Thursday, May 07, 2009

Management by Wandering Around: Reference Rovering and Quality Reference Service

Management by Wandering Around: Reference Rovering and Quality Reference Service

Michael Lorenzen

(This article originally appeared in The Reference Librarian,1997 (no. 59), 51-57.)

Abstract: Reference rovering is a method for eliminating the barrier of the reference desk which is between the librarian and the patron. This concept very closely parallels the business concept of Management By Wandering Around (MBWA). This paper looks at the literature examining the history and techniques of both MBWA and reference rovering. The techniques for how to conduct reference rovering are explored. Both the advantages and disadvantages of reference rovering are examined.

Introduction

The reference desk is a location that allows for the librarian to interact with patrons in ways that help the patron locate information. Despite the usefulness of the reference desk, it can also become a barrier. Not all patrons who need help locating information will ask for it. Some patrons will be afraid to ask for help. Others will not realize that they need to ask for help. The librarian working behind a reference desk may not always notice when a patron who has not approached the desk needs help.

The business world has similar problems. Managers can have difficulty becoming aware of problems in their areas of responsibility unless other employees or customers point out problems to them. In the last several decades, a business solution to this has emerged. The concept of Management by Wandering Around has gotten managers out of the office and onto the floor making contact with employees and customers. Some librarians have responded similarly by leaving the reference desk behind to interact proactively with patrons by acting as reference rovers. Management by Wandering Around and reference rovering are very similar and an examination of both can prove useful to librarians engaged in reference work.

Literature Review

Management by Wandering Around was developed by executives at Hewlett-Packard in the 1970s (Trueman, 1991). It became popularized by a book written by Tom Peters and Robert Waterman in the early 1980s. The two discovered that companies that had top managers engaged in interacting with employees and customers were more successful than those with isolated management. The two believed that this success was due to leadership that "wandered" outside the executive suite. Rather than micro-manage employees, Management by Wandering Around allowed for informal communication and a decrease in bureaucratic lines of communication. It also allowed for managers to communicate organizational values and management philosophy at a personal level (Peters and Waters, 1982).

The key to Management by Wandering Around is communication between managers and employees. The concept allows a manager to be "walking around with (his or her) eyes open asking questions like crazy and trying to understand what the employees are doing" (Lavenson, 1976). A Vice-President of Hewlett-Packard described Management by Wandering Around as "the business of staying in touch with the territory all the time." This is done by "being accessible and approachable" (McPherson, 1991). In short, a Management by Wandering Around program "gets the manager out of his or her office and onto the floor making contact with employees" (Amsbary and Staples, 1991).

Amsbary and Staples did a case study of a Management by Wandering Around at a hospital. They found that a Management by Wandering Around program was providing for improved communication between nurses and administrators. They also found that despite the program's success many administrators did not know how to behave while "wandering" due to the ambiguous nature of Management by Wandering Around. Other fields that have explored Management by Wandering Around include the ministry (Bilmer, 1984) and education (Matula, 1984).

Reference rovering probably has been around in some form or another since the beginning of reference service. However, as a separate philosophy of reference, it has received little attention in library literature. Jennii Ramirez wrote an article on it based on her experiences at Diablo Valley College. She listed six benefits to reference rovering including letting patrons know that it is OK not to know how to use the library, getting patrons help at the point of instruction so they will not lose their places at computers, eliminating the reference desk separating patrons from the librarian, instructing patrons so they learn from a hands-on approach, teaching one-on-one which is superior to group bibliographic instruction, and letting other patrons benefit from public conversations between a librarian and another patron. Ramirez summed up her article by writing, "Reference rovering, in fact, is better than working from a reference desk in some respects. The amount of contact with patrons is greater when rovering. Not only does the rover's offer of assistance in itself provide an opportunity to become more comfortable in interpersonal communication with patrons, but the offer is often appreciated and accepted" (Ramirez, 1994).

Techniques of Reference Rovering

Reference rovering needs to follow a modified version of Management by Wandering Around if it is to have maximum effectiveness. To be successful, the librarian must get out from behind the reference desk and onto the floor making contact with patrons. The librarian must walk around with eyes open asking questions in an attempt to stay in touch with patrons.

Each reference unit must decide if reference rovering will be done as part of regular reference desk coverage or whether it will be a separate scheduled activity of librarians. If the decision is made to include rovering as part of regular reference coverage, several other questions must be addressed. How much time will each librarian spend rovering while at the reference desk? Will there always be at least one librarian at the reference desk despite rovering activity? If the decision is to schedule separate rovering time, the times when reference rovering will be the most beneficial must be identified.

One problem that has been identified with Management by Wandering Around is that managers do not know how to "wander" (Amsbary and Staples, 1991). It is thus reasonable to assume that many librarians do not know how to "rove." The easiest way to rove is to wander around the reference areas paying particular attention to patrons who appear confused or who the librarian knows from prior interactions needs extra help or are working on a tough research question. Another thing to notice is if patrons are not doing research in the most efficient manner. A patron who is at record 13 of 2013 on a research database certainly needs some rover intervention.

After identifying patrons in need of help, the librarian must strike up a conversation with the patron. The choice of the initial question is particularly important. Asking "How is your research going?" is a good way to enter into the reference interview. Another good opening line is, "Wow, that sure is an interesting topic!" if the librarian can see a topic on a computer screen, although the librarian should be careful not to do this if the patron is researching a potentially embarrassing topic. A good follow-up rover question is, "How is your progress?" on whatever topic the librarian previously helped the patron research.

Patrons can be sensitive about appearing dumb. This is why many of them do not go to the reference desk in the first place. It is important not to phrase questions as if the patron needs help. Many patrons will immediately get defensive. Another point to remember is that some patrons do not want to be approached. If the librarian feels the patron is uneasy with being disturbed, the librarian needs to end politely the rover encounter. Librarians should try to make it appear as though they are not violating the privacy or personal space of the patron.

Librarians engaged in rovering should always wear badges that identify the rover as a librarian. Patrons may not always know that the stranger coming up to them asking questions about their research is a librarian. Patrons may grow suspicious and worry about the intent of the rover. It is not good for patrons to think that rovers are trying to "pick them up."

