of management and
organizational analysis is to discover, describe, and explain those "exceptional moments"
which give life to the system and activate members' competencies and energies. The
appreciative approach takes its inspiration from "what is." Valuing, learning, and
inspired understanding -- these are the aims of the appreciative spirit.
2.
Inquiry into what's possible should be applicable. Organizational study should lead to the
generation of knowledge that can be used, applied and validated in action.
3.
Inquiry into what's possible should be provocative. An organization is an open-ended,
indeterminate system capable of:
a. becoming more than it is at any given moment, and,
b. learning how to actively take part in guiding its own evolution.
Appreciative knowledge of "what is" becomes provocative to the extent that the learning
takes on a normative value for members. In this way appreciative inquiry allows us to
use systematic management analysis to help the organization's members shape an
effective future according to their own imaginative and moral purposes.
10
January 30, 2002
Page - 11 -
4.
Inquiry into the human potential of organizational life should be collaborative. This
principle assumes an inseparable relationship between the process of inquiry and its
content. A unilateral approach to the study of social innovation is a direct negation of the
phenomenon itself.
In its most practical construction, appreciative inquiry is a form of organizational study that
selectively seeks to locate, highlight, and illuminate what are referred to as the "life-giving"
forces of the organization's existence.
In this sense, there are two basic questions behind any appreciative inquiry:
1.
What, in this particular setting and context, makes organizing possible?
2.
What are the possibilities, expressed and latent, that provide opportunities for
more effective (value-congruent) forms of organizing?
Appreciative inquiry seeks out the exceptional best of "what is" to help ignite the collective
imagination of "what might be." The aim is to generate new knowledge which expands "the
realm of the possible" and helps members of an organization envision a collectively desired
future and to carry forth that vision in ways which successfully translate images into possibility,
intentions into reality and belief into practice.
As a method of organizational analysis, appreciative inquiry differs from conventional
managerial problem solving. The basic assumption of problem solving seems to be that
"organizing-is-a-problem-to-be-solved." The task of improvement involves removing deficits.
The process usually involves:
(1) identifying the key problems or deficiencies; (2) analyzing the causes; (3) analyzing
solutions; and (4) developing an action plan.
In contrast, the underlying assumption of appreciative inquiry is not that organizing is a
"problem to be solved" but rather that it is a "solution to be embraced." The steps are: (1)
discovery and valuing; (2) envisioning; (3) dialogue; and (4) co-constructing the future.
First, you discover and value those factors that give life to the organization. The challenge of
valuing is to discover, for example, the commitment of the organization and to find out when that
commitment was its highest. Regardless of how few the moments of highest commitment, the
task is to zero in on these and to discuss the factors and forces that created the possibility for
them. The list of positive or affirmative topics for discovery are endless: high quality, integrity,
empowerment, innovation, customer responsiveness, technological innovation, team spirit, etc.
In each case the task is discovery of the positive exceptions, successes, and most vital or alive
effective moments. Discovery involves valuing those thing of value worth valuing. And it can
be done both within and across organizations (in a bench marking sense) and across time
(“organizational history as positive possibility”).
11
January 30, 2002
Page - 12 -
Second, you envision what might be. When the best of what is has been identified, the mind
naturally begins to search beyond this; it begins to envision new possibilities. Valuing the best
of what is leads to envisioning what might be. Envisioning involves "passionate thinking" -- it
means creating a positive image of a desired and preferred future.
Third, you engage in dialogue. This is simply the open sharing of discoveries and possibilities.
Through dialogue, a consensus begins to emerge whereby individuals in the organization say,
"Yes this is an ideal or vision that we value and should aspire to." It is through dialogue that
individual appreciation becomes collective appreciation; individual will evolves into group will;
and individual vision becomes a cooperative or shared vision for the organization. Appreciative
inquiry helps create a deliberately supportive context for dialogue. It is through the sharing of
ideals that social bonding occurs.
Fourth, you construct the future through innovation and action. Appreciative inquiry establishes
momentum of its own. Members of the organization find innovative ways to help move the
organization closer to the ideal. Because the ideals are grounded in realities, there is the
confidence to try to make things happen. This is important to underscore because it is
precisely because of the visionary content, placed in juxtaposition to grounded examples of the
extraordinary, that appreciative inquiry opens the status quo to transformations in collective
action. By seeking an imaginative and fresh perception of organizations, as if seen for the very
first time, the appreciative eye takes nothing for granted, searching to apprehend the basis of
organizational life and working to articulate those possibilities, giving witness to a better
existence.
While the constructionist theory behind appreciative inquiry is beyond the scope of this brief
overview1, there are a number of crucial assertions that can usefully be summarized here
including:
1
For a more extensive presentation, see D.L. Cooperrider and S. Srivastva, "Appreciative Inquiry in Organizational Life"
in Woodman and Pasmore [eds.] Research on Organizational Change and Development, Vol. 1, JAI Press, 1987.
12
January 30, 2002
Page - 13 -
1.
Knowledge and organizational destiny are interwoven. To be effective -- as leaders,
managers, or as agents of change -- all of us must be adept in the art of understanding,
reading and analyzing organizations as living human constructions.
Knowing
(organizations) stands at the center of any management task. Thus, the way we know is
fateful.
2.
The seeds of organizational change are implicit in the first questions we ask. The
questions we ask set the stage of what we find, and what we find (data) becomes the
material out of which the future is conceived and constructed.
3.
The most important resource we have for generating constructive organizational change
is our cooperative imagination and mind (and our capacity to unleash the imagination and
mind of groups). Appreciative inquiry is a way of reclaiming our imaginative
competence.
4.
Unfortunately, the conventional "habitus mentalis"-- habitual styles of thought,
preconscious background assumptions, root metaphors and rules of analysis by which we
come to define our organizations in a particular way -- has constrained our managerial
imagination and mind.
5.
Our styles of thinking rarely match the increasingly complex worlds in which we work;
therefore, we need to commit ourselves to the ongoing pursuit of multiple and more
fruitful ways of knowing.
6.
Finally, organizations, as human constructions, are largely affirmative systems and thus
are responsive to positive thought and positive knowledge2.
2See Cooperrider, D.L., "Positive Image, Positive Action: The Affirmative Basis of Organizing" in Srivastva and
Cooperrider and Associates, Appreciative Management and Leadership, Jossey-Bass, San Francisco, 1990.
13
January 30, 2002
Page - 14 -
FIVE PRINCIPLES OF APPRECIATIVE INQUIRY
1. The Constructionist Principle:
Social knowledge and organizational destiny are
interwoven. To be effective as executives, leaders, change agents, etc., we must be adept in
the art of understanding, reading, and analyzing organizations as living, human constructions.
Knowing (organizations) stands at the center of any and virtually every OD task. Thus, the
way we know is fateful.3
2. The Principle of Simultaneity: Here it is recognized that inquiry and change are not truly
separate moments, but are simultaneous. Inquiry is intervention. The seeds of change-- that
is, the things people think and talk about, the things people discover and learn, and the things
that inform dialogue and inspire images of the future—are implicit in the very first questions
we ask. One of the most impactful things a change agent or OD practitioner does is to
articulate questions. The questions we ask set the stage for what we “find”, and what we
“discover” (the data) becomes the stories out of which the future is conceived, conversed
about, and constructed.
3. The Poetic Principle: A metaphor here is that human organizations are an open book. An
organization’s story is constantly being co-authored. Moreover, pasts, presents, or futures
are endless sources of learning, inspiration, or interpretation (like, for example, the endless
interpretive possibilities in a good piece of poetry or a biblical text). The important
implication is that we can study virtually any topic related to human experience in any
human system or organization. We can inquire into the nature of alienation or joy, in any
human organization or community. We can study moments of creativity and innovation, or
moments of debilitating bureaucratic stress.
4. The Anticipatory Principle: The most important resource we have for generating
constructive organizational change or improvement is our collective imagination and
discourse about the future. One of the basic theorems of the anticipatory view of
organizational life is that it is the image of the future which in fact guides what might be
called the current behavior of any organism or organization. Much like a movie projector on
a screen, human systems are forever projecting ahead of themselves a horizon of expectation
that brings the future powerfully into the present as a mobilizing agent. Organizations exist,
in the final analysis, because people who govern and maintain them share some sort of shared
discourse or projection about what the organization is, how it will function, and what it is
likely to become.
5. The Positive Principle: This last principle is not so abstract. It grows out of years of
experience with appreciative inquiry. Put most simply, it has been our experience that
momentum for change requires large amounts of positive affect and social bonding-- things
like hope, inspiration, and sheer joy in creating with one another-- and that the more positive
the questions used to guide a group building or OD initiative the more long lasting and
3
Gergen, Kenneth. Realities and Relationships. Harvard University Press, 1995.
14
January 30, 2002
Page - 15 -
effective the change effort.4 In important respects, human beings and organizations move in
the direction of what they inquire about. Thousands of interviews into "empowerment" or
"being the easiest business in the industry to work with," will have a whole different long
term impact in terms of sustaining positive action than a study into "low morale” or "process
breakdowns," etc.
Bushe, G. and Coetzer, G. “Appreciative Inquiry As a Team-Development Intervention: A Controlled
Experiment., Vol. 31, Journal Of Applied Behavioral Science, March, 1995, pp. 13.
4
15
January 30, 2002
Page - 16 -
“A vivid imagination compels the whole body to obey it.”
Aristotle
“One of the basic theorems of the theory of image is that it is the image
which in fact determines what might be called the current behavior of any
organization. The image acts as a field. The behavior consists in
gravitating toward the most highly valued part of the field.”
Elise Boulding
“Human civilization is driven forward by notions too general
for its existing language.”
Alfred North Whitehead
16
January 30, 2002
Page - 17 -
POSITIVE IMAGE -- POSITIVE ACTION RELATIONSHIP

POWERFUL PLACEBO

PYGMALION: NOT JUST THE CLASSROOM

POSITIVE AFFECT

IMBALANCED INNER DIALOGUE

2:1 = Health

RISE AND FALL CULTURES

AFFIRMATIVE COMPETENCE ?

Lessons from Athletics

Selective Self Monitoring

Meta-Cognitive Ability
17
January 30, 2002
Page - 18 -
SOCIAL CONSTRUCTIONISM
1.
The social order, at any given point is viewed as the product of broad social agreement
(tacit or explicit).
2.
Patterns of social-organizational action are not fixed by nature in any direct biological or
physical way; the vast share of social conduct is virtually stimulus free, capable of
infinite conceptual variation.
3.
From an observational point of view, all social action is open to multiple interpretations,
no one of which is superior in any objectified sense. The interpretations favored in one
historical setting may be replaced in the next.
4.
Historical narratives and theories govern what is taken to be true or valid, and to a large
extent determine what we, as scientists and lay persons, are able to see. All observation,
therefore, is filtered through conventional stories, belief systems, and theoretical lenses.
5.
To the extent that action is predicated on the stories, ideas, beliefs, meanings, and
theories embedded in language, people are free to seek transformations in conventional
conduct by changing patterns of narration.
6.
The most powerful vehicle communities have for making changes in the social order is
through the act of dialogue made possible by language. Alterations in linguistic
practices, therefore, hold profound implications for changes in social practice.
7.
Social theory can be viewed as a highly refined narrative account with a specialized
grammar all its own. As a powerful linguistic tool (created by trained linguistic experts,
i.e., scientists) theory may enter the conceptual meaning system of a culture -- and in this
way alter patterns of social action.
8.
Whether intended or not, all theoretical accounts are normative and have the potential to
influence the social order.
18
January 30, 2002
Page - 19 -
9.
Because of this, all narrative accounts (including social theory) are morally relevant-they have the potential to affect the way people live their ordinary lives in relation to one
another. This point is a critical one because it implies that there is no such thing as a
detached, technical, scientific mode for judging the ultimate worth of value claims.
10.
Valid knowledge or social theory is therefore a narrative creation. Social knowledge is
not “out there” in nature to be discovered through detached, value free, observational
methods (logical empiricism); nor can it be relegated to the subjective minds of isolated
individuals (cognitivism). Social knowledge, from this perspective, resides in the stories
of the collectivity; it is created, maintained, and put to use by the human group.
Dialogue, free from constraint of distortion, is necessary to determine the “nature of
things” (social constructionism).
"As I considered the importance of language and how human beings interact
with the world, it struck me that in many ways the development of language was
like the discovery of fire-- it was such an incredible primordial force. I had
always thought that we used language to describe the world-- now I was seeing
that this is not the case. To the contrary, it is through language that we create
the world, because it's nothing until we describe it. And when we describe it, we
create distinctions that govern our actions. To put it another way, we do not
describe the world we see, but we see the world we describe."
Joseph Jaworski
Synchronicity: the Inner Path of Leadership
19
January 30, 2002
Page - 20 -
BEYOND PROBLEM SOLVING TO
APPRECIATIVE INQUIRY*
Problem Solving
“Felt Need”
Identification of Problem

Analysis of Causes

Analysis of Possible
Solutions
Appreciative Inquiry
Appreciating
“Valuing the Best of What is”

Envisioning
“What Might Be”

Dialoguing
“What Should Be”


Action Planning
(Treatment)
Innovating
“What Will Be”
Basic Assumption:
Organizing is a
Problem to be Solved.
Basic Assumption:
Organizing is a
Mystery to be Embraced.
*
See: Cooperrider and Srivastva (1987). “Appreciative Inquiry Into Organizational Life” in Research in
Organizational Change and Development. Pasmore and Woodman (eds) Vol. 1 JAI Press.
20
January 30, 2002
Page - 21 -
PROBLEM SOLVING VOCABULARY
1.
Management = Problem Solving: A Matter of Standardized Rules
2.
Governed by felt need!
(no pain , no gain)
3.
Unanswerable questions should not be explored!
4.
Ideal product:: mirror reflection
5.
Ultimate aim: production of problem solving institutions
6.
Unintended consequences:








locked in a universe of a priori knowledge (ideals)
inter-human fragmentation...defensive posturing
promotion of problem language
fatigue (excludes impulse to novelty)
attention focused on yesterday’s causes
slow adaptive response time
people learn to live with diminished expectations
negative culture develops over time
“The world we have made as a result of the level of thinking we have done
thus far creates problems we cannot solve at the same level of thinking at
which we created them.”
Albert Einstein
21
January 30, 2002
Page - 22 -
TREMENDOUS EXPANSION IN OUR
VOCABULARIES OF HUMAN DEFICIT*
Vocabularies of Organizational Deficit
Organizational Stress
Work Alienation
Authoritarian Management
Role Conflict
Defensive Routines
Bureaucratic Red Tape
Interpersonal Incompetence
Theory X
Turfism
Low Morale
Groupthink
Peter Principle
Labor Management Mistrust
Organizational Diagnosis
Job Dissatisfaction
Neurotic Organization
Executive Burnout
Inter-group Conflict
Structural Inflexibility
Vocabularies of Human Deficit
Depressed
Bulimic
Anti-Social Personality
Paranoid
Post Traumatic Stress
Sadomasochistic
Brief Psychotherapy
Mid-life Crisis
Kleptomaniac
Neurotic
Anorexic
Psychopathic Codependent
Dysfunctional Family
Extremely Controlled
Obsessive-Compulsive
Low self-esteem
Identity Crisis
*
All these terms have come into common usage only within the present century (several only in the last
two decades). See Gergen, Ken (1991). The Saturated Self, Basic Books.
22
January 30, 2002
Page - 23 -
TOWARD A THEORY OF THE AFFIRMATIVE
ORGANIZATION
"We are sometimes, truly going to see our life as positive, not negative, as made up of
continuous willing, not of constraints and prohibition."
Mary Parker Follet
1.
Organizations are made and imagined.
2.
No matter what the durability to date, virtually any pattern of action is open to alteration
and reconfiguration.
3.
Organizations are "heliotropic" in character in the sense that organizational actions have
an observable and largely "automatic" tendency to move in the direction of images of the
future.
4.
The more an organization experiments with the conscious evolution of positive imagery,
the better it will become. There is an observable self-reinforcing, educating effect of
affirmation. Affirmative competence is the key to the self-organizing system.
5.
Paradoxically this is also true: the greatest obstacle in the way of group and
organizational well-being is also the positive image, the affirmative projection which
guides the group or organization.
6.
Organizations do not need to be fixed. They need constant re-affirmation.
7.
Leadership = Affirmation.
8.
The challenge for organizational learning and development is creating the condition for
organization-wide appreciation. This is the single most important act that can be taken to
ensure the conscious evolution of a valued and positive future.
9.
Three conditions are essential:
  Get the whole system in the room.
  Focus on the "life giving" past to envision preferred futures.
  This is not a problem solving activity. It is an exercise in anticipatory learning -- the
social construction of a preferred future.
23
January 30, 2002
Page - 24 -
TRACKING THE “INTERNAL DIALOGUE”
(Source: Unpublished article by Frank Barrett, Ram Tenkas, Tojo Thachenkary, Mike
Manning and David Cooperrider, 1991, Case Western Reserve University)
Positive Discourse Categories
1. Positive Valuing: Any mention of positive values, past or present.
2. Hope Towards Future: Any mention of hope, optimism, positive anticipation towards future.
3. Skill or Competency: Any mention of skill, competency, action, positive quality about self or
others.
4. Openness, Receptivity, Learning: Any mention of receptivity in self or others accompanied
by a positive outcome; also any noticing of self or other’s learning or interests.
5. Active Connection, Effort to Include, Cooperation or Combine: Any noticing of efforts to
include, cooperation, connect, and relate that may be accompanied by at least inferred positive
outcome.
6. Mention or Surprise, Curiosity or Excitement: Any mention of curiosity, surprise, openness
to fresh insights, excitement in self or others.
7. Notice of Facilitating Action or Movement Towards a Positive Outcome: Any mention of a
facilitating action or movement towards a real or imagined positive outcome, or any mention of a
facilitating object or circumstance. Also noticing of any event that enhances another event,
effective state or a person; noticing facilitating or positive cause and effect.
8. Effort to Reframe in Positive Terms: Any mention of a negative emotion or action
accompanied by the possibility of a positive desired outcome; also any mention of a change in
mood from negative to positive which includes any mention of an obstacle that is temporary or
getting over a negative static state or reframing of a negative situation in more positive terms.
9. Envisioned Ideal: Any mention of a vision/value end state articulation of a positive outcome
envisioned for future which is utopian or pragmatic.
24
January 30, 2002
Page - 25 -
Negative Discourse Categories
1. Negative Valuing: Any mention of negative valuing, e.g. fatalism, apathy, dislike. Any
description of person, groups, circumstance or events as a problem or obstacle.
2. Concern, Worry, Pre-Occupation, Doubt: Any mention of concern, worry, pre-occupation
without mention of a possible model to alleviate concern or to enhance understanding; any
mention of doubt, suspicion, lack of confidence in future outcomes.
3. Unfulfilled Expectation: Any mention of any event, action, state or person that does not
match intention, wish, desire, or goal or other unfulfilled expectation.
4. Lack of Receptivity, Absence of Connection: Any mention of a lack of receptivity in self or
others, including a lack of collaboration, lack of understanding, failure to listen or failure to
agree or any explicit mention of an absence of connection.
5. Deficiency in Self or Others: Any mention of a sense that something is missing, for example
a deficiency in self or others, lack of motivation, appropriate effort, skill, competence, absence of
resources such as time an money.
6. Negative Affect: Any mention of feelings of dissatisfaction, selfishness, sadness,
defensiveness, irritation, anger without mentioning a possible antidote or relief or effort to
understand.
7. Withdrawal or Suppression: Any mention of avoiding, ignoring, withdrawal of energy or
surrender, suppressing self or others.
8. Control or Domination: Any notice of effort or action to disrupt, dominate, wield control,
halt a mood or action in self or other.
9. Wasted Effort: Any mention of excessive investment of time, resources, or energy without
mention of reward or positive outcome.
10. Prediction, Image of a Negative Future:
expectation of a negative future.
Any mention prediction, vision, image or
11. Attribution of Control by Other in Combination with Self-Depreciation: Any notice of effort
or action in others to disrupt, dominate, or wield control in combination with attribution of
helplessness to self, self-pity or self depreciation.
12. Negative Cause and Effect Relation: Any explicit notice of cause and effect relationship
leading to a negative outcome.
13. Reframing a Situation in Negative Terms: Any mention of a positive emotion with the
possibility of a negative outcome; mention of a change in mood from positive to negative, or
25
January 30, 2002
Page - 26 -
getting into a negative state, focusing on possible obstacles, or reframing a positive situation in
more negative terms.
26
January 30, 2002
Page - 27 -
HISTORY AS POSITIVE POSSIBILITY:
MANAGING NOVELTY, CONTINUITY, & TRANSITION
Appreciative Organizations draw the best from their past to inform their future
Novelty - Unexpected Newness.
Continuity - Threads of identity, of purpose, of pride, of wisdom and of
tradition that perpetuate life in the organization.
Transition- Planned Change.
27
January 30, 2002
Page - 28 -
THE FUNCTIONS OF CONTINUITY
For the Individual:
* Social Connectedness
* Moral Guidance
* Confidence to Act
* Personal Welfare
* Pride, Hope, Joy
For the Organization:
* Strengthens Commitment
* Facilitates Sensemaking and Decision Making
* Maintains Mission and Values
* Decentralizes Control
* Basis for Organizational Learning
* Supports Long Term Thinking
* Enables Customized Change
Focus for Continuity Inquiry and Dialogue:
The Organization's Founding Story?
Innovations?
Turning Points?
Proud
Achievements? Best Practices? Empowering Traditions? Intergenerational Wisdom?
Moments of Courage? Tests of Integrity? Things to Pass Along? Leadership and
Organizational Legacy?
28
January 30, 2002
Page - 29 -
I should like to paint a portrait of an artist friend, a man who dreams
great dreams, who works as the nightingale sings, because it is his nature.
He’ll be a fine man. So I paint him as he is, as faithfully as I can. But the
picture is not finished yet. To finish it, I am now the arbitrary colorist. I
exaggerate the fairness of the hair; I come even to use orange tones,
chromes, and pale lemon-yellow. Behind the head, instead of painting the
ordinary wall of the mean room, I paint infinity, a plain background of the
richest, intense blue that I can contrive - and by this simple combination of
the bright head against the rich blue background, I get a mysterious effect,
like a star in the depths of an azure sky.
Vincent Van Gogh
(letter to his brother)
29
January 30, 2002
Page - 30 -
PHASES OF THE APPRECIATIVE INQUIRY PROCESS