The reference desk itself may need to be changed. If rovering is a part of the duties of librarians scheduled to the reference desk, the design of the desk will need to reflect this. Sit-down reference desks inhibit the rovering activities of librarians. A reference desk with high stools designed more as an open counter area allows for better rovering interaction. The reference area itself may need some redesign to facilitate rovering. Objects such as shelving, tables, and computers should be in a line of sight from the reference desk. Further, the reference area should be as open as possible to allow librarians who are rovering the best view of patron activity.

Finally, it is very important that librarians who are rovering are relaxed and friendly. Patrons approached by disinterested or untactful librarians are not going to feel comfortable. Rovering by uninterested or unfriendly librarians will damage the reputation of a library.

Benefits of Reference Rovering

There are many benefits to reference rovering. Several of these were first identified by Ramirez. The biggest benefit of reference rovering is that it eliminates the barrier of the desk. The librarian is free to go to the patrons and help them as it is needed. The librarian is more alert to patron needs and the patron sees the librarian as being friendly and helpful because the librarian sought out the patron.

Since the librarian is out on the floor, problems are discovered faster. Inevitably, new reference tools such as computers can cause unforeseen problems for patrons that may take weeks or longer for the library staff to discover. A rover will pick up on these problems much faster. Additionally, other problems, such as a leaky roof in the far corner of the reference area, may be discovered faster as well.

Reference desk traffic should diminish. As librarians are rovering, many of the questions that may have came to the reference desk will never get there because the patron was identified and helped by a rover. Further, rovers will be able to check up on patrons who were helped at the reference desk and cut down on the number of repeat visits.

Rovering allows patrons to feel more comfortable with their lack of knowledge of how to do research. "Since the...only reason for circulating is to offer assistance, this indicates to patrons that they are not expected to know how to use the resources. That signal--that it is okay not to know and therefore it is okay to get help--is reassuring to patrons" (Ramirez, 1994).

Another benefit of rovering is that patrons are taught at the point of use. This is a big benefit to patrons who may be reluctant to leave a heavily-used tool to ask for help at the reference desk. This is particularly true for patrons using computer indexes that have large lines of patrons waiting to use the tool. As a rover will help a patron use a computer more efficiently, this should also allow the tool to become available for other patrons sooner.

Reference rovering allows for hands-on, individualized instruction. As the librarian will see exactly what the patron needs in the way of instruction, the librarian can focus on those areas. This is more efficient for the individual patron than bibliographic instruction, because only the individual's needs are addressed.

Finally, others can benefit from hearing a rover have an instruction session with a patron. "While helping one patron, others may overhear the discussion and learn along with the 'official' trainee...Observing that the rover provides nonjudgemental, friendly assistance may embolden them to ask for help" (Ramirez, 1994). The drawback to this however is that patron privacy may be compromised.

Disadvantages of Reference Rovering

There are several disadvantages to reference rovering as well. The first is staffing. If rovering is a separately scheduled activity for librarians, supervisors will have difficulty finding librarians to cover both the reference desk and rovering except at the best-staffed libraries. If rovering is a part of regular reference desk activity, care will have to be taken to make sure an adequate number of librarians are at the reference desk. It may prove impossible to rove at peak times. After all, who is going to answer the phone if everyone is out in the reference stacks looking for confused patrons?

Reference rovering will lead to a noisier reference area. As rovers and patrons interact, their conversations will be quite noticeable. Patrons who expect the library to be a quiet area will be disturbed by the noise. Further, they may become annoyed at the librarian causing the noise when they feel the librarian should be suppressing it.

Another problem that may develop with reference rovering is a few patrons dominating too much of the rover's time. It will be easy for the rover to lose track of time when engaged with helping a patron to the detriment of other patrons waiting to be "discovered" by the rover. Further, some patrons may begin to monopolize too much of the rover's time. These same patrons may refuse to learn how to do difficult research if they believe the rover will help them do it every time they come in the library.

Summary

Management by Wandering Around and reference rovering are closely related concepts that do the same thing. They both make the practitioner more aware of those they work with and serve. Barriers such as offices and reference desks are eliminated. As a philosophy of reference, reference rovering gets the librarian back to the basic concept of reference service: meeting the needs of the patron. An examination of business literature reveals how effective Management by Wandering Around has proven to be in the last several decades. Rovering has many benefits for librarians and patrons including the elimination of the barrier of the reference desk and more individualized instruction when and where it is needed. There are drawbacks as well including the difficulty in staffing reference desks. However, reference rovering has much to recommend it and libraries would certainly benefit from implementing it in some form.

References

Amsbary, Jonathan H. and Patricia J. Staples (1991), "Improving Administrator/Nurse Communication: A Case Study of Management by Wandering Around," Journal of Business Communication 28 (Spring), 101-12.

Beckman, J. Daniel (1991), "Tools for Staying Ahead in the Nineties," Healthcare Forum 34 (May/June), 84-90.

Bers, Trudy H. (1985), "Planetary Leadership: A Presentation in the Peripatetic Method of Effecting Change in a College--A Case Study in Management by Wandering Around," Planning For Higher Education 13, 4-9.

Bilmer, Richard (1984), "Ministry by Wandering Around!" Lutheran Education 119 (January/February), 160-1.

Lavenson, J.H. (1976), "How to Earn an MBWA Degree," Vital Speeches 42, 410-2.

McPherson, Joseph (1984), "Inspiring Creativity While 'Wandering Around'," 39 (April), 77.

Matula, Jospeh J. (1984), "Learning to Lead by Strolling Around," Executive Educator 6 (July), 20.

Peters, Thomas J. and Robert H. Waterman Jr. (1982), In Search of Excellence: Lessons From America's Best Run Companies. New York: Harper and Row.

Ramirez, Jennii L. (1994), "Reference Rover: The Hesitant Patron's Best Friend," College & Research Libraries News 55 (June), 354-57.

Trueman, Wendy (1991), "CEO Isolation and How to Fight It," Canadian Business 64 (July), 28-32.

Wednesday, May 06, 2009

Deconstructing the Philanthropic Library: The Sociological Reasons Behind Andrew Carnegie's Millions to Libraries

Deconstructing the Philanthropic Library: The Sociological Reasons Behind Andrew Carnegie's Millions to Libraries

Michael Lorenzen

(This article originally appeared in Illinois Libraries 81(2), (1999), 75-78.)

Educational institutions are often founded on and influenced by philanthropy. One of the strongest examples of this is the founding of over two thousand Carnegie Libraries in Europe, the United States, and the English speaking world in the late 19th and early 20th Centuries. Just like other educational institutions, the Carnegie Libraries were influenced heavily by the world around them. The strongest influence came from the source of the money, Andrew Carnegie, who had very strong feelings as to why these libraries were needed including his belief in an America that was a meritocracy and that his libraries would benefit immigrants.

ANDREW CARNEGIE AND THE CARNEGIE LIBRARIES

Andrew Carnegie was a Scottish immigrant to the United States in the mid-19th Century. He was poor and was working full-time at the age of twelve. Despite his poor background and the discrimination he faced as an immigrant, he built an industrial empire based on the manufacturing of steel and when he sold his business empire and retired he was worth almost an estimated 400 million dollars. His rags to riches story led him to believe that America was a meritocractic society where anyone who worked hard and smart with a little luck could be successful.

Andrew Carnegie believed strongly in what he called the "Gospel of Wealth." Macleod (1968) summarized this in his book on Carnegie Libraries in Wisconsin. Basically, Carnegie believed that accumulation of wealth by a few was inevitable in any capitalistic society. Further, this concentration of wealth in the hands of a few was necessary for democracy and freedom to prevail and for the whole of society to be prosperous. Any attempt to circumvent this system would lead to anarchy and tyranny. However, Carnegie believed that those who did make it had a moral obligation to give their fortune away before they died to benefit society. In particular, this money was to be spent in a way that did not encourage laziness (charities that only dealt with symptoms and not the problem) but that created institutions that made opportunities for anyone with the right character to be successful and rich.

This philosophy of Carnegie was translated into a wide variety of areas. He gave away $333 million of his fortune on various activities including an attempt to simplify spelling, helping churches, endowing (and in some cases founding) institutions of higher education, and supporting the arts. However, his largest gifts were reserved for libraries. Carnegie gave money to build 2,509 libraries throughout the English speaking world including the British Isles, Australia, and New Zealand. Of these libraries, 1,679 of them were built in the United States and in American possessions that were later incorporated into America proper (Alaska, Hawaii, Puerto Rico, Samoa, and the U.S. Virgin Islands). He spent over $55 million on libraries alone and he is often referred to as the "Patron Saint of Libraries." (Bobinski, 1969)

Carnegie had two main reasons for donating money to the founding of libraries. First, he believed that libraries added to the meritocratic nature of America. Anyone with the right inclination and desire could educate himself. Second, Carnegie believed that immigrants like himself needed to acquire cultural knowledge of America which the library allowed immigrants to do.

Carnegie indicated it was the first reason that was the most important to him. As a boy working a hard job with long hours, he had no access to education. However, a Colonel Anderson started a small library of 400 books which he lent on Saturday afternoons to local boys. This is how Carnegie educated himself. Wrote Carnegie (1920) of Colonel Anderson's library, "This is but a slight tribute and gives only a faint idea of the depth of gratitude which I feel for what he did for me and my companions. It was from my own early experience that I decided there was no use to which money could be applied so productive of good to boys and girls who have good within them and ability and ambition to develop it, as the founding of a public library in a community..." (pp. 47) Further, Carnegie is quoted as saying, "In a public library men could at least share cultural opportunities on a basis of equality." (New York Times, Jan. 8, 1903, pp. 1) Through the library, all could educate themselves enough to share in America's richness if they so desired.

The second reason Carnegie invested a large portion of his fortune into libraries was the cultural education of immigrants. He believed immigrants would use the library like he had and the result would be a more homogeneous American people. Carnegie is quoted as saying by Macleod (1968), "Show me the man who speaks English, reads Shakespeare and Bobby Burns and I'll show you a man who has absorbed the American principles. He will most likely read also the Declaration of Independence and Washington's Farewell Address." (pp. 17)

It is only fair to add that many contemporaries of Andrew Carnegie found a third reason why Carnegie gave away his money. In essence, they believed Carnegie was an egotist who liked the attention giving money got him and that he relished having thousands of buildings named after him. According to Wall (1970), Mark Twain always addressed Carnegie as "Saint Andrew" in jest for this reason. Andrew Carnegie always referred to Mark Twain as "Saint Mark" in return. It is only fair to further note that regardless of any egotism on Carnegie's part, he did give away 90% of his fortune in his lifetime. Had he lived another decade, he probably would have given it all away. Carnegie at least had the courage of his convictions and did what he thought was morally right.

THE SOCIOLOGICAL THEORIES BEHIND THE CARNEGIE LIBRARIES

Although Andrew Carnegie would have never realized it, 20th Century educational and sociological theorists have categorized his rationale for building libraries as educational institutions into modern sociological reasons. Both of his major reasons, the meritocracy that benefited from libraries and the socialization of immigrants that libraries could aid in, have modern sociological theories that they fit within.

Carnegie's belief in an America that was a meritocracy fits solidly within the functional paradigm. Wrote Hurn (1985), "The functional paradigm argues that the reason why schooling is so much more important in modern society than in previous societies is that it performs two crucial functions. First, schooling represents an efficient and rational way of sorting and selecting talented people so that the most able and motivated attain the highest status positions. In other words, schools help create a society where effort and ability rather than family background determine a person's status." (pp. 46,47) Carnegie believed that the public library was an efficient and rational way that allowed those who were most able and motivated to educate themselves and allowed them then to attain high status positions regardless of their background. Institutions like the public library were important to Carnegie because they allowed the meritocractic nature of America to work. In Carnegie's mind, if an individual had access to a library but choose not to use it, then that individual was choosing a lower status position.

Labaree wrote about the meritocracy within the concept of democratic equality. Wrote Labaree (1996), "In addition to citizenship training and equal treatment, the goal of democratic equality has taken a third form, that is the pursuit of equal access...Equal access has come to mean that every American should have an equal opportunity to acquire an education at any educational level." (pp. 10) The Carnegie Libraries assured that those living in communities possessing them, every citizen who desired to educate themselves could indeed do so. Carnegie Libraries are in a very real sense a form of democratic equality.