The 4 - D Cycle
Overview - Discovery
Overview - Dream
Overview - Design
Overview - Destiny




30
January 30, 2002
Page - 31 -
THE 4-D CYCLE
The process of Appreciative Inquiry-- from the more formal organization wide analysis to the
informal interactions of everyday life-- unfolds through a cycle of four phases that together
comprise the 4-D Cycle:
Discovery, Dream, Design, and Destiny.
At the core of the cycle (see the center of the model on the previous page) is the frame for the
inquiry -- the topic(s) that are chosen and will ultimately guide the formulation of questions.
Appreciative inquiry begins and ends with valuing that which gives life to organizations. In this
sense, the broadest intent behind any Appreciative Inquiry Process is the constructive discovery
and narration of the organization’s “life-giving” story:
1.
Focusing on what the organization has done well in the past and is doing
well in the present: What are the factors that give life to this organization when it is and
has been most alive, successful, and effective?
2.
Dreaming about and designing a better future: What are the possibilities,
expressed and latent, that provide opportunities for more vital, successful
and effective (vision and values congruent) forms of organization?
Using these two broad questions as a guide, groups and organizations “homegrow” their own
more specific topics. The topics, to begin with, are bold hunches about what gives life to the
organization. Most important, the topics (usually 3-5 area for inquiry) represent what people
really want to discover or learn more about and that will likely evoke conversations about the
desired future. It is understood that the seeds of change are implicit in the first questions that are
asked. As human systems often grow in the directions they inquire into, people are encouraged
to select topics of those things they most want to see grow and flourish in their organizations.
The stage is then set for an appreciative inquiry through the “4-D’s”.
31
January 30, 2002
Page - 32 -
OVERVIEW: THE DISCOVERY PHASE
The core task in the discovery phase is to appreciate the best of “what is” by
focusing on peak times of organizational excellence -- when people have
experienced the organization as most alive and effective. Seeking to understand
the unique factors (e.g., leadership, relationships, technologies, core processes,
structures, values, learning processes, external relationships, planning methods,
etc.) that made the high points possible, people deliberately let go of analysis of
deficits and systematically seek to isolate and learn from even the “smallest wins.”
In the discovery phase people share stories of exceptional accomplishments,
discuss the core life-giving factors of their organizations, and deliberate upon the
aspects of their organization’s history that they most value and want to bring to the
future.
In the Discovery Phase members come to know their organization’s history as
positive possibility rather than a static, problematized, eulogized, romanticized, or
forgotten set of events. Empowering and hopeful conceptions of organization
frequently, if not always, emerge from stories that are grounded in organizing at its
best.
Where appreciation is alive and stakeholders throughout an organization or
community are connected in discovery, hope grows and organizational capacity
is enriched.
32
January 30, 2002
Page - 33 -
OVERVIEW: THE DREAM PHASE
The Dream Phase involves challenging the status quo by envisioning more valued
and vital futures. Especially important is the visioning of potential end results and
“bottom line” contributions to the world. The Dream Phase is both practical, in
that it is grounded in the organization's history and generative, in that it seeks to
expand the organization's potential. .
One aspect that differentiates Appreciative Inquiry from other visioning or
planning methodologies is that images of the future emerge out of grounded
examples from its positive past; they are compelling possibilities precisely because
they are based on extraordinary moments from an organization’s history.
Sometimes this “data” is complimented with benchmarking studies of other
organizations. In both cases, the good news stories are used just like an artist uses
materials to create a portrait of possibility. Without the material -- red colors,
green, blue and yellow -- the painting would be quite limited. So too are many
visions or re-engineering programs that fail to take notice of organizational history.
The Dream Phase is a time for key stake holders to collectively tell their stories of
the organization's past along with stories of their personal histories in relation to
the organization. As the various stories of the organization's history are shared and
illuminated a new historical narrative emerges, one that engages those involved in
much the way a good mystery novel engages the reader. As participants become
energetically engaged in re-creating the organization's positive history they are
giving life to it's positive future.
During the Dream Phase organization stake holders engage in possibility
conversations about the organization's position and potential in the world.
Dialogue about the organization's calling - the unique contribution it can make to
global well being - catalyzes a furtherance of images and stories of the
organization's future. For many organization stake holders this is the first time
they are invited to think "great" thoughts and create "great" possibilities for their
organization. The process is both personally and organizationally enlivening.
33
January 30, 2002
Page - 34 -
OVERVIEW: THE DESIGN PHASE
The Design Phase involves the creation of the social architecture of the
organization; and the generation of provocative propositions that embody the
organizational dream in ongoing activities so that everything about organizing
reflects and is responsive to the dream - the organization's greatest potential.
As stake holders craft the organization's social architecture they are defining the
elemental infrastructure of their organization.
* To construct a home one must decide whether or not to include
windows, doors, a cooking space, sleeping spaces, spaces to greet
visitors, fireplaces and/or walls, etc.
* To construct an organization we must decide whether or not to
include leadership, strategy, structure, human resource management,
customer relations and/or culture, etc.
As provocative propositions are composed the desired qualities of organizing and
organizational life are articulated.
* To construct a home one must, after deciding to have doors, determine
the number and nature of doors to build.
* To construct an organization, after deciding to have collaborative
leadership, we must describe the quality of organizational life, relationships
and interactions that are desired enactments of
collaborative leadership.
The Design Phase involves the collective construction of positive images of the
organization's future in terms of provocative propositions based on a chosen social
architecture.
34
January 30, 2002
Page - 35 -
OVERVIEW: THE DESTINY PHASE
Phase four involves delivery on the new images of the future and is sustained by
nurturing a collective sense of Destiny. It is a time of continuous learning,
adjustment and improvisation (like a jazz group); all in the service of shared ideals.
The momentum and potential for innovation is extremely high by this stage in the
process. Because of the shared positive image of the future, everyone is invited
align their interactions in the co-create the future.
Stake holders are invited into an open space planning and commitment session
during The Destiny Phase. Individuals and groups discuss what they can and will
do to contribute to the realization of the organizational dream as articulated in the
Provocative Propositions. Relationally woven action commitments then serve as
the basis for ongoing activities.
Key to sustaining the momentum is to build an “appreciative eye” into all the
organization’s systems, procedures, and ways of working. For example, one
organization transformed their department of evaluation studies, to valuation
studies (they dropped the “e”). Others have transformed focus group methods,
surveys, performance management
systems, merger integration methods,
leadership training programs, diversity initiatives, etc. The areas for application of
Appreciative Inquiry are far reaching. Very often, in order to realize Provocative
Propositions many of the organization's processes and systems must be
redesigned.
Central to sustaining Appreciative Organizing according to Frank Barrett (see
“Creating Appreciative Learning Cultures” in the articles section of this handbook)
is competency development in four areas:
1.
2.
3.
4.
Affirmative Competence
Expansive Competence
Generative Competence
Collaborative Competence
35
January 30, 2002
Page - 36 -
The simpler way summons forth what is best about us. It asks us to understand human
nature differently, more optimistically. It identifies us as creative. It acknowledges that we
seek after meaning. It asks us to be less serious, yet more purposeful, about our work and
our lives. It does not separate play from the nature of being.
Wheatley and Kellner-Rogers
A Simpler Way
36
January 30, 2002
Page - 37 -
GETTING STARTED: AFFIRMATIVE TOPIC CHOICE










Topic Choice: A Fateful Act
Worksheet: Preparing for Topic Selection
Topic Choice: Four Key Questions
Sample Topics
Key Consideration for Topic Choices
37
January 30, 2002
Page - 38 -
TOPIC CHOICE: A FATEFUL ACT
Topic selection is the first step in the Appreciative Inquiry Process. Careful, thoughtful and
informed choice of topic(s) is important as it defines the scope of the inquiry, providing the
framework for subsequent interviews and data collection.
Appreciative Inquiry is premised on the logic that organizations move in the direction of what
they study. For example, when groups study human problems and conflicts, they often find that
both the number and severity of complex and problematic issues has grown. In the same
manner, when groups study high human ideals and achievements, such as teamwork, quality or
peak experiences, these phenomena, too, tend to flourish in human systems. Organizations enact
and construct worlds of their own making that in turn act back on them. In this sense the
approach of Appreciative Inquiry accepts the notion that knowledge and organizational destiny
are interwoven: the way we seek to know people, groups and organizations is fateful.
One implication for strategic learning and planning is that participants must be choiceful about
defining their topics and questions for inquiry. They can choose, for example, to study an entire
range of phenomena, from their weaknesses, breakdowns and environmental threats, as is the
common practice of problem solving or diagnosis; or to focus on the common values,
empowering moments in their histories, and shared aspirations for the future. Appreciative
Inquiry begins and ends with valuing that which gives life to organizations. During their
preparation work, inquirers are encouraged to generate affirmative topics - or bold hunches about
what gives life to their organization - that represent what they want to discover or learn more
about and that evoke conversations of the desired future - or what they most want to see grow
and flourish in their organizations. It is understood that the seeds of change are implicit in the
very first questions asked*
This section will help you to brainstorm on possible topics. You are encouraged to be
imaginative and creative. The topics can be anything related to organizational effectiveness.
They can be on technical processes, human dynamics, customer relations, cultural themes,
values, external trends market forces, etc. Select topics that are positive affirmations of the
strengths of your organization and the powerful and successful potential it seeks to discover,
learn about and become.
38
January 30, 2002
Page - 39 -
WORKSHEET
PREPARING FOR TOPIC SELECTION:
FOUR KEY QUESTIONS
Take a few minutes to jot down some notes to yourself in response to the following questions.
Your partner will interview you and help you to explore these questions in depth.
1.
PEAK EXPERIENCE OR "HIGH POINT"?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
____________________________________
2.
THINGS VALUED MOST ABOUT. . .
(A)
YOURSELF
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
_______________________________________________
(B)
THE NATURE OF YOUR WORK
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
_______________________________________________
(C)
YOUR ORGANIZATION
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
_______________________________________________
Four Key Questions (cont.)
3.
CORE FACTORS THAT GIVE "LIFE" TO ORGANIZING?
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
39
January 30, 2002
Page - 40 -
______________________________________________________________________________
______________________________________________________________________________
__________________________________________________________________________
4.
THREE WISHES TO HEIGHTEN VITALITY AND HEALTH?
1)_________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
________________________________________________________
2)____________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
_____________________________________
3)____________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
_____________________________________
40
January 30, 2002
Page - 41 -
TOPIC CHOICE - FOUR KEY QUESTIONS
1.
DESCRIBE A PEAK EXPERIENCE OR “HIGH POINT.”
2.
WHAT THINGS DO YOU VALUE MOST ABOUT. . .
A)
YOUR SELF?
B)
NATURE OF YOUR WORK?
C)
THE ORGANIZATION?
3.
WHAT DO YOU CONSIDER TO BE THE CORE FACTOR THAT GIVES
TO ORGANIZING?
“LIFE”
4.
WHAT THREE WISHES WOULD YOU MAKE TO HEIGHTEN VITALITY
HEALTH IN THIS ORGANIZATION?
AND
A)
B)
C)
41
January 30, 2002
Page - 42 -
SAMPLE TOPICS
World Vision Relief And Development
And North American Steel, Inc.
WORLD VISION
NORTH AMERICAN STEEL
1.
Integrative Process
1.
2.
Innovation
2.
Customer Satisfaction
3.
Empowerment
3.
Market Responsiveness
4.
Quality
4.
Continuous Learning
5.
Diversity
5.
Shared Vision
6.
Organizational
Learning Ethos
6.
Ownership
Team Mindset
These topics were used in the development of the interview questionnaires located in the next
section of this handbook.
42
January 30, 2002
Page - 43 -
KEY CONSIDERATIONS FOR TOPIC CHOICES
  Topic Choice is a Fateful Act
  Organizations Move in Direction of Inquiry
  Involve Those That Have Important Stake in the Future
  A Minimum of Two Days
  Critical Choices:
  Build representative steering committee, or
  Start with senior executives level team, or
  Involve the whole system to extent possible
  Everyone is Active Participant
  Diversity is Essential
  Vocabulary is not “just semantic” - words create words
  People commit to topics they have helped develop
  Other Rules of Thumb








No more than five topics
Topics are phrased in Affirmative Terms
Topic is driven by curiosity - spirit of discovery
Topic is genuinely desired - people want to see it “grow”
Company Y
COMMITMENT
SHARED CONTROL/OWNERSHIP
COLLEAGUESHIP/COMMUNITY
QUALITY
EMPOWERMENT
SAMPLE TOPICS
Company Z
PARTNERSHIP
DETERMINATION TO BE WINNERS
DIVERSITY
CONSENSUS DECISION MAKING
POSSIBILITIES/POSITIVE THINKING
CONDITIONS FOR PEOPLE TO EXCEL
43
January 30, 2002
Page - 44 -
The exhilarating quest for discovery, the search to find what magic lies beyond
the stars and inside the atom, is at once wonderfully insatiable and wonderfully
satisfying. We cannot find happiness in contemplating ourselves; but we can
find it in contemplating infinity. Reaching out, with our imaginations, toward its
majesty, it will in turn embrace us and inspire us.
Jacques Cousteau
44
January 30, 2002
Page - 45 -
DISCOVERY
















Discovery -Data Collection
Key Steps in Data Collection
Considerations for Data Collection
Creating The Interview Protocol
Good Appreciative Inquiry Questions
The Appreciative Interview
Tips for Conducting Appreciative Inquiry Interviews
Sample Interview Protocols
 Sample Report
45
January 30, 2002
Page - 46 -
DISCOVERY - DATA COLLECTION
The Appreciative Inquiry Process is a tool for exploring the "life-giving" factors of
the organization. It is a process of discovery. The data you collect in interviews
will enable you to locate, illuminate and understand the distinctive strengths which
lend the organization life and vitality when functioning at its best.
Data Collection/Narrative Exploration represents the core of the inquiry process. It
serves as the jumping-off point for dialogue and the application of learnings
toward a unique theory of organizational innovation and change. In traditional
research processes data is collected as an objective reality. It is assumed to stand
apart from the people involved and the process through which it is generated. In
the process of Appreciative Inquiry we do not seek objective data. Rather, we
seek to explore and enliven, with those we interview, their stories of the
organization. When collecting data we aim to stimulate participants' excitement
and delight as they share their values, experience and history with the organization
and wishes for the future. In addition, we seek to catalyze thinking and dialogue
about positive possibilities otherwise forgotten in the social and organizational
patterns of deficit language.
Data Collection/Narrative Exploration is a mutual learning process. Both the interviewer and
the interview participant learn as together they explore the participants values, peak
experiences and wishes for the organization.
46
January 30, 2002
Page - 47 -
KEY STEPS IN DISCOVERY DATA COLLECTION
Successful discovery data collection requires the identification of key stake holders
in your organization -- those who have a vested interest in or strong impact on the
organization’s growth and future, and who can supply you with valuable insights
into your selected topic area(s). After identifying the stakeholders, you will need
to make arrangements for preparing your interview questionnaire, collecting the
data, recording the information and collating or distributing the data. The data you
collect at this stage will serve as the basis for the next stage of creating the
organizational dream.
1.
Identify stakeholders
2.
Decide who will be interviewed by whom
3.
Develop interview protocol and distribute to team
members
4.