Hurn (1985) further developed the concept of the meritocratic society in his exploration of the functional paradigm. Wrote Hurn, "In modern societies occupational roles are (and should be) achieved rather than ascribed. Contemporary intellectuals have long regarded the inheritance of occupational roles, and more broadly the inheritance of social status, as anathema. People believe high-status positions should be achieved on the basis of merit rather than passed on from parent to child. The children of the poor should have equal opportunity to achieve high status with more privileged children." (pp. 49) Without overly belaboring the point, this meritocracy was crucial to Carnegie. He had started as a worker and had achieved high status. Hence, he had to believe that his workers had the same opportunities he had had but were not as worthy. If the children of the workers had access to libraries, then Carnegie felt the more worthy of them would use the libraries to educate themselves and attain high status. Carnegie felt his philanthropy was helping to continue the meritocracy he believed already existed.

Carnegie's desire to socialize new immigrants is also addressed by the functional paradigm. Wrote Hurn (1985), "An educated citizenry is an informed citizenry, less likely to be manipulated by demagogues, and more likely to make responsible and informed political decisions and be actively involved in the political process. Education reduces intolerance and prejudice, and increases support for civil liberties; it is, in other words, an essential bulwark of a democratic society dedicated to freedom and justice." (pp. 51) Considering the union politics at the time which Carnegie heavily disliked, it is not hard to imagine how Carnegie saw new immigrants being educated. He believed that the education achieved via the library would make voters less likely to be manipulated by demagogues (union organizers) and make informed decisions at the ballot box. While Carnegie never stated as much, it is easy to infer from Carnegie's other writings and from his life that he believed library educated voters would tend to vote like he did. Regardless, Carnegie believed the process of education through the library would help immigrants adjust to America and become proper Americans.

Parsons wrote of the perceived value of socialization by the commitments education produced in students. He wrote (1964), "Commitments may be broken down into two components: commitments to the broad implementation of the broad values (emphasis in original) of society, and commitment to the performance of a specific type of role within the structure of society." (pp. 130) Immigrants and others learning in public libraries, reading the books Andrew Carnegie provided for them, would be exposed to the values of society. Carnegie felt that the immigrants in particular would take to these values.

This paper is about the sociological basis for why Carnegie founded thousands of libraries. As such, it is not necessary to examine in great depth where Carnegie's motivations are potentially wrong. However, since so much of Carnegie's motivations come from his belief in a meritocracy it is only appropriate to address criticism of the meritocracy.

Does an increase in education result in an increase in social position as Carnegie believed? Modern research tends to show that more universal educational attainment has not led to a more equal society in regards to equity in the distribution of high social class. Boudon (1986) defined this observation as, "Education influences status; hence one is entitled to expect that, when educational level becomes less narrowly related to orientation status, orientation status should influence achieved status to a lesser extent. This expectation does not seem to be confirmed by empirical data, however." (pp. 264) Hurn (1985) came to the same conclusion writing, "But what should happen, according to the functional paradigm, is that we should be able to observe some reduction in the ability of privileged parents to pass on their advantages to their children. The fact that we do not observe this suggests that contemporary U.S. society is not a great deal more meritocratic than several decades ago." (pp.59)

The world of the late 19th Century and early 20th Century was different than the modern time when Hurn and Boudon made their observations. Educational achievement was low throughout America. Having a high education was a greater benefit then than it is today since so few had it. It is reasonable to assume that those educating themselves in Carnegie Libraries at the time they were built would have had huge advantages over others who were less educated. Hence, Carnegie's vision would have worked to some extent at that time. Even in today's society, a well read person is in better shape than the less read person, even if both have the same low social status.

CONCLUSIONS

Andrew Carnegie had two main reasons for founding thousands of libraries around the world in the late 19th and early 20th Centuries. First, Andrew Carnegie believed very strongly in the concept of America as a meritocracy due to his life experience. Second, Andrew Carnegie believed that public libraries were a good way to socialize immigrants into decent Americans. Modern sociological theory can be applied to Carnegie's rationales. Most of the cited theorists in this paper wrote about the functional paradigm of education which fits Andrew Carnegie's philanthropy nicely. Regardless of why Carnegie did what he did, his establishment of thousands of public libraries is the most important event in the history of American librarianship. Further, regardless of rationale, these Carnegie Libraries to this day have benefited in the education of millions of people.

SELECTED BIBLIOGRAPHY

Anonymous. (1903, Jan. 3). Carnegie does another New York Library. New York Times, pp. 1,2.

Bobinski, George S. (1969). Carnegie libraries: Their history and impact on American public library development. Chicago: American Library Association.

Boudon, Raymond. (1986). Education, social mobility, and sociological theory. In Handbook of theory and research for the sociology of education edited by John G. Richardson. New York: Greenwood Press, 261-274.

Carnegie, Andrew. (1915). The public library as social force. Wisconsin library bulletin 11, 182.

Carnegie, Andrew. (1920). The autobiography of Andrew Carnegie, popular edition. Boston: Houghton Mifflin Company.

Hurn, Christopher J. (1985). The limits and possibilities of schooling: An introduction to the sociology of education. Boston: Allyn and Bacon, Inc. Chapter 2 ("Theories of schooling and society: The functional and conflict paradigms") and Chapter 3 ("Explanations of the expansion of schooling").

Labaree, David F. (1996). Public goods, private goods: The American struggle over educational goals. Paper presented at the annual meeting of the American Educational Research Association, New York.

Macleod, David I. (1968). Carnegie libraries in Wisconsin. New York City: Arno Press, Inc.

Martin, Robert Sidney (Ed.). (1993). Carnegie denied: Communities rejecting Carnegie library construction grants 1898-1925. Westport, CT: Greenwood Press.

Parsons, Talcott. (1959). The school class as a social system: Some of its functions in American society. Harvard educational review 29(4), 297-318.

Swetman, Susan H. (1991). Pro-Carnegie library arguments and contemporary concerns in the intermountain west. Journal of the west 30(3), 63-68.

Thomas, Vivian. (1995). The first Carnegie library. Wilson library bulletin 69(10), 52-54.

Wall, Joseph Frazier. (1970). Andrew Carnegie. New York: Oxford University Press.

Wiegand, Wayne A. (1996). Wresting money from the canny Scotsman: Melvil Dewey's designs on Carnegie's millions, 1902-1906. Libraries & Culture 31(2), 380-393.

Tuesday, May 05, 2009

School Librarians: Getting a Piece of the Stimulus Pie

Can information literacy be used by librarians to get Federal stimulus money? SLJ thinks so in an article titled School Librarians: Getting a Piece of the Stimulus Pie. The author is Debra Lau Whelan.

Whelan wrote, "Keep them informed about the exciting things you’re doing in the school library and how information literacy skills improve student achievement and relate to job readiness."

Information literacy would seem to help students. However, it is hard to prove these claims. Be prepared with good documentation and excellent political connections if you want a shot at the free billions being passed out right now by Uncle Sam.

Monday, May 04, 2009

The Heart of Change: Julius Caesar and the End of the Roman Republic

The Heart of Change: Julius Caesar and
the End of the Roman Republic

Michael Lorenzen

Organizations change through time. This was certainly true of the historical Roman Republic as it changed into the Roman Empire. It went from being a partially democratic state to rule by one man. This paper will give a brief history of the Roman Republic with an emphasis on the transition from Republican to Imperial roles. It will also examine the 8 step model for organizational change as described by Kotter and Cohen (2002) in their book The Heart of Change and examine how these steps were used by Julius Caesar to make the organizational changes that allowed the Roman Republic to become the Roman Empire.

The Heart of Change: Julius Caesar and the End of the Roman Republic

Change is a fact of history. It has occurred repeatedly throughout time and it will invariably be a constant for the future. Taking this into account, it is reasonable to assume that the change models proposed by various theorists should be applicable to the study of past events. One of the most important events in ancient history was the transformation of the democratic Roman Republic into the Emperor ruled Roman Empire. This event altered human history. As such, analysis of it using a change model should be possible.

Kotter and Cohen wrote the book Heart of Change in 2002. In it, they describe an eight step model for change. A look at this model shows that it is a good one for describing the actions of Julius Caesar as he took charge of the Roman Republic and ended the democratic rule of the Roman Senate and replaced it with a system that would result in the rule of Caesar’s for centuries to come. While it is not a perfect fit, the Kotter and Cohen model is still helpful in understanding how Caesar was able to accomplish what he did and it allows for the analysis of his actions.

Romans and Change

Before examining the historical events that occurred to the Roman Republic, it is important to understand the mindset of the Roman people. They did not like change. In fact, they were quite resistant to the idea. Wrote Holland (2003), “Novelty, to the Citizen’s of the Republic, had sinister connotations. Pragmatics as they were, they might accept innovation if it was dressed up as the will of the gods or an ancient costume, but never for its own sake” (p. 4).

That is not to say the Romans rejected all change. However, they were very conservative about it. Holland (2003) further wrote, “Conservative and flexible in equal measures, the Romans kept what worked, adapted what had failed, and preserved as sacred lumber what had become redundant. The Republic was both a building site and a junkyard” (p. 4). This is a key concept when contemplating the actions of Julius Caesar as he brought about the end of the Republic. The government of the Roman Republic had lasted almost five hundred years (half a millennium!) despite wars, constitutional crisis, and territorial expansion. This is twice the length of time of the history of the United States of America today. During this time, the government of the Roman Republic changed very little. As such, the change process initiated by Caesar has to rank amongst some of the most significant of all change sequences in history.

A Brief History of the Roman Republic

Legend has it that the city of Rome was founded in 753 BC. For the first two centuries of its existence, a total of seven kings ruled. The final King (Lucius Tarquinius Superbus) was overthrown when his son raped a noblewoman. The Romans replaced the monarchy with a Republican government which would exist for the next 500 years.

The Roman Republic was set up in a way that made it difficult for any one man to hold absolute power. The Web encyclopedia Wikipedia (2005) noted that, “The Romans observed two principles for their officials: annuality or the observation of a one-year term and collegiality or the holding of the same office by at least two men at the same time. The supreme office of consul, for instance, was always held by two men together, each of whom exercised a power of mutual veto over any actions by the other consul.” During times of crisis a man would occasionally be given the office of dictator for a limited period of time but they were always held accountable for their actions when the term of office ended.

As the centuries went by, Rome slowly gained control of the entire Italian peninsula. Citizens of conquered or voluntarily allied cities were usually allowed to eventually become citizens of the Roman Republic. As Rome grew stronger, it also began to expand into other parts of the Mediterranean world. This growth brought them into conflict with Carthage.

In a series of three wars, Rome destroyed Carthage. These wars are known as the Punic Wars. The second war (which began in 218 BC) lasted the longest and much of it was fought in Italy as Hannibal was able to inflict huge loses on the Roman military. In the end, Rome would emerge victorious after every war. At the end of the final war (146 BC) the city of Carthage was razed, the population of Carthage was enslaved, and the soil around the city was salted so that it would be unable to support crops in the future.

The removal of Carthage opened up much of the known world to the Romans. They acquired provinces in Africa, Greece, Asia Minor, and the islands of the Mediterranean. These conquests enriched the Roman Republic but created problems. The government of the Republic was not well suited to governing such a large empire and many of the traditions of Rome began to be challenged including the idea that no one man should hold absolute power.

The Fall of the Roman Republic

Most historians trace the beginning of the Republic’s fall to the events which began in 91 BC. Most of the allied Italian cities of Rome rose in a revolt which history has recorded as the Social War. At the same time, Mithridates VI of Pontus overran most of the Roman held territory in Asia and Greece. In addition, he encouraged the slaughter of over 80,000 men, women, and children of Italian descent in the areas he conquered.

The Roman General Sulla rose to prominence at this time. His legions were instrumental in putting down the revolt in Italy. When he was denied the command of the army to prosecute the war against Mithridates, Sulla marched his legions on Rome. No Roman had ever marched an army on Rome before. He forced the Senate to give him what he wanted and he left allies in charge of the government. Sulla was successful in the eastern campaign and Rome regained all the territory it had lost in Greece and Asia.