Decide on a method/format for organizing the data
  How will findings be recorded?
  How will the team's data be compiled?
 Who will do it?
5.
Conduct interviews
6.
Create a method for capturing the best stories, data and
visions.
47
January 30, 2002
Page - 48 -
CONSIDERATIONS FOR DATA COLLECTION
TYPES OF DATA COLLECTION
  Interviews
  Observations
  Focus Groups
  Analyzing Documents
WHO DOES DATA COLLECTION?
  Outside Party
  Special Project Team Of Steering Group
  Everyone - The Interview Chain
DATA COLLECTION: A POWERFUL LEADERSHIP DEVELOPMENT TOOL
  Inquiry as a Vehicle for Management Development
  Action Learning is Relevant Learning
CROSS-GENERATIONAL INTERVIEWS
  Building Leaders of the Future
  Valuing Wisdom of Past
  Margaret Mead’s Learning Triangle
CREATING POSITIVE ORGANIZATIONAL AFFECT
  Disadvantages of Sampling
  Advantages of Relational Connection
  From Objectivity to Social Construction
CAPTURING EXCEPTIONS
  Recording Key Quotes
  Power of Stories, Examples
  Preparing the Appreciative Inquiry Feedback Report
48
January 30, 2002
Page - 49 -
CREATING THE INTERVIEW PROTOCOL
Creating the interview protocol is an exciting task: What we ask determines what we
“find.” What we find determines how we talk. How we talk determines how we imagine
together. How we imagine together determines what we achieve.
Three Parts of The Interview Protocol
1.
Stage Setting Questions
  What do you value most about:
- yourself?
- your work?
- your organization?
2.
Topic
  Formulate questions with lead-ins that assume that the subject
matter in question already exists.
3.
Conclusion
  What are the core factors that give life to this organization?
  Looking toward the future, what are we being called to
become?
  What three wishes do you have for changing the organization?
(or the “miracle question”)
“ Stories have wings, and they fly from mountain top to mountain top.”
Romanian Proverb
49
January 30, 2002
Page - 50 -
GOOD APPRECIATIVE INQUIRY QUESTIONS*
Key Considerations
1.
Stated in the affirmative.
2.
A leading question that builds on “half full assumption”.
3.
Gives a broad definition to the topic.
4.
Presented as an invitation:
* expansive;
* positive feeling words;
* locating words;
* experience words.
5.
Good questions enhance the possibilities of story telling and narratives.
6.
Good questions are phrased in rapport talk not report talk.
7.
Good questions are sometimes ambiguous. This is OK. They give room to “swim
around”.
8.
Good questions are valuing of “what is." They spark the appreciative
imagination by helping the person locate experiences that are worth valuing.
9.
Good questions convey unconditional positive regard.
10.
Good questions evoke... essential values, aspirations and inspirations.
* Source: Marge Schiller
50
January 30, 2002
Page - 51 -
THE APPRECIATIVE INTERVIEW
Key Characteristics
1.
Assumption of Health and Vitality
2.
Connection Through Empathy
3.
Personal Excitement, Commitment, Care
4.
Intense Focus Through "Third Ear" and "Third Eye"
5.
Generative Questioning, Cueing, Guiding
6.
Belief vs. Doubt
7.
Allow for Ambiguity, Generalization and Dreams
8.
From Monologue to Dialogue
51
January 30, 2002
Page - 52 -
TIPS FOR CONDUCTING
APPRECIATIVE INQUIRY INTERVIEWS*
1.
EXPLAINING APPRECIATIVE INQUIRY: Like anything new, appreciative
interviewing may seem awkward at the beginning. It may be equally awkward for the
person you are interviewing. They, too, may be caught up in looking at the organization
as a problem-to-be-solved, and may not give instant understanding to this approach.
Usually, I say something like this:
Before we start, I would like to explain a little bit about what we are going to do
because it may be a little different from what you are used to. This is going to be
an “appreciative interview.” I am going to ask you questions about times when
you see things working at their BEST where you work. Many times, we try to ask
questions about things that aren’t working well - the problems - so that we can fix
them. In this case, we try to find out about the things at their best - the successes so that we can find out what works and find ways to infuse more of it into the
organization’s performances. It is also like what we do with children or athletes
when we affirm their smallest successes and triumphs so that they will hold a
positive image of themselves and then envision even greater possibility. The end
result of the interview will help me understand those “life-giving forces” which
provide vitality and distinctive competence to your organization. Do you have
any questions?
2.
*
WHAT TO DO WITH NEGATIVES: Sometimes, people work in places they
don’t like. With an explanation like the one above, you can generally get them to
identify things at their best. But people should not feel like they do not have permission
to talk about things that need fixing. Depending on my empathic understanding of where
the interviewee is, I handle this in several different ways - - or some combination.
Source: Pamela Johnston
52
January 30, 2002
Page - 53 -
  Postponing: I tell them that I would like to make a note of what they have said and come
back to it later. The question about what you would change if you could change
anything about the organization is a place to collect this “negative” data, and you can
come back to your note about what they started to say then. Be sure to come back to it
though.
  Listening: If they have some real INTENSITY about what they want to say about
problems, let them say it. If it is that “up close and personal”, you are not going to get
any appreciative data until you get it out. This may mean muddling through quite a bit of
organizational “manure”, and the biggest threat is that you will take it in and lose your
capacity to be appreciative. You must be empathic, but remember that you cannot take
on that person’s pain -- you cannot be a healer if you take on the patient’s illness. Keep a
caring, and affirmative spirit.
  Redirecting: If it does not seem that serious, or if you have listened sufficiently to
understand the negative issues they are raising, and they are now just into the drama of it,
find a way to guide them back. “I think I understand a little bit about some of the
problems you see (paraphrase a few of the ones you’ve heard), but I would like to guide
us back to looking at what is happening when things are working at their best. Can you
think of a time, even the smallest moment, when you saw innovation (for example) at its
best?” If they say it never happened where they work, find out if they have EVER had
the experience in any organization or work context ANYWHERE before giving up.
3.
USING NEGATIVE DATA: All the stuff people find wrong with an organization
represents an absence of something that they hold in their minds as an IDEAL image.
What organizational processes, if present (rather than absent) might create the ideal
organization that the negatives imply. DATA is DATA - Use it. But use IT
AFFIRMATIVELY. In fact one could argue that there is no such thing as negative data.
Every utterance is conditioned by affirmative images.
4.
THE INTERVIEW RHYTHM - STARTING WITH SPECIFIC STORIES: There
is a rhythm to these kinds of interviews. When you start to address your topic, start with
specifics personally relevant to the person interviewed. Try to get them to tell a story
about “A time when you...” or “Tell me a story about a time when you...” or “Tell me a
story about a time when you experienced (the topic) at its best.” Probe deeply and
intently, not like a dentist or a piranha going after the bait, buy like an interested friend
hanging on every detail. Try to find out who did what WHEN ... and what were you
thinking ... so THEN what did you do -- like gossips over a backyard fence. What you
are trying to do is get what they DID (behavior) and what they THOUGHT or FELT
(values) while they were doing it.
5.
THE INTERVIEW RHYTHM - GENERALIZING ABOUT LIFE-GIVING
FORCES: After you have heard their story, really probing it, go for the generalizations.
“What is it about this organization -- its structure, systems, processes, policies, staff,
leaders, strategy -- that creates conditions where cooperation (for example) can flourish?”
53
January 30, 2002
Page - 54 -
If your topic (i.e. cooperation) is a plant, what you are trying to do is find out about the
kind of organizational soil, water, and sunlight conditions that really nourish it.
Sometimes people don’t know what you mean by organizational conditions, factors, or
forces. Give examples: “Are jobs designed a certain way, for example, to foster
cooperation? How does the culture or climate of the organization foster cooperation?”
And so on. Try your best to get them to think a bit abstractly about what is present in the
organization that really allowed them to have that peak experience with your topic.
6.
ORGANIZATIONAL FACTORS: In order to get a sense of some of the organizational
factors you will be listening for, if not asking about, things like: What was the structure
like? Systems? Rewards? etc. You do NOT have to systematically ask about each of
these -- the stories may contain information about all of them. If not, you may want to
gently probe a bit.
7.
WATCH YOUR TIME: If the interview is generally planned to be an hour, you will
need to make sure that as you are probing with fascination what they are saying, that you
are also aware of the time. If you decide that you are learning so much that it is OK if
you run over an hour, check it out with the person also. Best bet is to pace your questions
appropriately to the time you have scheduled.
8.
IT’S A CONVERSATION - BE YOURSELF AND HAVE FUN: If you approach the
interview like a piece of drudgery - You’d rather be anywhere than with this person you’ve lost before you’ve begun. You want to approach the interviewee as if they are a
very special person, valuing the best of who they are. Be humble - as sophisticated as
you are about the world of management, for this hour the interviewee is your teacher. Be
yourself - don’t try to put on some expert role or act like you’ve got to get every word in
the interview protocol exactly right. Be a learner - realize that everyone likes to share
their knowledge and wisdom with people that genuinely want to learn. If you’ve got an
affirmative spirit going in, mistakes in wording will not stop you from getting great data.
Finally, have a bit of fun. You are getting to know someone new and you are hearing
some fascinating and important stories.
9.
A WORD ABOUT YOUR CONFIDENTIALITY: Tell the interviewees you will keep
the information they provide and the conversation confidential. You will use the data,
but it will be compiled into themes using data from this interview and others. No names
will be associated with the overall summary or report. Stories and quotes from
interviews may be used without a name associated with them.
54
January 30, 2002
Page - 55 -
SAMPLE INTERVIEW PROTOCOL - BANK
First American National Bank
Appreciative Inquiry Questionnaire
Name ___________________Title______________Date______________
Group/ Department _______________Years of Service______Phone_______
Interviewed by________________________________________________
OPENING:
As part of a special study we are conducting interviews with employees about their work
experience. In particular, our goal is to locate, illuminate, and understand the distinctive values,
management practices, and skills which lend the organization its organizational vitality. In other
words, we are interested in understanding more about what is happening when we are at our best.
The information you provide in this interview will be used to help prepare a corporate vision
statement as seen and valued by members at all levels in the corporation. Our interest is in
learning from your experience. The collected comments, experience and suggestions from all of
the employees interviewed will be summarized and reviewed with Senior Management.
The interview takes about one hour. The interview will tend to focus on the organization when it
is operating at its best in the following (preliminary) topic areas:
1.
2.
3.
Being the Best
Shared Ownership Commitment
Cooperation
4.
Integrity
5.
Empowering People
QUESTIONS:
EXPERIENCE OF ORGANIZATION
1.
First, I’d like to learn about your beginnings with the organization.
  What attracted you to the organization?
  What were your initial excitements and impressions when you joined the company?
2.
Looking at your entire experience, can you recall a time when you felt most
most involved, or most excited about your involvement in the
organization?
alive,
  What made it an exciting experience?
  Who were the most significant others?
  Why were they significant?
55
January 30, 2002
Page - 56 -
  What was it about you that made it a peak experience?
  What were the most important factors in the company that helped to make it a peak
experience? (Probe: leadership qualities, structure, rewards, systems, skills, strategy
and relationships.)
3.
Let’s talk for a moment about some things you value deeply. Specifically, the
you value about 1) yourself; 2) the nature of your work; and 3) the organization.
things
  Without being humble, what do you value the most about yourself - as a human
being, a friend, a parent, a citizen, and son/daughter?
  When you are feeling best about your work, what do you value about the task itself?
  What is it about the organization that you value?
  What is the single most important thing the company has contributed to your life?
BEING THE BEST
4.
The organization builds on “proven strengths” and has a history of being a
pioneer
in a wide number of areas. In your opinion, what is the most
important achievement that
you can recall that best illustrates this spirit of
being the best?
5.
What is the most outstanding or successful achievement you have been
pulling off. A piece of work or project of which you are particularly proud?
involved in
  What was it about you - unique qualities you have - that made it possible to achieve
this result?
  What organizational factors (e.g., leadership, teamwork, culture) fostered this
determination to excel or achieve?
SHARED OWNERSHIP AND COMMITMENT
Organizations work best when people at all levels share a basic common vision in relation to the
company’s core mission, intent, and direction. When people know the “big picture” they often
experience a feeling of purpose, pride, significance, and unity.
6.
In your mind, what is the common mission or purpose that unites everyone in
organization? How is this communicated and nurtured?
7.
this
Think of a time you felt most committed to the organization and its mission.
  Why did you feel such commitment?
  Give one example of how the organization has shown its commitment to you.
COOPERATION / TEAM SPIRIT
A cooperative team spirit is important to our company. Important initiatives usually depend on
the support and good will of others within work groups and/or between groups which cross
56
January 30, 2002
Page - 57 -
department, specialization, and hierarchical levels. Cooperation requires trust, open channels of
communication, responsiveness to other’s needs, and interpersonal competence.
8.
Can you think of a time when there was an extraordinary display of
between diverse individuals or groups in the company?
cooperation
  What made such cooperation possible? (Explore: planning methods used,
communication systems or process, leadership qualities, incentives for cooperation,
skills, team development techniques and others).
9.
Give an example of the most effective team or committee you have been part
What are the factors/ skills that made it effective?
of.
EMPOWERING PEOPLE
Our organization’s strength rests with its people. It has a tradition of providing structures or
opportunity for members of the corporation to excel. This requires consideration of individual
goals, ideas, and aspirations as well as providing developmental opportunities to learn, to grow
and to take risks.
10.
What individual qualities are most valued in this organization?
11.
What qualities are necessary for people to excel?
  In empowered organizations people feel significant. People feel they have a chance
“to make a difference”. They feel that what they do has significance - and they are
recognized. What does the organization do best (at least three examples) when it
comes to empowering people?
12.
How do people develop these qualities?
IN CONCLUSION
13.
What is the core factor that gives vitality and life to the organization (without it
organization would cease to exist)?
the
14.
If you could develop or transform the organization in any way you wished, what three
things would you do to heighten its vitality and overall health?
NOTES:
57
January 30, 2002
Page - 58 -
SAMPLE INTERVIEW PROTOCOL - MANUFACTURING
North American Steel, Inc.
Learning From 40 Years Of Experience
Introduction
Thank you very much for agreeing to be interviewed for the organization study we are
conducting in preparation for North American Steel’s 40th year celebration. As you may know,
the majority of organizations in our society die before they reach the age of forty (40). This is a
cold fact. But there are exceptions. North American Steel is one of them. Even more important,
North American Steel is stronger than ever. Over the years, North American has proven itself
resilient. In good times and bad it has provided a stable base of employment for many people. It
has adapted, changed and grown with the times. And its future looks positive and promising.
The question is: “why”?
What are the core factors that give life to this organization? What can we learn from our history,
especially if we examine closely those moments when we have been our best? What are North
American Steel’s most effective practices, strengths, or best qualities -- things that we should try
to preserve about our organization even as we change? What important lessons can we draw
from our history? Building on all this, what kind of organization do we want to be in the future?
What is our potential? Can our positive past, the best in our past, help us become more daring as
we think about true potential as an organization? What is your dream for North American Steel?
What ideas do you have for helping us move to a whole new level as a business?
The information you provide will be used to help accelerate our continuous improvement as an
organization and will be used to help us prepare for our 40th year anniversary celebration in
September 1994. The important thing is learning from your and everybody’s experience. The
collected comments will provide the basis for a report to be reviewed by all. Your comments
will be put together with other’s anonymously. Your name will not be attached to any of the
stories, suggestions, examples or comments you make. The interview takes about 30 to 45
minutes.
58
January 30, 2002
Page - 59 -
A.
EXPERIENCE WITH NORTH AMERICAN STEEL, INC.
1.
To start, I’d like to learn about your beginnings at NAS.
a.
When did you start at NAS and what were your first
impressions?
b.
Why have you stayed with NAS?
2.
What was one of the most rewarding experiences you have had at NAS-something that was a real high point? Can you tell me about a time when you felt best, most
alive, most effective, proud, etc.
3.
Let’s talk a moment about some things you value most-- specifically
about (1) yourself and (2) the organization.
a. What do you feel is the strongest, most important asset you offer to
NAS? What are your best qualities?
b. What is it about NAS as an organization that you value the most?
4.
Brief history of NAS: From what you have experienced or heard of
NAS’s history since 1954, name two or three key events, decisions,
innovations, achievements, or challenges that were important turning points in the life
of the organization.
B.
EXPLORING BEST QUALITIES AND HOPES FOR THE FUTURE
5.
Team Mindset: Organizations work best when the team spirit and enthusiasm is
high and everyone is a valued member of a group where their ideas are heard. To be effective
over time, organizations need cooperation within groups and also between groups which cross
department lines, jobs and levels in the hierarchy. Teamwork requires trust, open channels of
communication, appropriate business information, responsiveness to others’ needs, good training
and interpersonal skills.
a.
Think of an example of the most effective team or group effort you have
been part of at NAS. Tell the story of what happened. Who was involved? What made the
teamwork effective? Important lessons?
6.
Customer Satisfaction and Market Responsiveness: Central to the vision
statement of NAS is an organization that is market driven and totally responsive to customer
satisfaction, time and time again, is the lifeblood of the business.
a.
Think of a time when NAS was most effective in terms of customer
responsiveness or market innovation? Tell me a story of what happened.
What was most noteworthy?
59
January 30, 2002
Page - 60 -
b.
7.
8.
9.
Possibilities for the Future: What things could NAS do that would
improve or even revolutionize its responsiveness and connection to its
customers?
Continuous Learning: In a changing world, the competitive edge goes to the
company that is able to change, grow, or to learn faster than any of its
competitors. When at its best, NAS is a “learning organization” in which people
are continuously challenging themselves to move out of their comfort zone, think
in new ways, to acquire new knowledge and skills, and experiment with new
management and production methods.
a.
Describe a time at NAS when you felt you were really learning something
new, meaningful and helpful to the business. More importantly, what
lessons can be drawn from your example? What does NAS do best as it
relates to building good learning opportunities or strengthening the
learning spirit of the whole company?
b.
As you look to the future, describe one thing you think NAS could or
should do more of to strengthen the learning capacity of the company.
Shared Vision and Ownership: Organizations work best when everyone thinks,
acts, and feels like they are an owner of the business. That sense of ownership is
highest when there is a shared vision for where the business is heading in the
future, when people are involved in major decisions that are relevant to them and
their work, when appropriate information about the business is shared openly,
when people know the whole picture in terms of other’s tasks or jobs, and when
people feel they are at the center of things rather than on the outside.
a.
Describe a time when you felt most involved in the “big picture” of the
organization, a time when you felt most like a partner or even owner of the
business. What can we all learn from this experience?
b.
Think about the future, what could NAS do more of to create a shared
vision of the future and a heightened sense of ownership at all levels?
Resiliency and Managing Change: Over the years, NAS has proven its resiliency
and its ability to manage change when small and large challenges have confronted
the organization. Many of the changes introduced (for example in the early
1990’s) were positive, healthy, successful.
a.
b.
Thinking of all the changes you have seen, what changes have most
positively affected you, your work or the company?
What can/should NAS do more of, less of, or the same in the future in
order to become more resilient, more flexible, more able to manage
change?
60
January 30, 2002
Page - 61 -
SAMPLE INTERVIEW Protocol - NON-PROFIT
World Vision Relief And Development
Interview Questionnaire For Appreciative Inquiry
General Information
Name:_____________________________________________________
Title:______________________________________________________
Group/Department:____________________________________________
Years of Service:_______________________________________________
Extension:___________________________________________________
Interviewed By:_______________________________________________
Date:_______________________________________________________
Interview Protocol
As part of a special study we are conducting interviews with employees and other individuals
about work experience and perceptions of our organization.
The information you provide will be used to help prepare a corporate vision statement as seen
and valued by members at all levels in the organization. Our intent is in learning from your
experience. The collected comments, experiences and suggestions from all of the employees and
others interviewed will be summarized and reviewed with Senior Management. We assure you
that your name will not be attached to any of the final data.
The interview will take about one (1) hour. The interview will tend to focus on the organization
when it is operating at its best in the following topic areas:
1.
2.
3.
4.
5.
6.
Integrative Process
  Partnership
  Programs
  Holistic Communication
Innovation
Empowerment
Quality
Diversity
  Transnational
  Faith
  Specialization
Organizational Ethos (Sharing and Learning)
61
January 30, 2002
Page - 62 -
A. EXPERIENCE WITH WVRD
(The following three questions are stage setting)
1.
To start, I’d like to learn about your beginnings, and/or awareness of
WV/your organization.
a.
What attracted you to WV/your organization?
b.
What was your initial excitement/impression when you joined,
participated with WV/your organization?
2.
Looking at your entire experience, can you recall a time when you felt
alive, most involved, or most excited about WV/your
involvement?
most
a.
What made it an exciting experience?
b.
Who were the most significant people involved?
c.
Why were they significant?
d.
What was it about you that made it a peak experience?
e.
What were the most important factors in the organization that
helped to make it a peak experience? (probe: leadership,
qualities, structures, rewards, systems, skills, strategies and
relationships)
3.
Let’s talk a moment about some things you value deeply; specifically, the things
you value about (1) yourself, (2) the nature of your work, and (3) WV/your
organization.
a.
Without being humble, what do you value most about yourself-human being, a friend, a parent, a citizen, and so on?
b.
When you are feeling best about your work, what do you value
the task itself?
c.
What is it about WV/your organization that you value?
d.
What is the single most important thing WV/your organization
has contributed to your life?
as a
about
B. COMMUNICATION
Global organizations often create a special feeling of alignment among their members, wherein
each individual feels that he or she “lives” the values and goals of the organization in their work
and lives.
1.
What does your organization do to heighten a sense of understanding,
alignment, or attunement among its members?
2.
When new members enter the organization, what does WV/your organization do
particularly well in educating them about both the mission and values of the
organization?
62
January 30, 2002
Page - 63 -
3.
Does your organization provide its members with meaningful
opportunities to consider how their personal values fit with organizational values?
C. EMPOWERMENT
Global organizations need members who can act and make decisions that are aligned with
organizational values and goals. People who are empowered are given the latitude to make
decisions related to their position and work. They are also given the information and support to
carry out these decisions and actions.
1.
When have you felt most empowered by WV/your organization?
2.
What does your organization do to encourage members to take action
in whatever ways they can?
3.
How does your organization succeed in empowering it members?
4.
What factors in WV/your organization serve to empower people outside of the
organization to help themselves?
D. QUALITY
Global organizations often face the strategic issue of an effective transition from a “growth”
model to a “quality” model of organizational development for all aspects of programmatic,
fundraising and organizational activities.
1.
How does your organization face the challenges of donor relations and
demands in light of shifting from a northern dominated international
partnership to one of engagement with southern participants as full partners?
2.
How does your organization shift from resource quality to resource
quality?
63
January 30, 2002
Page - 64 -
E. DIVERSITY (TRANSNATIONAL, FAITH AND SPECIALIZATION)
Global organizations encounter incredible diversity among their members; diversity in cultures,
goals, backgrounds, experience, age, sex, religion and values.
1.
What does your organization do to embrace the diversity among its
members?
2.
What does your organization do to create common goals and beliefs
that allow diverse people to work effectively together?
3.
What does your organization do to prevent diversity among its
members from becoming divisive or interfering with the success of its overall efforts?
4.
How does your organization respond to the need for local groups to
determine their own approaches to accomplishing tasks?
F. SHARING AND LEARNING ORGANIZATION
An effective global organization must always be in a state of evolution in order to remain
effective in the current world’s rapidly changing political, technical and economic paradigms.
1.
What does your organization do to maintain a “current” perspective?
2.
What does your organization do to help its members think about the
global perspective of their work and encourage reflective thinking?
G. CONCLUSION
1.
What is the core factor that gives vitality and life to this organization (without it
the organization would cease to exist)?
2.
If you could now envision, develop, or transform this organization in any way,
what would you do to heighten it’s overall vitality and health? (List 3 things in
order of priority.)
64
January 30, 2002
Page - 65 -
SAMPLE INTERVIEW PACKET - HEALTH CARE
(For 500 Interviewers...Doing 8,000 Interviews)
Princeton Group Health
The Future of the PGH Delivery System
Interview Guide -- September-November, 1995
Contents:
Purpose of the Interviews --Page 2
Overview of Interview Process --Page 3
Tips for Conducting Interviews --Page 4
Interview Script --Page 5
Summary Page --Page 12
Questions? Please call the hotline at 448-4755 (8-332-4755)
Due: Friday, November 22, 1995
65
January 30, 2002
Page - 66 -
Purpose of Interviews
As you know very clearly, these are turbulent times for healthcare. As we move into the future,
we want to be able to identify and capitalize on our strengths. Many organizations in our society
die before they reach the age of forty. Princeton Group Health is an exception to that statistic.
In our fifty years of existence, we have proven our resilience. We have been able to adapt,
change, and grow.
Thank you very much for participating in this process of gathering information from colleagues
across the organization. These interviews are part of an intensive effort to connect all parts of
the delivery system behind a common plan for the future and create a more positive reality.
As part of this process we’re looking at the following: What are the core factors that give life to
this organization? What can we learn from our experiences, especially if we examine closely
those moments when we have been at our best? What are our delivery system’s most effective
practices, strengths, or best qualities-- things that we should try to preserve about the delivery
system even as we change? What important lessons can we draw from our history? Building on
all this, what kind of organization do we want to be in the future? Can our positive past, the best
in our experiences, help us become more daring as we think about our true potential as a delivery
system? What is your dream for the delivery system? What ideas do you have for helping us
move into the twenty-first century?
How the interviews will be used:
The collected comments from these interviews will provide the basis for a report that will be
used to shape the design and discussions of a strategic futures conference in January 1996.
Participants in this conference will create specific action plans in key areas and determine the
most effective way to create commitment and action in the rest of the delivery system. All
comments from the interviews will be anonymous -- names will not be attached to any of the
stories, suggestions, examples, or comments made.
66
January 30, 2002
Page - 67 -
Overview of Interview Process
Complete 10 Interviews
Due: Friday, November 22, 1995
  Choose 10 people from your work area and/or professional discipline. Consider people that
you might not interact with on a regular basis.
  Ask these 10 people if they are willing to be interviewed, and confirm that they have not
already been interviewed.
  Send each of the 10 people the one-page information sheet prior to the interview.
  Complete interviews with these 10 people by November 22, 1995.
  Each interview should take 45-60 minutes to complete. If somebody only has 30 minutes
available for the interview, feel free to be flexible with the questions. Choose the questions
that you think will be most appropriate for that person.
  Assure interviewees that all comments are anonymous, but not confidential. In other words,
stories and quotes will be shared, but no names will be attached to them.
  If you’re having difficulty finding someone to interview, please call the hotline, and we will
help you link up with someone.
Return the interview materials
  Please use the space after each question for taking notes during the interviews. Note-taking
can be tricky since everyone does it differently, but we want to be able to read your notes.
  Immediately after your interview time, summarize the results, using the summary page of
this guidebook: write down the best quote that came out of the interview; write down a
descriptive summary of the most compelling story that came out of the interview; write down
the 1-3 themes that stood out most from the interview.
  Be sure to write your name, the date of the interview, and the region and discipline of the
interviewee on the summary page.
  Return this entire guide to MaryAnn, no later than November 22, 1995. If we haven’t heard
from you by mid-July, we will check in to see how you’re doing.
Delivery system strategic futures conference
  All interviewers will be invited to attend a strategic futures conference, to be held in January
1996.
  The report of all interviews will be used to design the Strategic Futures Conference.
  We’ll mail you an agenda and materials the week prior to the conference.
Questions? Please call the hotline.
67
January 30, 2002
Page - 68 -
Tips for Conducting Interviews
  Use the interview form as your script.
  Don’t bias the responses, please introduce the interview and ask the questions as they are
written.
  If people want to think about their answers, please give them the option of thinking about it
and rescheduling with you.
  Here are some possible questions to use to probe further:
Tell me more.
Why do you feel that way?
Why was that important to you?
How did that affect you?
What was your contribution?
was the organization doing that helped you do this? For example:
leadership, resources, structures.
What do you think was really making it work?
How has it changed you?
What
information systems,
  Let the interviewee tell his/her story, please don’t tell yours or give your opinion about their
experiences.
  Take good notes and be listening for great quotes and stories.
  Be genuinely curious about their experiences, thoughts, and feelings.
  Some people will take longer to think about their answers -- allow for silence.
  If somebody doesn’t want to, or can’t answer any of the interview questions, that’s OK, let it
go.
68
January 30, 2002
Page - 69 -
Interview Script
Due: Friday, November 22, 1995
Sample Opening
Thanks for meeting with me.
I’m (name), and I work at (place).
As you know, these are turbulent times for healthcare, and for PGH. To be able to move
forward, we need to be able to identify and enhance our strengths. I’m going to be part of a
conference this fall that will be mapping out the future strategic direction for PGH’s delivery
system. To prepare for this event, I’m interviewing several people to find out about their
experiences and hopes for the future.
I really want to know your thoughts and experiences, with an emphasis on what’s important to
you, and why you feel strongly about these things. What I hear from you is anonymous, your
name will not be used, but I will be telling your stories, so they can be part of the collection of
interviews from all over the organization.
I’d like to learn about your beginning at PGH.
1.
When did you start at PGH, and what attracted you to PGH?
2.
What keeps you here?
Since you joined PGH, you have probably experienced ups and downs, some high and some low
points. I would like you to reflect for a moment on a high point -- a time that stands out where
you felt most alive, most effective, or really proud of your involvement in the organization.
3.
Please tell me the story about this time? What made it a high point experience?
Let’s talk about some things you value most -- specifically about yourself and PGH as an
organization.
4.
What do you feel is the strongest, most important asset you have to offer to PGH? What
are your best qualities?
69
January 30, 2002
Page - 70 -
5.
What is it about PGH as an organization that you value the most?
Let’s talk about some best qualities of PGH, and your hopes for the future. I’d like to
ask you about four key areas that we think are important to PGH’s future.
PGH has the talent to be a winner in the marketplace. By that we mean that:
  at least 20% of everybody in our area gets their care from PGH or its network.
  we are known for excellent quality and service, and
  we have a positive financial picture.
If we become a winning organization, we’ll have the customers we want, a proud staff, and
attractive business partners.
6a.
Tell me about a time when you , or a work group you were part of, were
contributing to a winning effort at PGH. What do you think helped that be a winning
effort?
6b.
Imagine opening the newspaper one day and on the front page is a story about
PGH winning in the marketplace. What did it take to get there? What would the story
say about how we got there?
One of the strengths of PGH, and one of the things that sets us apart from our competitors, is the
fact that we are integrated in two ways:
  we provide both healthcare and insurance services, and
  we provide a broad range of coordinated healthcare services.
7.
How do you think we could best take advantage of these unique
strengths?
Our customers want to purchase healthcare of high value. To them, that means a balanced
combination of low-cost insurance, good service, and excellent clinical outcomes. We have
made considerable strides in each of these areas, and our customers expect us to keep doing that.
8a.
Describe a time in your work when you, or your work group, created
significant improvements in service and quality, while decreasing costs.
What were you doing? What helped you achieve this?
8b.
How could we do it even better in the future?
70
January 30, 2002
Page - 71 -
Our organization will work best when everyone thinks, acts and feels like an owner. That sense
of ownership will be highest when:
  we all know and believe in where we’re headed,
  everyone understands what is expected and is accountable for what happens,
  people are involved in key decisions about their work,
  people have the information they need to do their work well, and
  everyone knows how they and their team relate to the whole organization.
9a.
Take a moment and describe a PGH work situation in which you personally felt a
sense of ownership, passion, and accountability.
9b.
What can we do to strengthen a sense of ownership throughout this organization?
10.
Considering all the things we’ve talked about today, what do you think makes this
place work?
11.
If you could transform the delivery system in any way, what three wishes, in
order of priority, would you make to heighten our overall vitality and health?
This is the end of the interview, thank you very much for your time.
71
January 30, 2002
Page - 72 -
Summary Page
Due: Friday, November 22, 1995
Your name:__________________________________________________
Date of interview:___________________________________________________
Interviewee’s discipline:___________________________________________________
What was the most quotable quote that came out of this interview?
What was the most compelling story that came out of this interview? (use the back of this page if
necessary)
What were the 1-3 themes that stood out the most for you during the interview?
Please return this entire document to MaryAnn, no later than Friday, Nov. 22, 1995.
72
January 30, 2002
Page - 73 -
SAMPLE INTERVIEW PROTOCOL
Save the Children, Zimbabwe, Africa
Experiences And Learnings About Partnerships:
An Appreciative Inquiry
1. HAVE YOU EVER BEEN PART OF A REALLY GOOD PARTNERSHIP? We would like
to start with a question about your most positive or significant experience in a partnership
relationship. Over the years you (and/or your organization) have been in many partnership
relationships. As you reflect back over all those experiences, there have been ups and downs,
high points and low points, or peaks and valleys as far as the partnership experience was
concerned. For the moment we would like you to focus on a high point--a time you felt you were
involved in a really “good” partnership, a time that stands out as significant, meaningful,
mutually empowering, or particularly effective in terms of results achieved. Please share the
story of this good partnership: what made it a good partnership experience? How were you
involved? How did the partnership operate? What were the feelings? Key lessons? [Note: You
might want to answer this question in two ways: (A) a good personal partnership you have had
with another person , and (B) a good partnership your organization has had with another
organization].
2. BEST QUALITIES AND SKILLS. We all have different qualities and skills we bring to any
new partnership. Let’s reflect on those qualities and skills from several different levels:
(A) Yourself: Without being too humble, what is it that you value most about yourself as it
relates to things you bring to building high quality partnerships? What are your best qualities,
skills, approaches, values, etc.?
(B) Your Society or Culture: Every society or culture has its own unique qualities, beliefs,
traditions, or capabilities as it relates to preparing us for building good partnership relations with
others. What 2-3 things about your culture or society are you most proud about as it relates to
qualities that might enhance or help in building good partnerships? Can you share a story about
your culture that illustrates its best partnership qualities?
(C) Your Organization or Group: What, currently, are your organization’s best practices,
skills, values, methods, or traditions that make it prepared to be a good partner organization?
73
January 30, 2002
Page - 74 -
3. STAGES OF DEVELOPMENT. Think about a current partnership relationship between your
organization and another organization. Obviously relationships change over time. What, in your
view, were the stages of development in the partnership? If you thought about the relationship
like a play-- with act one, act two, act three, and so on-- what was the key theme or storyline for
“act one” like? Act two? Act three? What were the challenges that your organization had to deal
with in building a higher quality partnership? How did you most successfully deal with the
challenges? Key lessons?
4. WHY BUILD ORGANIZATIONAL PARTNERSHIPS? From your organization’s
perspective, why go to all the trouble of building organizational partnerships? Why not just
operate alone? What, in ideal terms, are the benefits and outcomes of forming good
partnerships?
5. CORE “LIFE-GIVING” FACTOR. As you think about what it takes to build high quality
partnerships, especially across organizations from different cultures, what is the core “lifegiving” factor in such partnerships (without it good partnership would not be possible)?
6. THINGS YOU MOST LOOK FOR IN A POTENTIAL PARTNER. What is your
organization’s criteria for inviting a partnership relation with another institution or group? What
are the key questions you would ask a new potential partner?
7. LEARNING METHODS. Every good partnership results in organizational learning on the
part of both parties. In your experience what are the primary barriers and obstacles to both
organizations learning from each other; more important, how have those barriers been overcome
in your partnership experiences? As a “teacher” how does your organization approach the
teaching/learning process? As a “learner” how does your organization accelerate its learning
from the other?
8. IMAGES OF THE FUTURE. Think about a partnership that is particularly important to your
organization (a current partnership or one you would like to see get built). Think about the
partnership as if it were several years from now, in the future. Assume also the partnership has
become the most healthy, alive, effective partnership that could be created (your wishes could all
come true). What does this ideal partnership look like? How does it work-- in terms of difficult
issues like power relations, resources, information sharing, decision making, learning processes,
evaluation methods, structures, communication methods, and so on?
9. IMAGES OF THE FUTURE--YOUR ORGANIZATION. As you think about your own
organization, and its capabilities for building and contributing to high quality inter-organizational
partnerships, what things do you wish (again assume your wishes will come true) that your
organization will:
Keep Doing...
Let Go of or Stop Doing. ..
Do New or Begin Doing...
74
January 30, 2002
Page - 75 -
HUNTER DOUGLAS WINDOW FASHIONS DIVISION
“FOCUS 2000” INTERVIEW GUIDE
Name: ______________________ Phone Ext. (if available): _________________
Position: ____________________ Business Unit/Function: _________________
Years of Service:______________ Date: __________________________________
Interviewed by:________________________________________________________
OPENING
Thank you for participating in this Focus 2000 interview. I’m looking forward to what I’ll be
learning from this conversation, and I hope that it will be a rewarding experience for you as
well. As Rick Pellett explained in his letter to you, these interviews are critical to the future of
our company.
Many times in interviews, we try to ask questions about things that aren’t working well – the
problems – so that we can fix them. This time, we are going to approach things from a different
angle. We are going to find out about your experiences of success here at Hunter Douglas, or in
other parts of your life, so that we can find ways to create more of those types of experiences in
our organization.
Later in the summer, everyone in the Window Fashions Division will have been interviewed. At
that time, everybody’s input will be compiled to identify the qualities that make Hunter Douglas
a rewarding place to work. With those qualities as a foundation we will dream our vision for
the year 2000 – and beyond.
There are just a few more things you’ll want to know about this process. Our conversation will
last between 1-1/2 and 2 hours. I’m going to take notes as we talk … sometimes, if you tell a
really great story or say something in a way that’s especially striking, I might write down what
you say word-for-word. But the information that I collect will still be confidential and
anonymous, unless you ask to have your name attached to it. I am the only person who will see
the detailed notes from this interview…a summary of our conversation will be turned in to an
independent consultant, who will work with a group of people later in the summer to pull
together all of our results.
75
January 30, 2002
Page - 76 -
During our interciew, we will be exploring your experiences in five different areas:





People
Education
Quality of Life
Communication
Morale
Now, before we begin, do you have any questions? [Respond, if appropriate.]
Okay, then let’s get started.
1. What were your initial excitements and impressions when you first joined the Company?
2. What has been your most positive or pleasurable experience since you’ve been here?
3. Without being humble, explain what you value most about:
 Yourself –
 The people you work with –
 Your Business Unit or functional area here at Hunter Douglas -
76
January 30, 2002
Page - 77 -
PEOPLE
The foundation of any great organization lies in the strengths of its people. The experiences and
diverse backgrounds are assets which any organization must utilize to be successful.
When we look at Hunger Douglas, it is obvious why it has been so successful. Looking back, we
have grown from a small company to a world-wide market leader. How have the people
contributed to this success? Hunter Douglas has fostered personal growth through teamwork,
two-way respect, communication and creativity.
When employees have the freedom to express themselves openly and to be involved in the
decisions that affect their future, they gain confidence and authority to perform at their best.
1. Describe the most memorable event that illustrates your contribution to the success of a team
or organization.
 What strengths did you bring to that success?
2. Reflect back on someone in your life you have admired and describe their qualities.
 How do you feel those qualities have influenced your growth?
3. If you could look into a crystal ball and see the future of Hunter Douglas and its employees, what
would you like to see?
 How do you think we can get there?
77
January 30, 2002
Page - 78 -
EDUCATION
Knowledge empowers people and people power Hunter Douglas. We each contribute to Hunter
Douglas' ’position of market leadership through personal knowledge of: our jobs and equipment,
other functions in the Company; our customers; our competition; and the industry.
To maintain our position as market leaders, we must continue to invest in each employee’s
training and education through:






individual coaching
challenging work assignments
job cross-training
tuition assistance
on- and off-site classes and
family scholarships for our children
1. If knowledge empowers people, and people power Hunter Douglas, what kind of learning
opportunities would turbo charge Hunger Douglas?
2. If you could learn more about our customers, competitors, the industry, and all functions of our
company, how could that information help you to take ownership in your role for continued
success at Hunger Douglas?
3. What is the best training you have ever experienced, and why?
 How did this influence your development as a professional?
 How did it influence the training you passed on to others?
4. Reflecting on your past and where you are today, what types of training have proven the most
beneficial to you?
5. Robert Fulghum wrote a book entitled “All I really need to know I learned in kindergarten.” If
this was kindergarten, what would you like to learn for the future?
78
January 30, 2002
Page - 79 -
QUALITY OF LIFE
Quality of life is achieved in part through a balance of work and family. By ensuring personal
and professional well-being, employees can reach their highest level of performance and selfsatisfaction.
Throughout the past. Hunter Douglas has been be sensitive to its employees’ changing personal
and professional needs through flexibility and awareness. We can ensure success for today and in
the future by continuing to acknowledge this need for balance.
1. Describe your definition of what a perfectly balanced personal and professional life is.
2. Envision a time when you were able to balance the personal and professional aspects of your
life.
 Describe how this was achieved
 What was it about this experience that made you feel this balance
3. If you could travel over the rainbow, what do you feel the quality of life would be like there.
79
January 30, 2002
Page - 80 -
COMMUNICATION
An ongoing and productive exchange of information and ideas is vital to the success of Hunter
Douglas. Information about how our business is doing, our customers and competition, our
plans for the future, and business processes in other parts of the Company allows us each to
make the most effective decisions possible. As we grow, this kind of complete communication
ensure our continued success in delivering innovative and quality products to our customers.
By exercising active listening and two-way communication, we secure our future as a fair and
open organization where every voice is heard.
1. Describe the best example that you have experienced of open two-way communication?
 What did you learn from that experience?
 How have you applied this to your daily interactions (for example: with your
supervisor, co-workers, other business units, customers and suppliers)?
2. What do you feel would be the ideal situation to which your questions, concerns, or ideas could
be heard and responded to?
3. What do you foresee would be the most effective process of receiving Hunter Douglas
information concerning products, employees, competitors, and the Window Fashions industry?
80
January 30, 2002
Page - 81 -
MORALE
We, as a company, appreciate the importance of each individual’s contribution to our success.
Recognition, commitment to excellence, and a sense of being stretched or challenged provide us
the motivation to do our best and go beyond our realm of responsibility. This, in turn creates:




job satisfaction
self-worth
a sense of value
and ownership
Continuous focus on positive morale ensures a fun and appreciative work environment.
1. When you reflect on your own experiences, tell me about a high point in your life that gave
you a sense of ownership and value.
2.
Think of someone who brings a sense of value and pride to their job, and how hey project
this l evel of ownership towards their peers. Tell me about it.
3. How do you feel recognition from your leadership and others, and having the resources and
equipment to get the job done would contribute to morale?
4. How can we continue to improve morale, build camaraderie, and have fun in the workplace?
81
January 30, 2002
Page - 82 -
CLOSING
In conclusion, I’d like to ask you just a few final questions.
1. What direction would you like to see yourself going with Hunter Douglas in the future?
2. Five years from now your best friend wants to work for Hunter Douglas. What would you
like to be able to tell them?
3. If you had three blank memos signed by Rick Pellett, the General Manager of Window Fashions,
That would become Company policy, how would you use them?
4. In your opinion, what was the highlight of this interview? What do you hope comes out of this
Process?
5. Would you like to become a future Focus 2000 interviewer? If so, it will involve your meeting
with between 2 and 5 people over the next month or so, using the same process that you and I
just used. [Interviewer note: please fill out the Future Interviewer Notice at the end of this
packet, for those who say “yes” to this question.]
82
January 30, 2002
Page - 83 -
SUMMARY SHEET
*****SPECIAL INFORMATION REQUESTED FROM EACH INTERVIEWER*****
 Complete in full after each interview
 Be sure to gather information from EACH SECTION of
the Interview Guide
 Review your notes with your interviewee before
submitting, if at all possible
What were the best quotes that came out of this interview?
What were the best stories that came out of this interview?
83
January 30, 2002
Page - 84 -
What were the best wishes that you heard in your interview?
What were the best practices or specific recommendations that you heard reflected in your
conversation?
Interviewer Name____________________________________________________
Interviewee Name optional)____________________________________________
Date of Interview ____________________________________________________
Please complete this summary sheet within 30 minutes of your interview, and send it
promptly to the Focus 2000 mailbox in Building One.
Thank you!!!
84
January 30, 2002
Page - 85 -
SAMPLE INTERVIEW PROTOCOL
A Religious Organization
An Inquiry Into Multicultural and Multiracial Relationships:
We live in a time of remarkable change, a time for re-thinking human relationships of
all kinds.
World historic changes like the ending
the system of racial
separateness/apartheid in South Africa; the collapse of totalitarian regimes and the fall
of the iron curtain; the globalization of the workplace; the rapid spread of global
communications technologies; the changing relations between men and women; etc.—
all of these changes signal a very open moment in world history. In particular, it is a
time to take seriously the idea that the world is ready to build a better future in regards
to human relationships of all kinds. We live in a multicultural and multiracial world;
and we have the thrill and responsibility to take seriously the new choices and chances
as we approach the 21st Century. It is within this context that Federated’s Multicultural
and Multiracial Task Group was formed and the present project conceived.
Following meetings with Central Council and each of the Boards, a decision was made
to interview members of the congregation to learn about the factors that lead to high
quality multicultural and multiracial relationships. For example, on a personal level,
what do you and others at Federated value most about being in high quality
multicultural or multiracial settings—and what are the factors that make high quality
multicultural or multiracial relationships come alive in mutually positive ways? Or, on
an institutional level, what are Federated’s best qualities in this area—things that we
can build on as we move into a more diverse society and global future? What is our
potential to bring healing and hope to our community ? What is our collective vision of
the kind of church we want to be in the next 10 years, lets say by the year 2005?
The information you provide will help us enter into dialogue with one another about
our various images and visions of the kind of future we would like to see for Federated.
Our interest is in learning from your experience and in learning about your hopes. We
will be doing over 100 interviews over the next two months. People have been chosen
on the basis of random selection. All interview data will be collated anonymously by a
team of volunteer graduate students from Case Western Reserve University. They will
search for themes in the data and stories and will prepare a summary report which will
be made available to all. The interview takes about 30 to 40 minutes. We thank you for
your thoughtful participation.
1. To start, I would like to learn about your beginnings with Federated. When did you come
here and what attracted you to this church?
85
January 30, 2002
Page - 86 -
2. Now I would like to move to the topic of multicultural and multiracial relationships and I
would like to start with a question about your most positive or significant experiences. I
would like you to go back in time to your early memories of being in multicultural or
multiracial relationships or settings. As you scan your experiences from the past to the
present, obviously there have been ups and downs, peaks and valleys, high points and lower
points. For the next few minutes I would like you to reflect on a high point in your
experience of being in a multicultural or multiracial relationship or setting—a time that
stands out as significant, meaningful, challenging, rewarding, enlivening, etc. Tell me the
story of this high point: what made it a significant experience? What were the feelings? What
was the situation?
3. Let’s explore some things you value. . . specifically things you value in two areas.
A. SELF: Without being too humble what is it that you value most about
yourself as it relates to things you bring to building high quality multicultural
or multiracial relationships? What are your best qualities, skills, approaches,
values, etc.?
B. DIVERSE OTHERS: What do you value most about being in multiracial and
multicultural relationships or settings?
4. I’d like you now to put an the hat of an anthropologist or sociologist for a moment. As you
think about what it takes to build high quality multiracial or multicultural relationships the
question is this: what is the core “life-giving” factor of high quality multiracial or
multicultural relationships (without it such relationships would not be possible)?Again, what
in your mind is the core factor that gives vitality and life to diverse human relationships of a
multicultural or multiracial nature?
5. Vital churches know themselves well in the most positive sense. They take the best of their
past in order to build an even better future. In many ways Federated is poised to respond to
the recent UCC pronouncement “Calling The United Church Of Christ To Be A Multiracial
And Multiracial Church”. Our church has many strengths an qualities that need to be
preserved and magnified as we move into the future. Assuming this to be the case, we have
two questions.
A. First, what currently are Federated’s best practices, qualities, programs, traditions, values,
etc.—things that help make us poised or prepared to contribute to building a better
multiracial/multicultural church, community, or world?
86
January 30, 2002
Page - 87 -
B. Throughout Federated’s history there have been many individual and collective efforts to
help build a better multiracial/multicultural world and community—initiatives aimed
at awareness lifting, healing, social change, community outreach, ministry, partnering,
education, etc. To help us put together a record of our work in the
multicultural/multiracial area please help me make a list of some of the important
initiatives , efforts, or programs.
6. Let’s think about Federated in the year 2005. Let’s assume, also, that lots of changes are
possible in a healthy and positive sense. If you had 3 magic wishes for Federated as it relates
to multicultural and multiracial relationships what would your wishes be? What are your
hopes, aspirations, or ideal images of potential?
7. More concretely now, what one or two steps could we take (programs, initiatives, changes,
etc.) that would help us move in the direction of your vision and heighten our overall vitality
as a multiracial and Multicultural church?
Conclusion
Thank you very much for your time. Do you have any other thoughts or stories you
would like to share? Do you have any questions for me?
I would like to leave you with a blank postcard for you to send in to the church, with or
without your name, if there are any other things you think of later that might be
important to this effort. Finally I would like to ask just two simple yes/no questions as
we end.
1. Do you feel that Federated, at the current time, is living up to it’s potential as a multiracial
and multicultural church? YES____ NO___
2. Do you support the idea behind this survey? That is, do you support the idea of Federated
exploring and building its own vision statement about the kind of multicultural and
multiracial church it wants to be in the next ten years?
YES____ NO___
THANK YOU!!!!!
87
January 30, 2002
Page - 88 -
****SPECIAL INFORMATION REQUESTED FROM THE INTERVIEWER********
(please fill out after each interview)
A.
What was the best quote that came out of the interview?
B.
What was the best story that came out of the interview?
Interviewer Name_____________________
Date of Interview___________________________
88
January 30, 2002
Page - 89 -
SAMPLE: APPRECIATIVE INQUIRY REPORT
FAIRMOUNT NORTH AMERICA
OUR FUTURE BEGINS WITH
OUR STRENGTHS
Committee members include:
Paula Smith
Sharon Stone
George Vender
Ed Wild
89
January 30, 2002
Page - 90 -
OVERVIEW
On behalf of all the people at Fairmount North America, the Committee on Appreciative Inquiry (AI) is
pleased to present it’s first report -- “Vision 2000: It begins with our Strengths.”
Our hope is that this report serves both as a catalyst and as an invitation. The invitation: To participate in
an organization-wide process where everybody at each location has the opportunity to think strategically
and imaginatively about “our common vision for the organization of the future.” As a catalyst: the report
provides inspiring snapshots of many of the strengths of the organization “when it is working at its very
best.” There is, it must be acknowledged, an undeniable positive quality about this report. Some of it
stems from the nature of the questions that were asked of you in the interviews. But equally important,
much of it comes from the real sense of optimism people feel about the company and its prospects for the
future. We too, as a committee, found ourselves really energized and excited about the organization’s
future when we began letting our imaginations go -What will Fairmount North America look like in the 2000? What will it look like if all of its best
qualities are magnified, extended, or multiplied, let’s say, by a factor of ten? Are we really ready,
as many have said in interviews and private conversations, to jump to a whole new level as an
organization? What is our dream? What do we really want this organization to be in the future?
How This Document Was Put Together
We constructed this analysis from interviews with 329 of you, comprising all locations and all levels of
personnel. The questions used in the interviews (which lasted from 1-2 hours each) were generated in
several 3-day workshops on “Appreciative Inquiry” held in August-September.* During those workshops
several topics were identified -- care and respect for people, teamwork, leadership, empowerment,
common goals and direction, commitment, and recognition. The interviews were designed to explore
these topics in several ways. When, for example, have people felt really empowered in this organization?
What supports or strengthens empowerment? What are the organization’s “best practices” when it comes
to good people management, or empowerment? What would we like to do more of to build a more
empowered organization?
*
Appreciative Inquiry is an approach to organization development now being used in many companies.
It is a positive approach that strengthens TQM and other continuous improvement methods. For more
information see Cooperrider, D. and Srivastva, S., “Appreciative Inquiry In Organizational Life.” In
Pasmore & Woodman (eds.) Research In Organizational Change and Development, JAI Press. Reports
were prepared by The Innovative Group; D. Cooperrider & R. Williams. For more information about this
process call (216) 791-1110.
90
January 30, 2002
Page - 91 -
On the basis of the interviews, the data was then put together first by location and then as a whole
corporation. This particular report is a summary overview for the whole of Fairmount. It draws on
information from each site report, attempting to discover those ideals that are common throughout the
company.
In terms of analysis, we first typed up all the interview responses and grouped them together by question.
The next step was to code each comment to discover, for example: What are the most important factors
that create, maintain, or strengthen empowerment? We then grouped examples (and quotes) of
empowerment together and attempted to put words to the topic-ideals. What do people really mean when
speaking about empowerment? What are people really saying is ideal? We figure that if we did our
homework well the topic-ideals, as written, will resonate strongly with what people want the organization
to be. Two things are important to keep in mind when reading through the report. First, these topicideals are fashioned from peoples’ actual experiences. There are examples, many examples, of each of
the ideals (see actual quotes). Thus, the topic-deals express the corporate culture of Fairmount as we
understand it from appreciation of our proven strengths. But the statements go a step further. They also,
hopefully, represent a bold extension of those strengths -- focused vision to which people are saying they
aspire as an organization. The topic-ideals are stated, therefore, in the present tense, not because they
have totally been attained, but because people are saying this is their present “ideal” based on experiences
when they/we have been at our best. We invite you to think of this document as a resource, as a catalyst,
to help you think seriously about what you want this organization to be like in the future.
How To Use This Document
The most thorough approach we have in mind would be as follows:
1. Read the summary at the beginning of each section to get a feeling for the topic-ideal. Ask yourself:
If we could be this way all the time, would I want it?
2. Read each of the sample quotes to get an idea of what people actually talked about. Ask yourself:
Do these quotes illustrate the topic-ideal? Do you have other examples, from your own experience,
that help illustrate the way things could be like in the ideal? What are those illustrations?
3. Read through the analysis. Ask yourself: Does the analysis sound plausible? What else would you
add to the analysis?
4. Remember: A future does not arrive uninvited. It is built. Organizations begin in the imagination.
And when an organization as a whole takes time to give voice to its preferred future it is all that more
likely to bring it about. Put simply -- it is easier to do things together when there is common focus.
91
January 30, 2002
Page - 92 -
Next Steps
Over the next several weeks meetings will be held to discuss the report. We hope these meetings will be
used for three purposes;
1. As a vehicle for discussing the discoveries -- to confirm, restate, debate, and elaborate.
2. As an opportunity to appreciate the organization for what it is today and to expand our thinking about
what it could be in the future.
3. As an invitation for people at each location to become part of a Vision 2000 team.
We believe the appreciative inquiry approach is a powerful way of building common focus. One
management thinker, Peter Senge, calls it building “a learning organization”. He writes
If anything, the need for understanding how organizations learn, and accelerating that learning
is greater today than ever before. The old days when a Henry Ford, Alfred Sloan, or Tom
Watson learned for the organization are gone. In an increasingly dynamic, interdependent, and
unpredictable world, it is simply no longer possible for anyone to “figure it all out at the top”.
The old model “the top think and the locals act” must now give way to integrated thinking and
acting at all levels. While the challenge is great, so is the potential payoff. “The person who
figures out how to harness the collective genius of the people in his or her organization”
according to former Citibank CEO Walter Wriston, “is going to blow the competition away.”
It has been an exciting task thus far. We look forward to the feedback sessions.
92
January 30, 2002
Page - 93 -
Teaching note: This Appreciative Inquiry report goes on to describe eight “IdealType” Themes with illustrative quotes and stories. It ends with a compilation of all
the visions for the future. We are including only one "Ideal-Type" Theme here for
your review.
This kind of report is usefully used as background material for building provocative
propositions. We have also distributed reports like this prior to people coming to a
Future Search conference. Before an artist paints a picture he/she assembles their
material: red colors, green, blue, yellow, etc. The Appreciative Inquiry report serves
exactly the same purpose -- it is the material that will help the collective imagination
come alive.
93
January 30, 2002
Page - 94 -
Ideal-Type Theme # 1: A Team-Based Organization
Fairmount North America has become a multifaceted business where the mindset of teamwork has
become a critical success factor in continuous, innovation, and responsiveness to customers (internal and
improvement). Said one person: “There are hundreds of examples of positive impact and innovation
because of teamwork -- our history keeps teaching us that none of us is so smart as all of us.”
More than a set of empty slogans or words, the call for teamwork has been a call for fundamental change.
Fairmount is an organization that has in fact dared to experiment with advanced organizational changes
and management approaches. It is an organization that has shown its change efforts even when there are
inevitable setbacks and learning pains. The movement to a team-based organization at Fairmount is not
cosmetic -- “it is inevitable” said one person.
But it is not just the spirit or mindset of teamwork. When working at its best the organizational structure
eliminates unnecessary hierarchy and division, and engages people as partners. At Fairmount, the socalled organizational chart with its hierarchy of reporting relationships and separation of jobs, reflects
only one reality. The “other structure”, not generally shown on the chart, is an overlay of person-toperson networks, cross-functional project groups, team, information-seeking meetings, new business
planning groups, and the like. While this kind of “ad-hoc teamwork” often seems a bit confusing (from a
standard organizational chart perspective) it can be argued that it is precisely this -- the ability to create
fast, focused, free-formed, flexible (even fun) teamwork -- that has brought Fairmount so much success in
recent years. Through the use of this “parallel” organizational form (i.e., the non-hierarchical team-based
organization) Fairmount fosters the cross fertilization of ideas, minimizes the building of empires,
harnesses the synergy of group cooperation, and cultivates the pride of being a valued member of “one
outstanding corporation”.
Sample Quotes:
1. Early last year we had a serious situation in California. It was a dangerous situation where the
product could jeopardize someone’s safety. We never had an experience like that. Never had a recall
before. Lives could be at stake. Liability laws in California were strict. It put us in an unbelievable
pressure point. Some of our customers were scared for their business. The negative situation grew
darker. Our customers became adversarial. But we dug down deep. I remember sitting in the room
when we made the decision to respond. People were shouting, arguing, searching for what to do .
Gerry stepped forward and the made the decision. We acted immediately. Came up with a war plan.
Launched a campaign. A team went to Escardo, California hunting down all the big tanks. Bob at
our Ontario warehouse was a hero-helping make everything we needed to have happen in California.
Millions of dollars were at stake. At home, FRP was heroic. They made 700 replacement tanks in a
matter of months. It probably cost us 1/2 million dollars to do what we did. But we were taking the
long-term view.
94
January 30, 2002
Page - 95 -
2. Teams: This is what the place is really all about. It’s about people working with one another. Why
have an organization if people don’t need other people. We are what we are because of our
teamwork, and not just individual parts. Its how the parts fit together. You see, you could try to make
a car from all the best parts: engine of a Mercedes, body of a Vette, brakes from a Cadillac,etc. But
you know what: the car won’t work. It is how the parts mesh, how the parts act as a team. The same
is true here. Teamwork is not an option. It’s got to be a way of life.
3. The most effective team effort was on an integrated product development team. It was about large
tanks. We were working out the concept of flanges and various ports. Fifteen people were involved.
The group was too large but worked OK. To make these teams really work we need: (1) only 6-8
people, (2) must recognize people’s contributions, (3) recognize people in written minutes and (4)
need democratic leaders who are dynamic and positive and give people the recognition.
4. I felt most involved when we re-did the whole back on the FRP line. We cut the water bath down, rearranged equipment, figured out how to run it with 6 people instead of sixteen -- and we did it
together, it was fantastic. We met once a week. Tim was a great listener. All our ideas were used.
There wasn’t anybody in the area not involved unless they chose not to be part. This is a model of
how we could be all the time. We need more of this.
5. Great teamwork happened when the marketing group decided to introduce a new product. We were
all kind of intoxicated !! It was a universal tank concept. We had all the pieces and parts. Cost no
money. A team took the ideas from concept to production in less than 6 months. We had twelve
people from every part of the company. We can draw three lessons (1) the goal was sold to the team - everyone agreed 100%, (2) everyone wanted to make it a success, (3) we had lots of communication
-- lots of meetings. At times, we met once a week for a couple of hours. We also had good
leadership.
6. I’ve been here almost 20 years and I’m really clear my high point was the beginning of the teams and
team training. But it was also a low for me -- the high point was being in the training session with
the managers. Just being in the same room together broke down lots of negative stereotypes we had
for each other. I wish this would continue. The company needs it. The low point though was not
being accepted by co-workers anymore... lots of people were negative about the team idea saying it
wouldn’t work. As it turns out, maybe their predictions were right. But we shouldn’t let the thing die.
Sure there were mistakes and two steps forward and three back for a while. But the team idea is
critical for our future. Nobody wants to go back to the authoritarian style where workers are to
“leave their brains at the time clock”
Commentary:
Fairmount North America is an organization that has dared to experiment with advanced
organizational changes and management approaches. The most controversial -- and arguably the
most productive -- has been the idea of teams. My reading is that the organization has been overly
hard on itself as it relates to inevitable “learning pains”. The idea of a more group-based, less
hierarchical or paternalistic form of management is a major change -- and Fairmount is not alone in
its love-hate affair with complex transformation like this. In my reading of the sentiment of the
organization there is no going back to more authoritarian management relations (“where people check
their brains at the time-clock”). The question is not whether or not to have team-based processes but
how to persist and work through inevitable learning pains even when there are voices of cynicism. In
this case even the cynicism should be valued. The cynical voice puts into words the doubts that we
all have. We have no doubts only about things we do not care about. That’s the point. People care.
They see a promise in the team idea that they really want. The idealism in this area is extremely high
95
January 30, 2002
Page - 96 -
at Fairmount. In my more adventurous moments, I find myself wanting to suggest a giant step
forward with the team idea, much like the examples given in an important new book Real Time
Strategic Change. With re-commitment, the team idea can and will thrive at Fairmount and making it
work will be a big key to the company’s
success in the future.
96
January 30, 2002
Page - 97 -
MEANING MAKING WITH QUALITATIVE DATA
Key Considerations
  Patterns - Foreground
  Exceptions - Background
  Edges - Frames
  Narrative Consequences
  Synthesis
  Relational Strength
  Harmonious Strength
  Provocative Strength
97
January 30, 2002
Page - 98 -
This appreciated world came into being with the development of man's
capability for self-reflection, a faculty encompassing much more than just
thinking. It holds the world-the physical, social, and spiritual aspects of
man's world-as we view it not just through the understanding which our
mind composes of it but through all forms of experience. It embraces our
appreciation of what this world can do to and for us, and what we can do to
and for it. . . Thus, the appreciated world becomes the motor for change
induced by human action.
Erich Jantsch
Design for Evolution
98
January 30, 2002
Page - 99 -
DREAM




Envisioning the Ideal Organization
Evolution Of Dialogue to Create Vision Consensus
 Principles - AI Dream Phase
 Practices - AI Dream Phase
99
January 30, 2002
Page - 100 -
ENVISIONING THE IDEAL ORGANIZATION
The Dream Phase of an Appreciative Inquiry Process is an invitation for an organization’s
members and stakeholders to imagine bold and enlivening possibilities for the future. Dream
dialogues are often integrated into the appreciative interviews – with questions about wishes,
hopes, and dreams for a better world and a better organization – and/or combined with Design
during an Appreciative Inquiry Summit.
As organizations move in the direction of what they study, the crafting of dream questions and
activities has strategic significance.
Same dream questions include:
1. We are in the year 2010 and have just awoken from a long sleep. As you wake and look
around you see that the world is just as you have always wished and dreamed it might be.
What is happening? How is it different?
How is your organization contributing to this new world?
makes a difference?
What are you dong that
2. As you reflect on the industry and business ecosystem in which your organization works –
what do you see as the 2-3 most significant macro trends emerging? How might they change
the way your industry and business operates?
What in your opinion are the most exciting strategic opportunities on the horizon for your
organization?
3. Given the current and future changes and opportunities in your business value chain – what
is the single most significant contribution your organization can make to the vitality of the
value chain?
4. Imagine it is 2010 and your organization has just won an award for outstanding socially
responsible business of the year. What is said about your organization as the award is
dedicated? What are customers saying? What are employees saying?
What did it take to win the award?
100
January 30, 2002
Page - 101 -
EVOLUTION OF DIALOGUE
*
TO CREATE VISION CONSENSUS
TYPE OF INTERACTION
Single Frame:
DEFINING CHARACTERISTICS
Monologue: Talking to versus talking with.
Often serves as a roll call response.
Multiple Frame:
Primary, two-way conversation:
“Let’s put our views on the table and see
where they are the same/different.”
Serves to create common language.
Each party left to conclude for him/herself.
Frame Linking:
Dialogue with common problem or
outcome focus (interdependence): “Let’s
pool each other’s points of view in order
to accomplish some task we wish to do.”
Frame Sharing:
Dialogue focused on current experience
of each other: “What are we learning now
that is relevant to each of us?”
Focus on “us” versus “me” and on “now”
versus “then or there”.
Frame Breaking:
Articulation of a new theory-in-use.
101
January 30, 2002
Page - 102 -
PRINCIPLES - AI DREAM PHASE
Relational - Social Dreaming
Polyphonic - Multiple Diverse Voices
Intergenerational
Shift the Context
Cast Forward in Time
Expressive
Enactments
102
January 30, 2002
Page - 103 -
PRACTICES - AI DREAM PHASE
A typical dream process:
1. Small groups of 8 - 12 people review data and stories from interviews with a focus on
the dream/future/miracle questions.
2. Groups discuss their vision of the ideal organization and scope out what would be
happening in the organization 5 - 25 years in the future. (Facilitators select the
appropriate time frame and focal question for the discussion).
3. Groups prepare an expressive enactment of their organization dream.
4. Dreams are enacted.
Dream Enactments are Encouraged to be Creative
POETRY
TV COMMERCIALS
SONGS
ONE ACT PLAYS
Etc.
103
January 30, 2002
Page - 104 -
DESIGN
Constructing Provocative Propositions
Criteria For Good Propositions
Social Architecture for Organizing
Sample Provocative Propositions
104
January 30, 2002
Page - 105 -
CONSTRUCTING PROVOCATIVE PROPOSITIONS
A provocative proposition is a statement that bridges the best of “what is” with
your own speculation or intuition of “what might be." It is provocative to the
extent to which it stretches the realm of the status quo, challenges common
assumptions or routines, and helps suggest real possibilities that represent desired
possibilities for the organization and its people.
The aim of Appreciative Inquiry is to help the organization in:
1.
Envisioning a collectively desired future, and
2.
Carrying forth that vision in ways which successfully translate intention
into reality, and beliefs into practices.
Appreciative Inquiry begins with the selection of some affirmatively stated topic for example, cooperation - and then proceeds with a study of the organization,
guided by these three basic questions:
1.
What is cooperation, and when and where has cooperation been at
best in this organization?
2.
its
What makes cooperation (between individuals, groups, departments, etc.)
possible?
3.
What are the possibilities which enhance or maximize the potential
cooperation?
for
The process then proceeds to the construction of provocative propositions based
upon the topics of inquiry and the data collected.
CRITERIA FOR GOOD PROVOCATIVE PROPOSITIONS
105
January 30, 2002
Page - 106 -
(Positive Images of the Ideal Organization)
  Is it provocative ... does it stretch, challenge, or interrupt?
  Is it grounded ... are there examples that illustrate the ideal as real possibility?
  Is it desired ... if it could be fully actualized would the organization want it? Do
you want it as a preferred future?
  Is it stated in affirmative and bold terms?
  Does it follow a social architecture approach (e.g. 7 - S model, etc.)?
  Does it expand the zone of “proximal development”?
  Use of 3rd party (outside appreciative eye)
  Complimented with Benchmarking Data
  Is it a High Involvement Process?
  Is it used to stimulate Intergenerational Organizational Learning?

Is there balanced management of: Continuity, Novelty, Transition?
106
January 30, 2002
Page - 107 -
SOCIAL ARCHITECTURE FOR ORGANIZING
In many ways, constructing provocative propositions is like architecture. Your
task is to create a set of propositions about the ideal organization: what would our
organization look like if it were designed in every way, to maximize and preserve
the topics we’ve chosen to study.
The beginning point is the selection of organizational elements. Organization
members may choose to develop their own social architecture or they may choose
to write provocative propositions based on a common model such as Marv
Weisbord's six box model or the McKinsey 7 - S model.
When crafting your social architecture you may want to include some or all of the
following organizational elements:
Leadership
Societal Purposes
Communication
Strategy
Structures
Systems
Culture
Shared Values
Competencies
Staff/People
Stakeholder Relations
Customer Relations
Business Processes
Social Responsibility
Results
Management Practices
107
January 30, 2002
Page - 108 -
SAMPLE PROVOCATIVE PROPOSITIONS
Company Y is poised for a positive future because:
1. Partners at all regions share a basic common vision in relation to the firm’s
core missions, intent, and direction. It is an exciting, challenging, and
meaningful direction which helps give all partners a feeling of significance,
purpose, pride, and unity. The firm uses whatever time and resources are
needed to bring everyone on board and thus continuously cultivates “the
thrill of having a one firm feeling”, of being a valued member of one
outstanding national partnership.
2. Fairmount North American has created an organization where everyone
experiences themselves as owners of the business-- where everyone at all
levels feels the organization is theirs to improve, change, and help become
what it can potentially become. Fairmount recognizes there is a big
difference between owners versus hired hands. Ownership, at Fairmount,
happens in three ways: (1) on an economic level where everyone is a
shareholder and shares in the profit, (2) on a psychological level it happens
because people are authentically involved, and (3) on a business level when
the “big picture” purpose is shared by all, and all take part at the strategic
level of business planning.
108
January 30, 2002
Page - 109 -
HUNTER DOUGLAS DESIGN STATEMENTS
Creativity
Hunter Douglas thrives on creativity. . . it is the source for new ideas, the lifeblood of
the company, and the catalyst for positive change. It is the basis for leadership in
products and processes that are both proprietary and innovative.
Hunter Douglas leads the industry in creative ideas that involve all of the
Company’s stakeholders, including employees, customers, and suppliers. We
vigorously promote a creative culture to help reinvent and improve products,
services, and organizational and business processes. We actively solicit,
implement and reward ideas generated by all people.
We foster an environment that inspires unique ideas, and provide
resources and opportunities for people to develop their creativity and
bring their ideas to fruition. Decision-makers actively listen to all ideas to
enhance creativity and enable people to realize their dreams.
People
Hunter Douglas Window Fashions Division’s success as a company is built on the
ideas, dreams, and diversity of our people and business partners.
We encourage, challenge, and support people in the pursuit of their ideas, dreams
and aspirations through: 1) utilizing and participating in the Appreciative Inquiry
process; 2) enhancing the quality of life through the balance of work and personal
life; 3) providing opportunities and resources for continuous personal and
professional growth; 4) providing a safe and open work environment, while
honoring and rewarding individual and team accomplishments.
The future of the Company is dependent upon employees’ participating,
ownership, integrity, and respect for others. Commitment to people and
their ideas ensures continued success, enhanced profitability and product
quality for Hunter Douglas and its partners, while resulting in happier,
more productive people.
Leadership
Visionary Leadership permeates Hunter Douglas and is the catalyst for our
success. Leadership exists in three areas – Individual, Managerial and Industry.
109
January 30, 2002
Page - 110 -
We seek out and develop leadership qualities among our employees. Leadership
strongly supports hand-on involvement, mentoring, defines leadership
opportunities, and actively listens to all voices, all opinions and all ideas with
fairness and impartiality.
Education
Education and Training are cornerstones of Hunter Douglas. Individuals partner
with the Company to achieve a sense of inner purpose, direction, and continuous
growth. This, in turn, nurtures the strength and confidence people need to achieve
their full personal and professional potential.
Hunter Douglas sponsors a learning center, “Hunter Douglas University”
(“HDU”) which provides such things as:
 Mentoring
 Customer Training
 Career Counseling
 Skills Development
Communication
Hunter Douglas demands open, honest, high quality and ongoing communication
among its employees, business partners and communities. We provide all
stakeholders the opportunity to express and be actively listened to on all ideas and
opinions.
The organization:
 Promotes continuous two-way exchange of information and ideas across all
cultures and languages
 Actively shares the “big picture” through open access to all appropriate
information about the company, its history and its business environment
 Maximizes use of the most effective communication tools
 Expects individual ownership of and responsibility for effective
communication
Customers
Customers are Hunter Douglas’ lifeblood and future. We delight customers
(fabricators, dealers, consumers, suppliers,
employees and the community) by understanding and exceeding their
expectations in the areas of:
 Product quality and innovation
110
January 30, 2002
Page - 111 -