While Sulla was away campaigning, his enemies were able to regain control of the Republican government. When Sulla returned to Italy, he once again marched on Rome and was able to regain sole power. This time, he began a purge and had his enemies executed and their estates forfeited.

Sulla used his time in power to make reforms he believed would strengthen the Republic, stifle corruption, and make it impossible for any one to ever seize power the way he had done. Then, after only a few years of absolute rule, he retired and lived out his remaining years as a private citizen. Sulla believed he had saved the Republic. But historians believe his example showed later leaders such as Julius Caesar that power in the Republic could be attained via military means.

Within a generation, the Republic would be undone. The Roman Senate looked weak and indecisive as it dealt with the Spartacus slave revolt and wide scale Mediterranean piracy. Continued unrest in the eastern provinces also showed that the government of the Republic was not well suited to running an empire. By 60 BC, three men rose to prominence and gained control of the Republican government. These included Julius Caesar, Pompey the Great, and Crassus. They shared power and formed what is now known as the First Triumvirate.

Julius Caesar used his new position to conquer Gaul (France). For several years he fought and defeated the tribes of Gaul. He even briefly invaded Britain but was forced to withdraw due to local resistance and continued unrest in Gaul. In 52 BC, he ended the Gallic Wars by destroying the army of the Chieftain Vercingetorix at the Battle of Alesia. Caesar had added a large amount of land to the holdings of the Republic and had furthered his own fame and popularity.

While Caesar was in Gaul, the First Triumvirate had slowly disintegrated. Crassus had died campaigning in the east. Pompey had become increasingly distrustful of Caesar and he finally in 49 BC ordered him to give up command of his legions. Caesar refused and instead marched his legions on Rome. In the ensuing Civil War, Pompey was killed and Caesar gained absolute mastery of the Roman world. And unlike Sulla, he had no intention of giving up power or allowing the Republic to be restored.

Julius Caesar was assassinated in 44 BC. However, his vision of a new Roman government was not undone. His nephew Octavius (who became the Emperor Augustus) was his legal heir. He used his skills and inheritance rights to win the ensuing civil war and place himself on the throne. The Republic was dead and it would never return. The Roman Empire was born.

The Heart of Change

There are many change models in existence today which could be used to examine the fall of the Roman Republic. Fullan (2001) has a model as does Beer, Eisenstat, and Spector (1990), and Hamel (2000). All of these are worthwhile. However, the author of this essay has decided to use the Kotter and Cohen (2002) model as it is presented in The Heart of Change. The eight steps in this model are easy to discern and then apply to a historical setting.

In addition, this analysis will focus on Julius Caesar as the leader seeking change. Although many individuals had a hand in the destruction of the Republic, history has long fingered Caesar as the man who destroyed it. Wrote Jimenez (2000) in acknowledging this point, “For all of his success on the battlefield and in politics, Caesar failed as a statesman because he had no vision of how Rome should function, except at his bidding, and allowed to govern it but himself. For the next five hundred years his successors would adhere to his example” (p. 241).

However, it can be argued that Caesar did have a vision. It was his intent to destroy the Republic and establish rule by one man. He was spectacularly successful in achieving his vision as a statesman. He did destroy the Republic and that was what he wanted. This paper will examine this motive as the “heart of change” that Caesar intended for the Roman Republic.

Step One: Increase Urgency

Kotter and Cohen (2002) believe that increasing urgency is the beginning of any successful change process. If people do not see the need to change, they probably will not change. The authors argue, “In successful change efforts, the first step is making sure sufficient people act with sufficient urgency” (p. 15.)

Julius Caesar had an easy task on this step when he set upon his path to power in the Roman Republic. It was becoming evident that the Roman Republic lacked many desirable traits needed for the new political world it found itself in. The world had changed due to the success of Rome but Roman tradition was holding back Rome from even greater glory such as the ability to expand and govern even more territory.

Jimenez (2000) noted two deficiencies in particular which were afflicting the Republic. First, Rome had been too successful in conquering new provinces. He wrote, “Its generals used their devastating armies to conquer and then annex territories even further afield, until the collection of provinces and subject kingdoms reached a size that was almost impossible to govern” (Preface xi.) In the ancient world, it took months for messages to travel between Rome and the more distant provinces. Often, quick decisions needed to be made. The mechanisms of the Republic did not cope well with this. Further, political appointments to govern these new provinces were made by the Roman Senate. This often resulted in weak administrators being appointed to rule the new Roman possessions as a result of political maneuvers.

Secondly, Jimenez noted that the Roman Senate did not adequately support the legions that were needed to maintain control of the new conquered lands. This gave new power to the generals as they raised and funded their own troops. He wrote, “The Roman Senate, which had sole responsibility for foreign policy and warmaking, became reluctant to finance the large standing army necessary to police and defend this territory. The result was that control and support of Rome’s armies gradually fell to its generals…” (Preface xi).

Two other points are worth noting here as well. Kotter and Cohen (2002) wrote about several behaviors which could blind some people for the need for change. These included a sense of complacency and a desire for self-protection. Both of these behaviors were evident in the Roman Senate. Why shouldn’t they be complacent? The Roman system of government had worked for centuries and had allowed it to gain a position as the most powerful state in the world. Roman arrogance appeared to be justified. Further, many in the Senate only cared for their own personal power and wealth. This was very evident to the average Roman. Julius Caesar and the other two members of the First Triumvirate exploited these behaviors to undercut the power of the Roman Senate. Julius Caesar was able to use the frustrations many felt with the Senate to show an urgency for change.

Step Two: Build the Guiding Team

Kotter and Cohen (2002) believe that it is important to get the right people involved in guiding change. These people can then show leadership and help get the change imitative accepted and adapted by the people in the organization. This includes modeling behaviors such as trust and teamwork so that that the guiding team members can inspire good responses from others.

Caesar got many people to take leadership positions and push for change that allowed him to achieve his goals. Pompey the Great and Crassus joined Caesar in the First Triumvirate. Neither of these men had the same ultimate goal as Caesar (each wanted power for themselves alone) but they did share the common goal of subverting the government of the Republic and shifting it to themselves. Although Pompey and Caesar eventually parted ways and fought each other, Pompey help was essential in guiding Caesar to the position where he could attempt to seize power on his own.

Another important member of Caesar’s guiding team was Cleopatra. She joined the “team” later in the story but her help was important in getting Caesar accepted by the Roman subjects in the eastern provinces. She embraced Caesar’s desire for absolute power and supported him. In the east, monarchs were often worshiped as gods and treated as being more than human. Cleopatra’s acceptance of Caesar and her subsequent bearing him a son made Caesar appear more divine. This helped him immensely in getting the change of government accepted in the east. Holland (2003) noted, “In the East, they already worshipped Caesar as a god…Just as Cleopatra was both a pharaoh and to the Egyptians and a Macedonian Queen among the Greeks, so Caesar could be at once a living god in Asia and a dictator to the Romans” (p. 333).

It is also important to note the officers who served in the legions Julius Caesar commanded. Caesar gained power through military means. If at any point his officers had refused to support him, he would have been finished. They kept the soldiers in the army in line and supportive of Caesar’s goals. As such, these officers could be considered the most important part of Caesar’s guiding team.

One piece of advice that Kotter and Cohen (2002) recommended was followed by Julius Caesar in regards to building guiding teams. They wrote in regards to what does not work, “Not confronting the situation when momentum and entrenched power centers undermine the creation of the right groups” (p. 60). Caesar did not make this mistake. When tradition or the Roman Senate prevented him from recruiting the people he needed, he would find both subtle and straightforward ways to get the people he needed.

Step Three: Get the Vision Right

Kotter and Cohen (2002) advance the idea that a guiding team has to have a clear vision so that it can have a clear sense of direction. This echoes Proverbs 29:18, “Without a vision, the people will perish.” As Caesar was a well known advocate for the Jews of Rome, this Bible passage seems exceptionally apt.

Unfortunately, getting a sense of Caesar’s vision can only be guessed at today. I have stated previously that Caesar’s vision was absolute power and the overthrow of the Roman Republic. The evidence of history supports this claim. However, there are no surviving documents of Caesar writing this down as a vision statement after having a team building meeting! It is unlikely such a document ever existed.

However, we can still see signs of Julius Caesar’s vision by some of his actions that coincide with Kotter and Cohen’s (2002) advice on the topic. This included having a message that was simple and direct. Caesar hid his goals early in his career but as he grew in power he was quit clear in communicating what he wanted in a simple fashion. He was a general and he was used to having his commands followed. He expected everyone (including members of the Roman Senate) to obey him when he issued orders. When the Senate failed to heed him, he overthrew it. He was direct prior to this as well. His conquest of Gaul added a huge amount of territory to the Roman state but he did so illegally. The Roman Senate did not authorize the conquest. But Caesar wanted Gaul and he took it anyway.

Kotter and Cohen (2002) also recommended, “Strategies that are bold enough to make bold visions a reality” (p. 82). Julius Caesar was always bold. Jimenez (2000) wrote of Caesar’s march into Italy at the start of the Civil War with Pompey, “It was sudden and surprise marches by Caesar’s troops that led to his successes in the Gallic War, and he saw no reason now to change his tactics” (p. 67). Caesar was a decisive leader who moved quickly to make his vision reality.

Caesar was also mindful of how he presented his change vision. Kotter and Cohen wrote that leaders should be “paying careful attention to the strategic question of how quickly to introduce change” (p. 82). Caesar made his changes swiftly. However, he maintained the illusion that nothing had changed. Everyone knew what he had done and that change had occurred. But for political and cultural reasons he pretended that the Republic still existed. He refused an offer to be made King. He went through the motions of pretending to work with the Senate on legislation that he was going to implement anyway. Wrote Holland (2003), “Why offend the sensibilities of his fellow citizens by abolishing the Republic when – as Caesar himself was said to have pointed out – the Republic been reduced to nothingness, a name only, without body or substance?” (p. 333, 334.)

Step Four: Communicating for Buy-In

Kotter and Cohen (2002) wrote that the goal of communicating is to get buy-in from as many people as possible acting to make the vision a reality. If people believe in the vision and strategies being proposed, change is more likely to occur. Julius Caesar was a master at this.

Early in his career, he spent lavishly to provide the citizens of Rome with entertainment. He did this for political reasons as the support of the people helped him advance his political career. Many of the citizens became Caesar supporters in this way. Caesar also got buy-in by seducing the wives of some of his rivals. Caesar would then have the women go back to their husbands and convince them to work with Caesar.

Julius Caesar continually amazed the world by pardoning rivals. After every victory in the Civil War, he would pardon the survivors including prominent enemies. Wrote Holland (2003), “Even his bitterest enemies, if they only submitted, could have the assurance that they would be pardoned and spared. Caesar had no plans for proscription lists to be posted in the Forum” (p. 302). This tactic made allies out of opponents who had been previously trying to block Caesar’s plans. Ultimately, this tactic cost Caesar his life as some of those he pardoned assassinated him. In the meantime, it was a brilliant strategy that got a lot Romans to buy-into Caesar’s message.

Caesar was also well known for giving speeches which clearly communicated his intent. Before crossing the Rubicon into Italy at the start of the Civil War, he gave a speech to his soldiers to keep their support. Wrote Jimenez (2000), “Caesar does not say what decision he made, only that he addressed his troops, complaining of the wrongs done him by his enemies, and of the illegal suppression of the vetoes of the tribunes. When he exhorted them to defend the reputation and dignity of the general…their response was to shout their enthusiastic assent” (p. 66).

Step Five: Empowering Action

Kotter and Cohen (2002) wrote that individuals who were taking part in the change process had to have the ability to take action. If individuals do not have the power to make changes, it is likely nothing will get done. As such, the leader has to be able to empower people to take action.

Caesar would have been familiar with this idea. As a military leader, he was required constantly to delegate authority to his officers. Ancient warfare isolated leaders from units they were not directly in command of as it took messengers time to travel between positions. In the case of the Gallic War, Caesar would have to wait days sometimes to get reports backs from legions in other parts of Gaul. Before he began his assault on the Republic, Julius Caesar was already empowering his followers to take action. In the context of the Civil War that ensued when he fought Pompey, this was an important skill to already have in place as the conflict would engulf much of the Mediterranean World. Caesar was forced to rely on the actions of his followers on other fronts.