Customer service and technical support
Customer relations
Training and education
Community involvement
Promises kept
We provide professional and seamless service, create strong partnerships, and
significantly contribute to customer success. The Hunter Douglas family
embraces customers through commitment to excellence, innovation, imagination,
dreams, and “small company values.” Our culture demands an atmosphere of
respect, trust, integrity, honesty, reliability, and responsibility. We expand our
customer base by nurturing
current and new relationships. Customers eagerly do business with us because
“We are easy to do business with.” We set the benchmark for others to follow!
Products
HDWFD’s market leadership is built on the strong foundation of its products.
Critical driving forces behind our market leadership are product innovation,
improvements, quality, and marketing.
We create high fashion, high function, reliable, branded products. In addition, we
are committed to:
 Continually reinvent our business through the creation of profitable, new,
proprietary products.
 Extend, defend, and continuously improve our existing products.
Our challenge is to develop and deliver “whole” products that provide total
satisfaction for our fabricators, dealers and consumers through:
 Creation of new products that are imaginative, fashionable, and robust.
 Thoughtfully designed and engineered products, with processes that have high
yields, zero defects, and minimal return rates – and which are easy to install and
fabricate.
 Products that are positioned and marketed effectively, so their place in the
market is easily understood by dealers and consumers.
 Supportive sampling and sales efforts that effectively communicate product
features and benefits.
 Low maintenance products that require minimal care and cleaning.
This results in products that consumers display with pride and enthusiasm.
111
January 30, 2002
Page - 112 -
112
January 30, 2002
Page - 113 -
Design, in its full scope, involves inquiry at all three levels, the rational, the
mythological, and the evolutionary. Viewed as specific human capability,
however, it is best defined at the mythological level. There, design appears as
the core of purposeful and creative action, of the active building of relations
between man and his world.
Erich Jantsch
Design for Evolution
113
January 30, 2002
Page - 114 -
DESTINY




Creating Appreciative Learning Cultures
Application Areas For Appreciative Inquiry
Sample Appreciative Employee Survey
The Power of Appreciation
 Workshop Valuation and Learning
114
January 30, 2002
Page - 115 -
CREATING APPRECIATIVE LEARNING CULTURES
“The best way to predict the future is to create it.”
Peter Drucker
* Affirmative Competence
* Expansive Competence
* Generative Competence
* Collaborative Competence
115
January 30, 2002
Page - 116 -
APPLICATION AREAS FOR APPRECIATIVE INQUIRY
  Innovations Toward the Ideal Organization
  Leadership and Management Development
  Work Process Redesign
  Team Development
  Organization Culture Change
  Employee Development
  HR Practices: Staffing, Orientation, Performance Management
  Communications
  Collaborative Alliances and Joint Ventures
  Community Relations and Customer Relations
  Diversity Initiatives
  Strategic Planning
  Focus Groups
  Generative Benchmarking
  Surveys
  From Evaluation to Valuation
  Appreciative Inquiry On-line
116
January 30, 2002
Page - 117 -
THE POWER OF APPRECIATION
“ I now perceive an immense omission in my Psychology. The deepest
principle of human nature is the craving to be appreciated.”
William James






































Powerful Vehicle for Knowing -- What Gives Life
Everything takes on Interest and Zest
Based on Positive Feeling
Creates ETHOS of CARE: EMPATHY
Makes self psychically available to the others
Dissolves Arbitrary Barriers
Egalitarian -- Inclusion, Consent, Co-Evolution
Overcomes Humiliation -- Enhances Esteem
Fosters Normative Bonding: Dialogue
Sees “Exceptionality”
Embraces Diversity
Magnifies Embryonic Possibilities
Generates Collective Hope and Will
Is Poetic -- Opens Up Possible Worlds
Transcends Resistance to Change
Source of Positive Guiding Images
Heightens Affirmative Competence
Taps into Heliotropic Potential
Everyone Born with the Capacity to Appreciate!
117
January 30, 2002
Page - 118 -
WORKSHOP VALUATION & LEARNING
1.
What about the Appreciative Inquiry Workshop most enlivened you?
2.
What excites you most about introducing Appreciative Inquiry to your
clients/organization?
3.
What Appreciative Inquiry competencies have you discovered that you already have?
4.
What’s your elevator story about Appreciative Inquiry?
5.
Visions for taking this workshop to a new level?
118
January 30, 2002
Page - 240 -
Steering Committee’s Decision Memo to CNO (example)
7 June 2001
DECISION MEMORANDUM
To:
Chief of Naval Operations
Subj: LEADERSHIP SUMMIT STEERING COMMITTEE OUTPUT
Encl: (1) The Leadership Summit report 01, dated 07 June 2001 (not enclosed)
(2) The Leadership Summit budget, dated 7 June 2001 (not enclosed)
1. Enclosure (1) discusses the Leadership Summit project background and outputs from the
Steering Committee workshop held at the Center for Executive Education in May 2001. This
Decision Memorandum is intended to be the vehicle for your decision/discussion of the Steering
Committee’s recommendations:
Recommendation
1.
2.
3.
4.
5.
6.
7.
8.
o
o
o
o
o
9.
Approved
Recommend a 3 or 4 day summit (4 days is ideal: one day for each component of the
Appreciative Inquiry “4-D” cycle)
Strongly request CNO attendance at the summit (determines summit dates)
Proposed to have the summit in November (time to plan and new FY)
Recommend form a 30 person interview team to collect exemplary leadership stories in
July/Aug (themes become summit topics)
Recommend stakeholder map in enclosure (1)
Estimated size is 220 (includes Steering Committee)
Propose to hold the summit at NPS (learning environment, distance from “in-box” and
home, will arrange C9 flights from Norfolk and San Diego)
Basic Communication Plan:
P-4’s from CNO to Flag Officers, Commanding Officers, Officers in
Charge, ect. – this will contain background information for the summit
and request nomination of selected stakeholders – RDML(sel) Moeller
to draft 17 June; recommend send end of June
LCDR Nystrom to brief key stakeholder leadership on summit
June/July
Letter from CNO to participants via commands in Aug/Sept –
LCDR Nystrom to draft
Read aheads mailed out 6 weeks prior to summit in October
Pre & Post summit articles published in Navy periodicals to set
expectations prior to and after the summit
Total est. resources are $250K, see enclosure (2): (received $100K from VCNO, hope to
receive research funds from ONR, Steering Committee also looking into other funding
options)
Prepared by: LCDR Dave Nystrom, USN, ph: (831) 656-3631, dcnystro@nps.navy.mil
240
January 30, 2002
Page - 241 -
Anticipated Outcomes Point Paper sent to CNO
24 August 2001
POINT PAPER
From: The Leadership Summit Steering Committee
To:
Chief of Naval Operations
Subj: LEADERSHIP SUMMIT ANTICIPATED OUTCOMES
PURPOSE: The purpose of this point paper is to discuss anticipated outcomes from the
Leadership Summit. I will present topic areas and the types of actions that may result. In
addition, the Summit will demonstrate an exciting new way to view and lead change that
capitalizes on the power of collaboration. I will present how together we can advance our
culture in a 21st century Navy.
1. LEADERSHIP TOPIC AREAS: The purpose of the Leadership Summit is to accelerate
positive change in Naval leadership and leadership development for our 21st century Navy. The
Leadership Summit provides a much needed opportunity for us to focus on the people in our
organization. Concurrently, a major strength of the Summit is that participants will drive the
outcomes – common Sailors impacting the common good. Given this premise, however, specific
results will not be known until the conclusion of the Summit. Yet, the ideas will focus around
certain topic areas already identified by the Steering Committee.
From the Steering Committee workshop, we discovered the topics below that helped us focus the
title of the Summit. They were:







A Chance to Make a Difference – giving every Sailor a voice
Values and Beliefs – living and inculcating our core values/guiding principles
Empowerment – supporting learning, growth, and development of excellence
Transformational Cooperation – bridging boundaries and making connections
Great Teams – being part of something larger than yourself
Innovation and Bold Risk Taking – enabling extraordinary individuals
Appreciating and Valuing – creating enlightened leadership
The Summit is designed to generate ideas and initiatives around these topic areas. Further, the
Interview Team will help focus the Summit agenda by gathering stories of exemplary leadership
in each one of these topics, as well as, uncovering other possible common themes.
2. FROM TOPIC AREAS TO ACTION GROUPS: The Summit participants will generate ideas
around the above topics areas. Action Groups will emerge with stakeholder champions for each
initiative. While we should anticipate many possible ideas, collectively they will advance
emerging themes for action, such as:
- Leadership Innovation
- Leadership Knowledge
- Leadership Capacity
241
January 30, 2002
Page - 242 -
Other themes for action will likely arise during the Summit. The choicefully appreciative nature
of the Summit provides a unique venue that uplifts and affirms the importance of every
individual in the Navy, while the collaborative design of the Summit emphasizes the power of
the "whole." Only together can we bring about positive, lasting change to our Navy.
3. "Together We Can:" Together, E1s through O10s will build a common vision of the future
and develop innovative ways to achieve it. Examples for the above themes for action might
include:
 Together We Can…Build Leadership Innovation: Maximize use of technology - for
example, the Internet offers our Navy a largely untapped resource for collaboration and
connectivity of people. An initiative may emerge at the Summit for enabling online postSummit collaboration and participation. Online, people can self-organize enabling postSummit sustainment and de-centralization of action. 250 people alone at the Summit may
not change the Navy, but 250,000 can!
 Together We Can…Build Leadership Knowledge: Maximize learning opportunities - for
example, Distributed Learning offers the opportunity for people to be their own university.
An initiative may emerge at the Summit to establish a repository of online leadership
knowledge. New leadership development techniques may arise that enhance self-awareness,
encourage personal and team growth.
 Together We Can…Build Leadership Capacity: Maximize people for their talents – for
example, the Revolution in Military Affairs begets a Revolution in Human Affairs from
organizational structures to how we evaluate, reward, and promote. An initiative may
emerge for innovations in our personnel systems that bring transparency and lateral
movement. Navy needs are better matched with individual needs and talents transforming
traditional career paths.
The range of outcomes will likely include short-term ideas with immediate impact and strategic
initiatives such as a Declaration of Leadership Principles for the 21st century Navy. The
possibilities are endless. Anticipated outcomes from the Leadership Summit are only limited by
the collective imagination of the participants…and the Navy.
Lastly, Appreciative Inquiry offers the Navy a fresh balance to deficit-based, problem solving
approaches to change. It is a leadership tool. A byproduct of the Summit might include
recommendations to increase awareness of Appreciative Inquiry where it is most useful, and
possibly creation of a center to answer questions, and assist the Fleet with post-Summit
implementation initiatives.
CONCLUSIONS and RECOMENDATIONS: The Leadership Summit will produce a set of
initiatives to improve Naval leadership and leadership development for the 21st century Navy.
The Summit will generate self-sustaining momentum for change because the participants will
242
January 30, 2002
Page - 243 -
have ownership in the ideas. Appreciative Inquiry and the Summit process are also likely to
emerge as relevant tools for the 21st century leader.
These possibilities lead us to our 21 September meeting. We recommend this be the final
"contracting" meeting prior to the Summit. The objective will be to have a "powerful
conversation" about the Summit: we will update our progress, then discuss the design,
anticipated outcomes, and areas you consider off-limits or limited. By its conclusion we will all
have a common vision for what the possibilities are, your role in the summit, and define the
upper bounds for the event.
Thank you very much, sir, for your continued tremendous support!
Prepared by:
LCDR Dave Nystrom, USN
Project Coordinator for the Leadership Summit
243
January 30, 2002
Page - 244 -
Post - September 11th Point Paper
1 October 2001
THE LEADERSHIP SUMMIT IN LIGHT OF 11 SEPTEMBER 2001
1. INTRODUCTION: In the wake of the attacks on America 11 September 2001, the leadership
Summit has increased importance and urgency. CNO’s priority for education and learning is even
more pertinent as we devise new strategies to global security redefined by unprecedented events.
The purpose of the Leadership Summit is to accelerate positive change in leadership and leadership
development utilizing a new approach to change called a Large Group Intervention with
Appreciative Inquiry to quickly get to decision points through dialogue with all stakeholders. In
uncertain times, the need for dialogue increases. The Leadership Summit is an opportunity for this
dialogue and communication, and hence should be viewed as a change accelerator for our Navy.
Further, the Summit will give us an opportunity to capture emerging strengths – as it relates to
leadership – 90 days after our response began. These strengths offer guidance, a beacon into the
future, for direction amidst uncertainty. There is tremendous energy for action created by the 11
September attacks. While we focus that energy on justice, that energy can also uplift our own sense
of purpose and vision through venues like the Leadership Summit.
2. BACKGROUND: The original premise that gave rise to the Leadership Summit was the
emergence of the theory of Globalization and that the world is experiencing a dramatic, post-modern
shift in the way organizations function and hence leaders within them. Factors influencing
organizational effectiveness also change the roles of organizational leadership. Thus, the way we
develop leaders must change to meet the new needs of leadership. No longer is this just a local
option for people with certain leadership styles:
Environmental Changes:
Information Age
Globalization
Trans-national Terrorism
Changes in Values:
Internet Generation,
People Valued
Organizational Changes:
De-centralized
Changes in
Leadership
Roles
(Pasmore, 1998)
Adaptable
Flexible
Employee Participation:
Increased Empowerment
Environmental Change: The Cold War period of the Industrial Age, although wasteful and
oppressive, was relatively stable. Today, free-market capitalism drives Globalization, fueled by
rapid growth in technology. The backlash of trans-national terrorism is no longer “notional.” Fast
change and growing uncertainty increases demands on leadership in organizations to speed up
communication, innovation, and decision-making. Increasing uncertainty increases the need for
dialogue.
Organizational Structure: Leaders have changed organizational structures to be more flexible,
faster, and adaptable. That implies a flatter, less hierarchical, networked organization. Rapid
change and increasingly complex issues require interdependency rather than dependency, and de-
244
January 30, 2002
Page - 245 -
centralized authority. Effectiveness in uncertainty occurs when there is support for constrained
improvisation.
Employee Participation: As organizational structures flatten, employee participation rises. People
become more empowered to make decisions. Individuals must step up to the call for increased
responsibility and leadership.
Changes in Values: The values/work ethic of the Internet generation is different from the
values/work ethic of those before them. No longer mere cogs in a bureaucratic machine, people are
inter-dependent agents embedded in networks of information, influences, relationships, and
resources.
3. DISCUSSION: For all the promises of Globalization, its rapid integration influence produces a
dangerous backlash from those brutalized by it and/or those who perceive it as a threat to their
preferred way of life. At the extreme, it produces radicals with a twisted sense of honor capable of
actions like those witnessed on 11 September 2001. The audacity and sad success of these terrorists
clearly calls into question the relevancy of our Navy’s legacy structures and personnel development
programs to prepare for and combat this new threat. The CNO’s reform initiatives put in place prior
to the attack target the transformation needed in how we develop our people. Since high quality
leadership is a cornerstone of everything our Navy does, the Leadership Summit supports a key
element of CNO’s overarching reform efforts by addressing the multi-faceted aspects of leadership
and leadership development.
“The more things change, the more things stay the same." One can interpret this for today to
mean that effective reform can not happen until people move beyond superficial conceptions of
traditional systems and recognize the unseen values and attitudes about power, privilege, and
knowledge that keep existing structures, regulations, and authority relationships in place. We
cannot realize our vision without fundamental shifts in how we think and interact, as well as how
we explore new ideas. Hence, we don’t need another change initiative, but rather a new
approach to the way we view and lead change. One that consolidates existing initiatives,
eliminates turf battles, and makes it easier for people to work together toward a common end.
The Leadership Summit is an example of such thinking using a Large Group Intervention with
Appreciative Inquiry.
In uncertainty, the need for dialogue increases. In the near future, the Navy will face increasing
uncertainty, and therefore the need for dialogue also increases. This Summit offers a new venue for
dialogue and communication to occur that can turn complexity and chaos into resolve and results.
Not long ago, the notion of trans-national terrorism, biological warfare, and cyber-terrorism were
concepts that we hypothesized about in context with network-centric warfare of the future. These
are no longer "notional" threats - we are living them today. Our entire concept of national security
was changed on 11 September, and in the aftermath that followed. This “new war” requires
innovative leadership, and requires that we rethink the way we develop leaders to be successful in
the future.
245
January 30, 2002
Page - 246 -
An unintended consequence of the Summit is that it will occur 90 days after our response began to
the 11 September attacks. The methodology of the Summit will bring an appreciative lens to bear on
our recent past and help discover emerging strengths of our leadership capability while responding to
this crisis. This new knowledge may well serve as a window to the future – a beacon for directing
our future leadership development focus.
By assembling our “system” of leadership and leadership development in one room, the Leadership
Summit will enable large-scale, rapid change. Key stakeholder leadership will be present with
vertical and horizontal representation – E1 to O10, with our Navy communities represented as well.
The methodology of Appreciative Inquiry focuses on the visible and tacit strengths of the Navy to
leverage and accelerate positive change. Instead of programmatic and directed change, the
Leadership Summit seeks to create emergent and generative change through a collaborative process.
The participants will drive and determine the outcomes, and be accountable for action.
The range of outcomes will include short-term ideas with immediate impact and long-term initiatives
such as a Declaration of New Leadership Principles for the 21st Century Navy. Also, Appreciative
Inquiry offers the Navy a fresh balance to deficit-based, problem solving approaches to change. It is
a leadership tool. A byproduct of the Summit might include recommendations to increase awareness
of Appreciative Inquiry, and possibly creation of a center to answer questions and assist participants
with post-Summit implementation initiatives.
Security: NPS is a much more secure facility than a hotel ballroom or a convention hall.
Heightened security measures will be taken for the Summit. However, after consulting with
local officials, NCIS and OSI, the Leadership Summit has a relatively low threat risk simply
because it does not fit the profile for a terrorist target. It is not the “heart of America.” The
World Trade Center and Pentagon were/are national symbols, had economic impact and shock
value. While important to us, the Summit is not likely important to a terrorist. Nevertheless,
NPS has invoked the appropriate security measures to protect staff and visitors.
4. SUMMARY AND CONCLUSIONS: Although the planning for the Leadership Summit
began over a year ago, the original premise remains unchanged. In fact, the reality of the world
we live in today gives the Summit more meaning and increased relevancy. Our new
environment dictates dramatic change to our traditional notions of national security. As a result,
the way we think of leadership and how we prepare leaders must also change for continued
success in the future. The Leadership Summit is an invitation to discover and leverage our
strengths to accelerate positive change in Naval leadership development.
246
January 30, 2002
Page - 247 -
Post - Summit Report to CNO
20 December 2001
From: Project Coordinator for the Leadership Summit
To:
Admiral Vern Clark, Chief of Naval Operations
Via: Director, Center for Executive Education
BRIEFING PAPER: POST-LEADERSHIP SUMMIT
Purpose: The purpose of this briefing paper is to provide a short overview of the Leadership
Summit outcomes, present intended courses of action for near and long-term post-Summit support,
and provide recommendations/next steps for the Executive Steering Committee’s continued efforts.
Background: The Leadership Summit was held at the Naval Postgraduate School (NPS), 3-6
December 2001. The first of its kind, the Summit assembled over 260 people ranging from seaman
to admiral, that also represented all backgrounds in our Navy. The Leadership Summit was aimed
at leadership improvement and our Navy’s system of leadership development, utilizing a Large
Group Intervention with Appreciative Inquiry to generate pilot projects with input from all
stakeholders.
Outcomes: During the Leadership Summit, participants used Appreciative Inquiry (AI) methods to
focus on their own past high point experiences in the Navy. The diverse group of participants
discovered many commonalties and hopes for the future. The participants then referenced these
strengths to create and share visions and pilot action plans for positive change. Specific outcomes
included 33 pilot projects (see: www.cee.nps.navy.mil). Additionally, the Leadership Summit:







Created a shared vision for the kind of leadership the Navy is calling for amongst participants
Provided spark for Task Force EXCEL’s leadership component
Established a method to collect examples of exemplary leadership stories
Focused on the importance of positive “self-talk” and AI as a change management tool for
leaders
Empowered participants with an awareness of Appreciative Inquiry and the summit method
Demonstrated value of methodology: Three separate summits will address other complex issues.
Participants returned with a heightened sense of the possibilities ahead - positive effect on
retention
Post-Summit: The Leadership Summit is more than an event, it represents an ongoing process.
Because of the Summit’s emphasis on self-determination/organization, effective post-Summit
support should concentrate on facilitation/coordination, continuing education, avenues for
resourcing, and lastly, accountability for action. These efforts will largely be the responsibility of a
Chief the Naval Education and Training (CNET) led partnership with the Executive Steering
Committee (ESC).
Facilitation/Coordination: Inspired by the process, some pilot projects will use the AI Summit
approach to look at other complex issues such as personal growth and development, Navy diversity,
247
January 30, 2002
Page - 248 -
and better integration of Navy families. A key to success is effective facilitation, both at the
planning stage and during the event. Until a more robust internal capacity can be developed,
facilitation will be available at NPS thru Dr. Frank Barrett and his colleagues. Dr. Barrett’s longterm vision includes a Center for Positive Change (CPC) whose mission will be to create and
support a positive change leadership network, which will magnify and support innovations and
learning. Another important role of facilitation is coordination. CNET’s leadership web portal will
create the infrastructure to support and online communities of interest, initially around each pilot
project. An important role of this portal is to support learnings across pilots. We want to share
success stories across the entire Navy, and put the spotlight on empowered leadership. Further, by
making these learnings public, we will help ensure long-term sustainment.
Continuing Education: To support cascading Summits, Dr. Barrett and his colleagues plan to work
with the steering committees of follow-on summit efforts. One major goal is to provide scheduled
workshops and a certification program for Appreciative Inquiry and facilitation training. Other 1day, introduction programs for larger groups are envisioned to support awareness. Online
resources and idea exchanges will grow as part of CNET’s web support. In addition, within each
Summit or positive change initiative, there will be a research element. It is vital as a learning
organization to build, capture, and disseminate knowledge through case study writings and thesis
work. This research program will help answer important questions about how best to support
positive change initiatives in the Navy, and the kind of leadership practices that make it possible.
Resourcing: CNET, ESC and the Director of Navy Staff will establish avenues and criteria for
resourcing ongoing efforts. All pilot efforts have an existing resource infrastructure and criterion
within their claimancies for funding that should be engaged prior to asking for any additional
assistance. However, the ESC would not want funding to become a barrier to progress or further
participation.
Accountability: I believe the single most important action the ESC can take is to announce their
intentions to conduct a follow-on Leadership Summit. The purpose would be two-fold: 1) to host a
venue for pilot project leaders to report out on their progress and learnings, and 2) to incorporate
these learnings and lessons learned from the first Summit, which will enable us to go deeper with
the original dialogue. Immediately, upon making these intentions public, participants (as well as
the broader Navy) will know this effort is real, and that senior leadership stands behind the process.
Further, we estimate that about 25% of the second Summit will be return participants and the
remaining 75% will be newly indoctrinated to the process, hence, expanding the learning
experience.
Recommendations/Next Steps: The AI Summit process offers an opportunity for powerfully
positive public dialogue. In our case, it enabled high impact dialogue about the potential of
leadership in the Navy. As important, is to recognize the value of appreciative learning and being
for leaders, which ultimately can yield increased organizational effectiveness. I recommend
continued use of AI and expanded opportunities for people to learn more about AI as a change
management tool for leaders. However, the ESC and I caution ourselves to avoid letting AI
become just another programmatic approach to change or leadership. AI is an invitation to see our
Navy anew, and we see our role as providing expanded opportunities. The next steps are to reconvene the ESC, to flag and prioritize the most impactful pilot efforts, and determine an Execution
248
January 30, 2002
Page - 249 -
Plan (to include marketing and funding) for the next year leading up to the second Leadership
Summit in late 2002 or early 2003.
Conclusions: There was an overwhelming sense from participants that the Leadership Summit was
a seminal effort by senior leaders in the Navy to improve leadership. It was a courageous effort to
champion a quality process that engaged every level in the Navy on one of our most fundamental
cornerstones of success – leadership. On behalf of the Steering Committee and participants, I want
to particularly thank you, Admiral Clark, for your support and inspiring presence at the Summit. A
key success factor was the level of commitment displayed from all of our senior leaders present.
This was very visible and impressive, and made our junior participants feel welcomed to speak
freely.
Engage – Influence – Transform: Undoubtedly, one of the most important outcomes was simply
that that it happened at all. In, and of itself – this speaks volumes. The opportunity for inclusion
and voice was one of the most cherished aspects of the Summit for participants, and to continue to
provide this opportunity remains one of the Steering Committee’s greatest hopes and sense of
accomplishment.
Very respectfully,
Dave Nystrom, LCDR, USN
249
January 30, 2002
Page - 250 -
Participant List
Participant list is not included here.
250
January 30, 2002
Page - 251 -
Summit Floor Layout
2 Screens
Internet Café
table
projectors
riser
AV
Large ballroom partition
for graphic artist
8 wireless mics
Ballroom entrance
33 tables of 8 (tables normally sit 10): max 264
251
January 30, 2002
Page - 252 -
Floor Team Gouge Sheet
Leadership Summit
Play Book
Think OPERATIONAL SECURITY. Limit this booklet’s
distribution.
Version 1.1 (Updated: 2 December 2001 @ 0700)
Leadership Summit is a unique gathering of stakeholder leaders with voices from our entire Navy system. Its
purpose is to accelerate positive change in leadership and leadership development utilizing a new approach to
change called a Large Group Intervention with Appreciative Inquiry to quickly get to decision points through
dialogue with all stakeholders. 300 people will co-create a shared future of the Navy - as it relates to leadership and then generate actions that the group will own.
Agenda
Sunday, 2 December 2001 – Arrival
1500
thru
1900
Registration for everyone (and express check-in for people staying at the Hyatt) will be conducted on the
lower level of the Regency Conference Center building at the Hyatt Regency Hotel.
 MILAIR passengers will be bussed to their 4 hotels. (1515-Washington; 1600-Norfolk/Millington;
1700-San Diego)
 Shuttles will run continuously between the BOQ, Navy Lodge and Hyatt so that everyone may
register, 1500-1900.
 Conference fee: $60 (cash or check) (Fee may be paid online, prior to the event, with a credit
card.)
 Closing dinner: $20 (cash or check)
Monday, 3 December 2001 – Discovery
0600
0630
0800
1200
1330
1630
1700
Continuous shuttle service between hotels and Herrmann Hall (BOQ) through 0800
Straggler registration, breakfast & Internet Island (public web access) – Herrmann Hall / Barbara McNitt
Ballroom
Morning Topic: Exploring our History (short break at 1030)
Lunch
Afternoon Topic: Discovering Highpoints (short break at 1500)
Group reports
Evening reception on the Quarterdeck, Herrmann Hall, through 1900
Continuous shuttle service between Herrmann Hall (BOQ) and hotels through 2000
Tuesday, 4 December 2001 – Dream
0600
0630
0800
1200
1330
1630
1700
Continuous shuttle service between hotels and Herrmann Hall (BOQ) through 0800
Breakfast / Internet Island (public web access) – Herrmann Hall / Barbara McNitt Ballroom
Morning Topic: Continuity – Maintaining What We Value (short break at 1030)
Lunch
Afternoon Topic: Imaging the Ideal Future (short break at 1500)
Group reports
Participants free to enjoy Monterey
 Center for Executive Education reception at the Superintendent’s Quarters, (O7 & above, spouses
invited)
 Continuous shuttle service between Herrmann Hall (BOQ) and hotels through 2100
Wednesday, 5 December 2001 – Design
252
January 30, 2002
Page - 253 0600
0630
0800
1200
1330
1630
1700
1800
2000
Continuous shuttle service between hotels and Herrmann Hall (BOQ) through 0800
Breakfast / Internet Island (public web access) – Herrmann Hall / Barbara McNitt Ballroom
Morning Topic: Map the Future (short break at 1030)
Lunch
Afternoon Topic: Action We Need to Take (short break at 1500)
Group reports
Continuous shuttle service between Herrmann Hall (BOQ) and hotels through 2300
Evening reception with the Chief of Naval Operations on the Quarterdeck, Herrmann Hall
Closing dinner – Herrmann Hall
Thursday, 6 December 2001 – Destiny
0600
0630
0700
0800
1200
1330
TBD
Continuous shuttle service between hotels and Herrmann Hall (BOQ) through 0800
Breakfast / Internet Island (public web access) – Herrmann Hall / Barbara McNitt Ballroom
CNO VIP breakfast at the NPS Superintendent’s Quarters (by invitation)
Morning Topic: Ownership – Taking Charge of Our Future (short break at 1030)
Lunch
 Continuous shuttle service between hotels and Monterey Airport Commercial Terminal through
1900
Afternoon Topic: Wrap-up
MILAIR passengers will be bussed from their 4 hotels to the airport. (1530-Norfolk; 1600-San Diego;
1605-Washington)
Communications
Main Lines into the Leadership Summit
fax:
(831) 656-3852 | DSN: 878-3852
main incoming phone:
(831) 656-2532 | DSN: 878-2532
three additional analog phone lines for connecting your laptops: 656-3824, 656-3825, 656-3826
email:
LS2001@monterey.nps.navy.mil (address operational only during Summit to receive incoming
messages)
Contact our Security Manager (Andy Andersen @ (831) 656-2450 | DSN: 878-2450) to confirm receipt of the
following:
 Email (SCI/JWICS):
anderma@nmic.ic.gov
 Email (SIPRNET):
andersen@nps.navy.smil.mil
 NPS SCIF:
(831) 656-3674 | DSN: 878-3674
There are also 2 courtesy phones in the Main Lobby off the Quarterdeck area: (831) 656-1111 and (831) 6563314.
Visiting Professors from Case Western University sponsored by
NPS Professor Frank Barrett
Dave (David) Cooperrider
Cell phone number:
Home phone number(s):
1546
School phone number(s):
216-368-2215
School e-mail:
(staying in CEE Enclave)
440-667-9520
440-338-1982 / 440-338-
Monica (Monica) Cannon
531)
Cell phone number:
Home phone number:
School phone number:
216-368-6412
School e-mail:
myc2@po.cwru.edu
(staying at Hyatt, room
216-368-2121 (direct) /
dlc6@po.cwru.edu
216-406-8341
440-498-4735
216-368-6405 (direct) /
Frank Barrett & Madalene Coke (staying in CEE
Enclave)
Office:
656-2328
Home:
688-5195
Cell:
251-3210
Liz (Elizabeth) Stubbs
(Hyatt, room 1629)
Cell phone number:
216-3384954
Home phone number:
216-791-9251
School e-mail:
fwd_exs94@po.cwru.edu
Home e-mail:
Divegirl@juno.com
253
January 30, 2002
Page - 254 -
NPS / Anteon
Get the latest information at: http://www.cee.nps.navy.mil/NewSite/leadership_summit/agenda.htm
254
January 30, 2002
Page - 255 -
Weather
As of 0607, Sunday, 2 Dec 2001
Today, Dec 2
Hour by Hour Forecast more details...
9:00 AM 12:00 PM 3:00 PM 6:00 PM 9:00 PM
57°F
59°F
56°F
Day
Wind:
Chance of Precip.:
Max. Humidity:
Night
Wind:
Chance of Precip.:
Max. Humidity:
52°F
Heavy Rain
50°F
12:00
AM
49°F
Hi: 60°F
From the West at 17 mph
80 %
83 %
Rain
Lo: 46°F
From the West Southwest at
9 mph
50 %
96 %
Averages and Records more details...
Sunrise:
7:02 AM
Sunset:
4:52 PM
Avg. High:
61°F
Avg. Low:
45°F
Record High:
79°F (1958)
Record Low:
39°F (1968)
Thursday, Dec 6
Day
Wind:
Chance of Precip.:
Max. Humidity:
Night
Wind:
Chance of Precip.:
Max. Humidity:
Partly Cloudy
Hi: 60°F
From the West Southwest at
6 mph
10 %
83 %
Partly Cloudy
Lo: 44°F
From the Southeast at 4 mph
10 %
99 %
Averages and Records more details...
Sunrise:
7:07 AM
Sunset:
4:52 PM
Avg. High:
61°F
Avg. Low:
44°F
Record High:
77°F (1962)
Record Low:
32°F (1978)
255
January 30, 2002
Page - 256 Operations Team Briefing Sheet
My gratitude to the members of the Leadership Operations Team; our role is vital to the success of this landmark
event for CEE, NPS and the Navy. We will succeed and offer value to the extent that participants are largely
oblivious to our presence because we work in the background to ensure a seamless operation.
1. We should plan to meet as a team every morning Monday at 0600, Tuesday – Thursday time to be determined
in the ballroom. We have our own room adjacent to the ballroom as well as a private room adjacent to the
Protestant Chapel, for the duration. We’ll go over these areas on Monday morning. We will plan the day along
with Drs. Frank Barrett and David Cooperrider.
2. Expect late evenings every day since we will need to prepare for each following day based on what was
accomplished and what are the needs for the next day.
3. We will wear the same distinct attire every day: Denim Leadership Summit shirt and khaki trousers.
4. We will have several specific roles during the event that are detailed below. In general, our charge is to see
that the people and resources are in the right place at the right time to facilitate the objectives of the
Leadership Summit. Experience teaches that a major part of this is encouraging participants back to their
places following breaks—one each morning and afternoon plus lunch breaks. I can’t emphasize enough how
vital this becomes, particularly with so large a group. Every person is vital to the success of the event and
stragglers are disruptive and disturb the flow. All this said, we need to be aware that appreciate inquiry (AI) is
not a traditional meeting format with “N” PowerPoint slides with bullets that need to be delivered. Dr.
Coopersmith invented AI after he realized that at conferences, most useful work was often accomplished in the
coffee breaks. AI is a relatively structured way to bring coffee breaks into an inquiry and planning process.
But this needs the folks in the room without resort to the authoritarian herding model. Here’s the plan:
i.
During the breaks, there will be upbeat music playing loud enough for the participants to hear even with
the din of conversation.
ii.
As the break time ends, (approximately 30 minutes for morning and afternoon breaks and 90 minutes for
lunches) the AV folks will reduce the music volume. One of our team will be designated our bell ringer to
ring a large, loud bell in the passageway between the ballroom and the quarterdeck.
iii.
When the bell rings, our team will encourage/escort/influence participants to return to the meeting area.
5. We will have specific roles during the various activities. Tentatively this looks like the following. Modifications
are possible and highly likely and therefore we need to stay connected to the facilitators and to each other.
i.
Monday AM: In addition to opening and welcoming, and ice-breaker activities, participants will work at
their tables (N=34) recording information on flip charts and reporting out to the larger group. This is
largely a self-managing activity and our team will have minimal role unless requested by the facilitators to
assist in posting results on the walls. At this and all report-outs, we will circulate with hand held
microphones and remind reporters to look to the camera and speak into the microphone.
ii.
Monday PM: Participants will move to new “stakeholder” groups, so the tables will be reconfigured.
Since the tables will be numbered, there should be no problem though we can help direct traffic as
necessary. Otherwise, the afternoon will be similar in terms of our roles except that we may be asked to
assist in mounting long sheets of butcher block paper on portable walls.
iii.
Tuesday AM: Same requirements as Monday AM.
iv.
Tuesday PM: In addition to roles as specified to AM, we may be asked to assist the facilitators and artist
in helping to attach Post-It notes to an “Art Museum”. This will be explained to us on Tuesday morning.
Also, we me be asked to assist in preparation of materials for the following day on Tuesday evening.
v.
Wednesday: This will be an intense day for the operations team. There will be two rounds of “open
space” in which participants come up with issues/themes important to them and then move to breakout
sessions in interest groups. Our role will be to assist the facilitators in assigning the interest groups into
breakout rooms, taking the interest groups to these rooms, and then returning them to the large group.
This will likely happen two times. We should understand the capacities of the breakout rooms in assisting
in the assignments—i.e., larger emergent interest groups should be assigned to the larger capacity
breakout rooms. These are the rooms, with capacities, that we will be using. La Novia is only available
for the first round breakout session. After 1400 we will use the dining room.
Room
Superintendent’s Conference Room
La Novia
La Novia Terrace
Dining Room (after 1400
Wednesday)
Tower Room
Ball Room
vi.
Capacity
15 - 20
2 groups of 20 – 25 each
2 groups of 20 – 25 each
Up to six groups of 25 each
Location
HH Mezzanine
HH Basement
HH Basement
HH Basement
30
3 groups of 25 each plus 1-2 more groups on terrace in good weather
HH Tower
HH Ballroom
Please familiarize yourselves with these venues prior to Wednesday. Each location will have chairs, flip
charts and markers, except the Ballroom terrace if we use it. The Ballroom terrace will need to have
chairs an flip chart moved to it from the Ballroom.
Thursday: The major event of this day will be the entry of the CNO and we will assist the facilitators to
manage Admiral Clark’s entry in to the process and on boarding. We can best help this process by
ensuring that the work of the participants is well displayed and can be followed. We will take our guidance
from the facilitators on Wednesday evening in setting up the room. We will also be available for helping in
the printing and distribution of materials prepared by the participants for each other.
256
January 30, 2002
Page - 257 These are the general notes on our opportunity to serve this important event and our Navy. We will undoubtedly
be flexible and change, as we need to. Please remember to bring your questions and issues to our meeting
tomorrow. I look forward to working with you.
257
January 30, 2002
Page - 258 Flag Aide / Summit Staffers Briefing Card
All staff meeting: Let’s get together in the Flag Aide Message Center Monday morning at 0800 so we
can demonstrate your resources and answer any questions you may have.
During the Registration process (and confirmed on Tuesday by LCDR Nystrom) you identified yourself as a Summit
staff member, and not a participant, during next week's Leadership Summit at the Naval Postgraduate School in
Monterey, CA. In an effort to help you get work done, network with fellow Aides and help us, we have created a
Flag Aide Message Center especially for you. Remember you will not have to pay for Registration ($60). You do
not have to go to the Wednesday night dinner either ($20). The Center for Executive Education is will cover the
cost of your emblematics as well as your “conference fee” that provides for your complimentary coffee and lunches.
You will have the following resources at your disposal from approximately 0630 - 1800 PST, Monday - Thursday:
1 copier, 4 computers (T1 connection to the Internet), 2 printers, TV and VCR.
Your Message Center is right below the ballroom for easy access to participants. It has convenient access to our
School of International Graduate Studies' gardens (for cell phone calls / Blackberries / fresh air). It is conveniently
located near our world-famous El-Prado Dining Room (open for breakfast and lunch) and is even closer to our
tavern, The Trident Room (temporarily located in the Dining Room - happy hour starts at 1600 daily). The Protocol
Office will also serve as a backup phone/fax/copier center. NPS Protocol Officer: LT Kathy Juster, X2466. NPS
Superintendent’s Flag Aide: LT Chuck Stuller, X2511.
So that your office staff you leave behind:




fax:
(831) 656-3852 | DSN: 878-3852
main incoming phone:
(831) 656-2532 | DSN: 878-2532
three additional analog phone lines for connecting your laptops: 656-3824, 656-3825, 656-3826
email:
LS2001@monterey.nps.navy.mil (address operational only during Summit to receive incoming
messages for all participants)
Contact our Security Manager (Andy Andersen @ (831) 656-2450 | DSN: 878-2450) to confirm receipt of the
following:
 Email (SCI/JWICS):
anderma@nmic.ic.gov
 Email (SIPRNET):
andersen@nps.navy.smil.mil
 NPS SCIF:
(831) 656-3674 | DSN: 878-3674
There are also 2 courtesy phones in the Main Lobby off the Quarterdeck area: (831) 656-1111 and (831) 6563314.
We also need your help. The eleven people in the Center for Executive Education are directly supporting the
Summit. We do not have the manpower to relay messages to participants. We ask for your help in self-organizing
your own watchbill/SOP for manning the Message Center during business hours. We will provide a cork-board
upon which you can pin non-sensitive messages for participants to pick up during breaks.
We look forward to working with you. Below is the latest listing of Summit Staffers, ranked by grade and then Last
Name.
First Last Location Command Grade Telephone DSN Fax
258
January 30, 2002
Page - 259 VIP Movements
Last NameFirst Name Rank Arrival Departure Notes
Leadership Summit Bus Schedule

Hyatt Conference Center (Front, Upper Level)

Monterey Beach Hotel  Navy Lodge
Morning Shuttles (Monday – Thursday)
Depart Hotel
Arrive NPS
0600
0630
0700
0730
0800
0615
0645
0715
0745
0815
Evening Shuttles
Monday
Depart NPS
1700
1730
1800
1830
1900
1930
2000
2030
Arrive Hotel
1715
1745
1815
1845
1915
1945
2015
2045
Tuesday
Depart
Arrive
NPS
Hotel
1700
1715
1730
1745
1800
1815
1830
1845
1900
1915
Superintendent’s
Reception:
1645:
Bus departs
MBH
1645:
Bus departs
Hyatt
1915:
Two
buses
standing by to
return guests
to the Hyatt
and Monterey
Beach Hotel.
Wednesday
Depart NPS
Arrive Hotel
1700
1715
1730
1745
1800
1815
1830
1845
1900
1915
1930
1945
2000
2015
2030
2045
2100
2115
2130
2145
2200
2215
2230
2245
2300
2315
Thursday: Check out of your hotel and bring your luggage to NPS on the morning shuttle.

Luggage will be grouped by the 3 MILAIR flight destinations.

Commercial flights will be grouped separately.

MILAIR passengers will be shuttled to each flight.

A shuttle will run continuously from NPS to Monterey Airport from 1200 – 1900 to drop off commercial
flight passengers and pick up people who have returned their rental cars.
259
January 30, 2002
Page - 260 -
Sunday, 2 December – Arrival & Registration
Start
1200
Stop
1415
1430
1600/1700
1600
1900
1600
2000
Remarks
1 x 24-passenger bus/1 extra person continuously shuttles participants from airport
commercial terminal to all four hotels.
From Million Air runway: At 3:15, 4:00 and 5:00 PM, (2) 47 Pax buses to Hyatt, MBH; (1) 24
Pax buses to NL; (1) 24 Pax to rental cars
1 x 24 passenger bus/1 extra person at Million Air to go to Rental Car Station at the
Airport and pick-up commercial air travelers and route between MBH/NL/Hyatt (with some
participants boarding at MBH/NL to go to Hyatt)
1 x 24 passenger bus/1 extra person at the commercial terminal of the Airport to shuttle
between MBH/NL/Hyatt
1 x 24 passenger bus to shuttle between MBH/NL/Hyatt (continuous shuttle)
Thursday, 06 December – Conference & Departure
1300 – 1900
2 x 24 passenger busses continuous shuttle between NPS and Airport (for commercial air and
rental car returns)
1500 – 1630
MILAIR FLIGHTS
2 x 47 passenger busses to Norfolk flight (3:30p.m.)
2 x 47 passenger busses to San Diego flight (4:00p.m.)
2 x 47 passenger busses to DC flight (4:05p.m.)
260
January 30, 2002
Page - 261 Participant List
Not included in this document.
Last Name First Name ID Lodging Conf.# Rank Grade
Table / Stakeholder Assignments
Warfare
Last First Organization
Tables
CNAP
USS BELLEAU WOOD, LHA 3
Drug and Alcohol Program Management Activity
USS CONSTELLATION (CV-64)
Fleet and Industrial Supply Center Norfolk
CDR, Navy Region Mid-Atlantic
CDR, Navy Region Southwest
Fighter Squadron 103
Service School Command
CNSP
Task Force Excel
Naval Base Coronado
NSSF New London
SEAL Team SEVEN
USS HIGGINS (DDG 76)
USS West Virginia (SSBN 736B)
Submarine Squadron Support Unit Norfolk
CNAP
FISC Norfolk
Fighter Squadron 103
Rank
PO1
Chief
CDR
PO2
GS-13
RADM
LT
PO3
CDR
LCDR
Captain
Seaman
PO3
Chief
PO2
LTjg
Captain
Captain
LCDR
LTjg
Community Summit Stakeholder
Av
33
3
surf
27
24
staff
23
15
Av
18
2
7
32
Av
2
9
surf
25
28
Av
10
1
staff
27
15
surf
14
29
30
30
surf
7
22
sub
13
17
spec
26
10
surf
27
22
sub
10
20
sub
17
21
Av
4
8
Staff
10
13
Av
3
5
CNATRA
USS HIGGINS (DDG 76)
CNO N61
NPS / C3F
Submarine Squadron Support Unit, New London
Monterey High School
CDR, Third Fleet
DRPM-AAA
(Tierney) USS BELLEAU WOOD LHA3
USNA
USS BELLEAU WOOD (LHA 3)
Amphibious Group Three
NAVAIR
11th Marine Expeditionary Unit, USMC
USS BELLEAU WOOD (LHA-3)
USS CONSTELLATION (CV-64)
CDR, Submarine Squadron 16
CDR, Undersea Surveillance
USS BELLEAU WOOD
NAVSEA
NR AIRPAC Supply 0294
RADM
PO2
RADM
LCDR
MC
Student
VADM
Major
LCDR
MIDN
LTjg
MC
GS-15
CAPT
PO1
Seaman
PO1
PO1
PO1
LT
LCDR
Av
surf
staff
surf
sub
ex
Av
spec
surf
misc
surf
surf
spec
surf
Av
sub
sub
surf
surf
Av
1
28
5
15
17
13
20
8
17
14
11
18
10
17
17
4
10
11
16
27
5
9
22
16
29
19
1
9
11
29
27
27
25
33
11
23
1
17
17
23
28
6
261
January 30, 2002
Page - 262 Warfare
Last First Organization
USS HIGGINS (DDG 76)
The Learning Circle
UC Berkeley
US Naval Academy
CDR Cruiser Destroyer Group One
VT-27
Public Works Center
Navy Recruiting Command
Civil Engineer Corps Officer School (CECOS)
Afloat Training Group Norfolk
USS BELLEAU WOOD
CNET
Navy Personnel Command
USS Belleau Wood (LHA-3)
USS HIGGINS (DDG 76)
USS CONSTELLATION (CV-64)
hm-15
Naval Sea Systems Command
VT-27
USS HIGGINS (DDG 76)
Fleet and Industrial Supply Center, San Diego
Interactive Design Consultant
Navy Personnel Command
JCS
Cisco Systems
Naval Station Norfolk (UIC: 62688)
Fleet and Industrial Supply Center
Naval Sea Systems Command (NAVSEA)
NPS
HM-15
Submarine Squadron Support Unit, Norfolk
USS HIGGINS (DDG 76)
Fighter Squadron 103
HM-15
Command Leadership School
Bureau of Medicine and Surgery
Center for Army Leadership, Combined Arms Center
SPAWAR
COMNAVPERSCOM
Afloat Training Group Pacific
DoNCIO
CEE
Roadway Express, Inc.
NAVBASE San Diego
CNMA
OPNAV
Naval Station Norfolk
USS CONSTELLATION (CV-64)
USS CONSTELLATION (CV-64)
SEAL Team SEVEN
URI
USS HIGGINS (DDG 76)
naval submarine school new london
CNAP
USNA
Naval War College
NSGA YOKOSUKA JAPAN
Naval Special Warfare Center
Dir, Center / Human Performance & Intellectual Capital
Afloat Training Group Pacific
SEAL Team SEVEN
NAVSUBSCOL NLON
Naval Submarine School
Tables
Rank
Community Summit Stakeholder
PO2
surf
29
22
Civilian ex
16
11
Student ex
26
5
CDR
staff
19
14
Chief
surf
30
24
CDR
Av
20
7
GS-13
5
32
MC
surf
30
26
LTjg
staff
9
13
Chief
surf
29
24
Seaman surf
8
22
Captain surf
20
30
MC
sub
28
19
CDR
surf
32
29
Ensign surf
2
27
MC
Av
7
4
LCDR
Av
4
6
Mr.
31
32
LCDR
Av
7
6
MC
surf
22
25
LT
staff
31
13
Civilian ex
20
21
CDR
staff
33
15
Captain surf
29
30
Cisco
ex
15
26
LCDR
staff
18
14
PO1
Staff
9
12
CDR
surf
31
29
RADM
surf
13
31
PO2
Av
16
2
LTjg
sub
13
20
Chief
surf
28
24
Seaman Av
2
1
LT
Av
15
6
Captain staff
26
16
LT
staff
18
13
Colonel ex
9
29
Captain Av
8
7
MC
staff
24
12
SC
surf
2
24
PMI
22
24
Prof
staff
21
16
Roadway ex
8
12
PO1
surf
15
23
MC
surf
23
26
LT
surf
33
28
Captain Av
22
7
LT
Av
16
6
Seaman Av
5
1
PO2
spec
21
10
Civilian ex
25
9
PO3
surf
14
22
PO2
sub
25
17
MC
Av
5
4
AD-09
misc
1
20
Mr.
27
33
PO2
staff
23
12
MC
spec
10
10
VADM
Av
26
9
LT
surf
29
28
Ensign spec
11
PO1
sub
12
17
Captain sub
15
21
262
January 30, 2002
Page - 263 Warfare
Last First Organization
NAVSTA / PORT OPERATIONS NORFOLK, VA
CNET
CDR, Submarine Squadron 16
SEAL Team SEVEN
Navy Personnel Command
CNO, SUBMARINE WARFARE DIVISION (N77)
DIRECTOR, MILITARY PERSONNEL PLANS AND POLICY
MC Petty Officer of the Navy
11th Marine Expeditionary Unit
COMCRUDESGRU ONE
Naval Postgraduate School
Navy Personnel Command
USS CONSTELLATION (CV-64)
CDR Training Air Wing Four
USS CONSTELLATION (CV-64)
USS CONSTELLATION (CV-64)
HM-15
Navy Public Works Center
USS CONSTELLATION (CV-64)
Naval Facilities Engineering Command
USS HIGGINS (DDG 76)
Navy Personnel Command
Naval Air Technical Training Center
Navy Recruiting District San Diego
NSGA YOKOSUKA JAPAN
Recruit Training Command Great Lakes
Fleet and Industrial Supply Center
SEAL Team SEVEN
CNET
CNAL
COMCRUDESGRU ONE
CNSP
Cisco Systems
CDR Training Air Wing Four
CNRSW
NetAge, Inc.
USNA
Monterey High School
SPAWAR
Naval Submarine School
Afloat Training Group Pacific
THIRD FLEET
NAVAIRDEPOT North Island
PHIBGRU THREE
HM-15
11th Marine Expeditionary Unit
USS CONSTELLATION (CV-64)
NAVSUP
NAVPERSCOM
NAS North Island
Navy Supply Corps School
Navy Personnel Command
Naval War College
OPNAV N7
CNO Washington, DC
Naval Submarine School New London
USS BELLEAU WOOD LHA3
CINCPACFLT
USS CONSTELLATION (CV-64)
Fighter Squadron 103
CNAP
Tables
Rank
Community Summit Stakeholder
PO1
surf
19
23
VADM
Av
19
9
Seaman sub
6
17
MC
spec
11
10
PO2
staff
32
12
MC
surf
33
26
Captain sub
14
21
RADM
sub
9
21
MC
sub
15
26
Sgt usmc spec
7
10
LT
surf
23
27
CDR
staff
24
14
RADM
Av
4
8
PO3
Av
12
1
Chief
Av
23
3
LCDR
Av
6
6
LTjg
Av
6
5
LTjg
Av
4
5
WL-10
33
32
PO1
Av
4
2
RADM
staff
6
16
LTjg
surf
12
27
MC
surf
29
26
Captain Av
7
7
PO1
Av
21
3
LCDR
staff
12
14
CDR
staff
3
14
Captain staff
11
15
CDR
spec
22
11
Captain sub
23
21
RADM
Av
33
8
LT
surf
24
28
VADM
surf
25
31
Cisco
ex
30
7
Captain
31
30
Captain Av
5
7
MC
sub
13
19
NetAge ex
29
14
RADM
surf
32
31
Student ex
18
10
LT
surf
1
27
CDR
sub
28
20
SC
surf
3
24
PO1
32
23
PO2
Av
17
2
RADM
surf
14
31
Chief
Av
24
4
MC
spec
8
10
LTjg
Av
7
5
RADM
staff
8
16
LT
32
28
PO1
Av
3
3
LT
staff
19
13
NF-06
32
32
RADM
staff
7
16
VADM
Av
23
9
SES-3
28
33
PO2
sub
26
17
PO1
surf
18
23
Captain surf
19
31
PO1
Av
5
2
Ensign Av
33
5
VADM
Av
18
9
263
January 30, 2002
Page - 264 Warfare
Tables
Last First Organization
Rank
Community Summit Stakeholder
COMSUBRON TWENTY
LT
sub
22
20
USS West Virginia SSBN 736 Blue
PO1
sub
13
17
OPNAV N64
Captain staff
13
16
USS CONSTELLATION (CV-64)
PO1
Av
6
3
SEAL Team SEVEN
LCDR
spec
9
11
Afloat Training Group Norfolk
Captain surf
24
30
The Learning Circle
ex
23
8
Navy Office of Legislative Affairs
CDR
staff
26
15
NPS
LCDR
staff
11
14
Naval Sub Support Facility, New London, Groton, CT
Captain sub
16
21
USS BELLEAU WOOD (LHA 3)
LCDR
surf
16
29
CNO office
Captain surf
21
30
Navy Supply Corps School - Athens, Ga
LT
staff
20
13
COMTHIRDFLT
CMDCM surf
25
26
Afloat Training Group Norfolk
PO2
staff
31
12
Naval Special Warfare Command
GS-13
6
32
Public Dialogue Consortium
Civilian ex
17
25
Sub Sqd Support Unit\ Performance Monitoring Team
PO1
22
23
USNA
LT
surf
2
27
Naval Postgraduate School
Captain staff
10
15
NAVBASE SAN DIEGO, CNRSW PORT OPERATIONS
LT
surf
26
28
Fighter Squadron 103
PO2
Av
15
2
SPAWAR
GS-14
9
32
Department of the Navy
SES-6
29
33
CNET
MC
surf
19
25
Submarine Squadron 20
MC
sub
16
19
SEAL Team SEVEN
PO1
spec
8
10
COMSUBRON TWENTY
SC
sub
33
19
USNA
LT
surf
3
27
USS CONSTELLATION (CV-64)
PO2
Av
19
2
CDR, Navy Region Mid-Atlantic
LT
Av
30
6
Navy Personnel Command
GM-15
2
33
CDR, Navy Region Southwest
RADM
Av
3
8
Task Force Excel
MC
32
26
Chief of Naval Personnel
VADM
Av
17
9
Director, Naval Leader Training Unit
Captain Av
27
8
HM-15
PO1
Av
2
3
USS CONSTELLATION (CV-64)
LTjg
Av
8
5
CNO Office
SES-4
30
33
Drug and Alcohol Program Management Activity (DAPMA) GS-12
4
32
Afloat Training Group Pacific
Captain surf
18
30
USS WEST VIRGINIA BLUE SSBN 736
SC
sub
1
19
NAVSUP
CDR
staff
25
15
HM-15
PO3
Av
11
1
COMSECONDFLT Surgeon
CAPT
staff
11
15
Navy Personnel Command (PERS-43)
CDR
Av
1
7
Navy Personnel Command
RADM
surf
12
31
The Learning Circle
ex
21
31
SPAWAR
RADM
surf
15
31
COMNAVSURFLANT
MC
surf
21
25
CECOS
PO2
staff
22
12
OPNAV (N79)
CDR
staff
2
14
Roadway Express, Inc.
Roadway ex
24
16
NetAge, Inc.
NetAge ex
19
33
Assessments Division (N81)
GS-09
3
32
CDR, Undersea Surveillance
LCDR
sub
13
20
Case Western Reserve University
PhD Stu ex
28
3
Cruiser Destroyer Group ONE
CDR
surf
30
29
NAVAL STATION NORFOLK, VIRGINIA
SC
surf
4
25
COMNAVSPECWARCOM
MC
spec
12
10
SHIPPINGPORT
Seaman surf
9
22
USS PENNSYLVANIA (SSBN 735)(GOLD)
CDR
sub
29
20
Naval Special Warfare Group ONE
CDR
spec
21
11
264
January 30, 2002
Page - 265 Warfare
Last First Organization
Naval Training Center, Great Lakes
USA Center for Army Leadership, Combined Arms Center
OP NAV
COMCRUDESGRU ONE
Naval Air Warfare Center, Training Systems Division
Task Force Excel
Fighter Squadron 104
navy personnel command
PWC / NBSD
Navy Recruiting Command
USS HIGGINS (DDG 76)
DOD
USNA
Fighter Squadron 103
Fighter Squadron 105
COMCRUDESGRU ONE
Fleet Training Center, San Diego
SEAL Team SEVEN
Bureau of Medicine and Surgery
OPNAV N81
COMSUBPAC PEARL HARBOR HAWAII
CDR, Undersea Surveillance
CDR, Naval Submarine Forces
NAVRESCRUIT Area 7
HM-15
COMNAVSPECWARCOM
VT-27
USS CONSTELLATION (CV-64)
NETPDTC
HM-15
Naval Air Reserve San Diego
Afloat Training Group Norfolk
Navy Personnel Command
Surface Warfare School Command
Rank
MC
SGTMAJ
VADM
PO1
GM-15
RADM
PO1
Chief
Ensign
RADM
PO2
Mr.
MIDN
MC
LT
MC
Captain
MC
GS-15
MC
PO2
LT
MC
Seaman
Captain
Seaman
Chief
MC
LTjg
Captain
LT
PO1
Captain
Tables
Community Summit Stakeholder
Av
26
4
ex
32
4
staff
24
16
surf
14
23
1
33
surf
16
31
Av
1
3
surf
31
24
staff
1
13
sub
10
21
surf
30
22
ex
12
27
misc
27
13
Av
6
4
Av
14
6
surf
20
25
surf
28
30
spec
31
25
staff
9
12
11
33
sub
14
19
sub
24
17
Sub
21
20
sub
27
19
Av
3
1
spec
12
11
Av
20
2
Av
25
4
Av
31
4
Av
5
5
Av
6
7
surf
28
28
sub
20
17
surf
25
30
265
January 30, 2002
Page - 266 -
Summit Floor Team Lessons Learned (logistics & design)
Logistics:
1. Communication, Communication, Communication – This is the most important feature of
a well run Summit. The Floor Team is an intergral part of the content delivery at the
Summit. From set-up to break-up, the Floor Team needs to be several steps ahead of the
process at all times. This effort is vital to keeping the participants focused on their task at
hand and not having to worry about other details.
2. The “Playbook” (see previous section) was vital to keeping everyone on the same page.
3. Signage was an important part of people movements. Foam-core signs from bathroom
locations to breakout rooms are an important part of getting information out.
4. The Leadership Summit set up an Internet Café with 15 laptops to allow people to check
email, during breaks…again, to help keep participant’s minds from worrying about other
issues.
5. Summit Design can be a fluid issue – be flexible. We did not actually have agreement on
what exercises to do in the Summit until the day before. Unfortunately, this is tough on
the Floor Team, who needs this information for planning purposes (materials, functions,
assignments…). Lesson learned is that this will be more work than you think.
6. Plan schedules (transportation, meals, ect…) as early as possible. Have logistics
meetings weekly, then daily as needed, with everyone involved (staff, security, drivers,
hotel, ect…) If contracting this function out to a conference coordinator, plan in
timeframes for these meetings, and dates when plans should be finished/published.
7. Assign function leads, as well as a Floor Team leader. Walkie-talkies were helpful for
communication, and an admin room (with copier, printers and laptops) for the team was
important for impromptu huddles and decision-making.
8. Telescoping easels for flip charts were great. They could be lowered when the group was
not doing tables work so participants view of the presenters was not blocked.
9. Make Floor Team shirts so help is easily recognizable for participants. We made good
quality denim shirts with the Summit logo. They actually became a highly sough after
souvenir.
10. Take-home items for participants (tote bag, coffee cup, pens, ect…) were a hit and help to
keep the experience memorable long after the event.
11. Each evening and morning of the Summit, the Floor Team had a meeting to discuss what
went well and what needed to be improved.
12. Buy materials well in advance. However, a Purchase Card holder was on the Floor Team
so last minute materials were easily obtained.
13. A Pick-up truck, checked out from PW, proved very useful moving materials.
266
January 30, 2002
Page - 267 -
Design:
1. One of the first milestones that needs to occur in any large Summit process is a
“contracting meeting” with the event champion. In this case, it was with the CNO. Prior
to getting too far down any decision path, conduct an interview with the senior champion
to determine his/her highest hopes and off-limit areas. The output from this meeting will
drive many subsequent decisions. For example, a major “off limit” area for the
Leadership Summit was policy. CNO did not want to use this event to make decisions
affecting Navy policy. As a result, we fenced the output around creating pilot projects.
A more local Summit, may have the opportunity to make broader changes happen all at
once.
2. A key concept when considering Summit design is the “whole system in the room”
approach that Summit work offers. After the Steering Committee determines its title,
they need to ask themselves, “who is affected by this action?” Answering this determines
who to invite and how big the event will be. The more completely “the system” is
represented in one room, the more effective the outcomes will be. In other words, don’t
operate from a predetermined total.
3. Second day of Summit – Provocative Propositions needed to be better tied to generation
of pilot efforts on the third day. Propositions can form the backbone of long standing
consensus for action.
4. Senior participants and junior participants have different expectations based on
experience and position. Senior folks thought the Propositions were one of the most
important outputs, where as junior people were more focused on the pilots.
5. Needed more time on the fourth day for pilot refinement. We finished at 1130 for lunch
and could have used the afternoon for additional small group efforts with the pilot
projects. A follow-up Summit with pilot members would be beneficial for this.
6. Participants left with a yearning for more understanding of Appreciative Inquiry. In other
words, how could we have given each table a guide on using AI during the Summit to
help steer table discussions? We also could have offered more AI training in the
evenings to interested participants.
7. Some tables had trouble functioning. The key enabler or disenabler appears to have been
the attitude of the senior person present at each table. They set the tone for cooperation
in general, and some were clearly distracted by office business from PDAs. We tuned off
cell-phones, but should have made it clearer to not bring the any office work into the
room.
8. Colored cards (red, yellow, green) were used to indicate acceptance of ideas/concepts
resident in the Propositions. It was effective at first, but lost its impact since most of the
ideas were pretty positive and non-confrontational, anyway. It would have helped add
validity to the process if the yellow/red card waivers were given time to express their
concern, or a way to help Proposition owner included their thoughts.
9. When designing the Summit process, include in the planning a second Summit for
follow-up. This should be about 6 months out and only need include the project team
267
January 30, 2002
Page - 268 -
leads and a sampling of participants with new attendees. This provides a mechanism for
follow-up (participants will know this is coming before the Summit is done, so a sense of
accountability is generated while projects are being formulated), shared learning, and the
opportunity to take the original discussions, deeper.
268
January 30, 2002
Page - 269 -
Leadership Summit Costs
Costs are shown in three categories: Contracted Support, Food and Beverage, and Totals.
Primary Summit cost drivers are: level of facilitation, location (if local or off-site), number of
participants, and level attention (i.e. “high vis” tend to require higher levels of service).
Subsequent Summit efforts can be done much less. As a “first of its kind” for our Navy, the
Leadership Summit had a significant learning curve cost that surfaced in “facilitation costs.”
Over a year of planning went into this event. It is my hope that this document will help
others capture many of the lessons we learned to help speed-up the process to make it more
affordable to the Fleet. The newly formed Center for Positive Change is an effort to help the
Navy capture these learnings and guide other similar large-scale change initiatives, while
developing an internal capacity for Summit work.
Contracted Support Costs:
Leadership Summit
Conference Information
Hotel/Location
NPS Actual Costs
Event Dates:
Dec 3-6
Number of Attendees:
250.00
Length of Event in Days:
4.00
Pre-Conference / On-Site Coordination and Travel
Expense
Hotel Negotiations: Identify locations both on and
off campus for lodging, secure guest room blocks to
meet the needs of the group. Arrange for meeting
space at Club Del Monte for each day of the summit
to include breakouts. Identify
companies/organizations available to provide on-site
audio visual support to include digital video, web
casting and av support for breakouts if required.
Arrange for network connectivity in the Barbara McNitt
Ballroom to include telephone and internet abilities for
3 administrative kiosks.
Proposed
Costs Actual Costs
Attendee Coordination: Track registration via the
internet, email or fax. Work with the event Program
Manger to develop and maintain rooming lists for on
and off campus lodging locations for attendees and
their staff. Communicate via phone, email and or fax
to attendees and their staff with any special needs or
requests.
269
January 30, 2002
Page - 270 -
Web Site and Graphic Support: Design, develop
and maintain the summit web page to include a
registration page, general information page, agenda
page and any other special requirements.
On-Site Support: Three (3) contractor Support Staff.
Two (2) staff members to assist with any special
requirements, sleeping room problems, on site
registration, coordination of food & beverage events,
assist with resolving administrative related issues and
One (1) staff member to liaison with the various audio
visual, IT, web casting and other communication
providers to ensure a smooth flow for any AV related
requirement.
Post Conference Support: Reconciling all charges
related with the event. Updating attendee database.
Provide speaker address information for Thank You
letters.
Conference Coordination Totals
Purchases through NPS
Nametags with O-Ring for Lanyards for 300
Purchases through NPS
Purchases through Contractor
Staples (Table Supplies)
Costco (Table Supplies)
Aaron Brothers (Easels)
Office Depot (Table Supplies, Easels & Cardstock)
Art Max (Butcher Paper)
Kinko's (Attendee List)
Printing of Color pages for mailing
Printing of Positive Image for mailing
Printing of Org. Dynamics for mailing
Postage for mailing
Printing of Leadership Summit Binder
Color cards for Dinner Choices
carpet and poster boards
Hyatt - Refreshments during registration
Hyatt - Porterage charge
Hyatt - Room rental 12/3
Ultrex (Copy Machines)
270
January 30, 2002
Page - 271 -
Meeting Space Rental for Barbare McNitt Ballroom
Food & Beverage for 4 days @ a minimum of 15.95
per person per day
Lunch for 4 days @ 11.90 per person per day
AV Equipment Rental (4 9x12 screens with dress kits
@ $520 per day 4 data projectors @ 3000 per day)
Purchases through Contractor
Summary of Costs
Estimate
Actual
Conference Coordination Totals
Purchases through NPS
Purchases through Contractor
Project Management
Subtotal
*9.4% G&A Fee on Contractor Expense Totals
TOTAL COSTS
Estimated Registration Fee
Total Estimated Revenue (checks)
(acteva)
Total Income
Overall Conference Cost
*Note: This fee is applied to only those purchases paid through Anteon Corporation
Food and Beverage Costs:
12/03/01
AM and PM Break
12/03/01
Lunch
12/04/01
Reception
12/04/01
AM and PM Break
271
January 30, 2002
Page - 272 -
12/04/01
Lunch
12/05/01
AM and PM Break
12/05/01
Lunch
12/06/01
AM and PM Break
12/06/01
Lunch
12/06/01
Box Lunch
Cash Deposit
Sub-total
12/05/01
Dinner
Total
Totals:
Facilitation fees
Food
Contract Conf support
Honoraria
Transportation
CEE Purchases
Credit Card Purchases
Total
272