One suggestion that Kotter and Cohen (2002) made was to find individuals with change experience who can bolster the self-confidence of followers that victory is possible. Caesar did this on many occasions. For example, he placed Mark Anthony in charge of Italy when he pursued Pompey to Macedonia. Holland (2003) wrote of Anthony, “He was an officer worthy of the men he commanded” (p. 309). When Anthony engaged his legions, people on both sides of the battle took notice of his courage and skill. Mark Anthony inspired confidence in people that Caesar’s cause was the correct one and his deeds helped Caesar achieve his goals.

Kotter and Cohen (2002) also thought that recognition and rewards would help in empowering action as these things bolster self-confidence and optimism. Caesar often gave rewards to solidify his support among other people and to reward them for their successes. In one case, Caesar gave his daughter Julia to Pompey as a reward for his participation in the First Triumvirate. Pompey was happy with that arrangement and had Julia not died several years later there may have never been a rift between Caesar and Pompey. Another example is his treatment of Cleopatra. When she sided with him and took up his cause, Caesar placed her on the throne of Egypt and deposed her brother Ptolemy XIII.

Julius Caesar also continued to look to the Roman people for their support. He lavished them with games and they were happy that the Civil War had ended. Even during the Republic, most Romans had no say in the government. The power was concentrated in the hands of a few wealthy aristocrats. To the masses, it made no difference if the Senate was in power or if Caesar was. If Caesar gave them goods and kept the peace, they were happy to support him. And Caesar had more reward planned for the future before he died. Holland (2003) wrote, “A library was to be founded; a new theater to Rival Pompey’s cut out from the rock of the Capitol; the largest temple in the world built on the Campus. Even the Tiber, Caesar had decided, would have to be diverted, because its course obstructed his building plans” (p. 331).

Step Six: Create Short-Term Wins

Kotter and Cohen (2002) wrote, “Without sufficient wins that are visible, timely, unambiguous, and meaningful to others, change efforts inevitably run into serious problems” (p. 125). People need to see that the change can happen. It takes a long time sometimes to get to the point were the change has successfully been implemented. Small victories assure people that the larger change can come. Short-term wins help to build momentum.

The entire career of Caesar is one of multiple short-terms wins that lead to bigger and better results. He was continually successful at war and his legions pacified Gaul and won control of the entire Roman Republic. His army rarely lost a battle. As a politician, Caesar had the knack for making the right alliances which allowed him to reach the height of political power in the Republic. Caesar’s continued battle success then allowed him to personally assume the power of the Roman state. All of this entailed repeated short-term victories which gave Caesar tons of momentum to achieve what he wanted.

One early short-term Julius Caesar accomplished in the Civil War was capturing Rome. After he crossed the Rubicon to start the war, he had control of Rome within a few weeks. Pompey chose to flee with his legions to Macedonia instead of fighting it out with Caesar in Italy. This was a huge win for Caesar both militarily and psychologically. This emboldened Caesar’s supporters and it hurt Pompey. Wrote Jimenez (2000), “It is true that Caesar had a reputation of an invincible general, but Pompey had the same reputation, had it twice as long, and had never been beaten on the battlefield. Among the many who thought Pompey should have stayed and defended Italy, the retreat was a serious psychological letdown” (p. 73).

Another good example of Caesar playing for short-term wins is the case of Spain. After he took Rome in the Civil War against Pompey, he chose to attack legions loyal to Pompey in Spain rather than immediately pursuing Pompey to Macedonia. Attacking Pompey first would have been more direct and perhaps ended the war sooner. But going for a win in Spain gave Caesar the chance to remind Romans how brilliant he was as a leader. In a six week campaign, he out-maneuvered his opponents and got them to capitulate to him with little lose of life on either side. Jimenez (2000) called this “Caesar’s finest hour” (p. 98). Again, this reinforced to Caesar’s followers that they were on the right side just as it demoralized those loyal to Pompey.

Step Seven: Don’t Let Up

Kotter and Cohen (2002) argued that a leader needs to be relentless near the end of the change process to make sure the victory does not slip away. If not, the followers may lose their urgency. The two wrote, “The most common problem at this stage in change efforts is sagging urgency. Success becomes an albatross. ‘We won’, people say, and you have problems reminiscent of those in step 1” (p. 144).

Julius Caesar rarely let up in his entire career. He kept going after what he wanted whether that was a consulship, the annexation of Gaul, or victory over the Republican government and absolute power. This is probably best demonstrated by his prosecution of the war against Pompey’s followers even after he had defeated Pompey and secured victory.

In 48 BC, Julius Caesar defeated Pompey at the Battle of Pharsalus. Pompey was forced to flee and his legions were destroyed. The victory was total. Wrote Holland (2003), “ That evening it was Caesar who sat down in Pompey’s tent and ate the victor meal prepared by Pompey’s chef, off Pompey’s silver plate” (p. 311). But it did not end there. Caesar continued to pursue the war until all those loyal to Pompey and the Senate were destroyed.

Immediately, Caesar took off in pursuit of Pompey. He followed him to Egypt but Pompey was assassinated before Caesar arrived. Caesar then made his alliance with Cleopatra and secured Egypt. He returned to Rome and solidified the legal basis of his new government. Holland (2003) wrote, “The Senate, stupefied by the scale of Caesar’s achievements, overawed by the magnitude of his power, had scrabbled to legitimize his victory and somehow reconcile it to the cherished traditions of the past” (p. 326).

Finally, Caesar refused to let up on his enemies. Even after his conquest of the Senate, he was quick to respond to new rebellions. When Pompey’s two sons raised a new revolt in Spain, Caesar promptly left Rome and crushed it. Julius Caesar did not stop fighting until all of his enemies who were resisting him on the battlefield were removed from their ability to wage war against him.

Step Eight: Make Changes Stick

The final step in Kotter and Cohen’s (2002) was making sure that the changes made actually survive. They noted that tradition is a powerful force and that an organization can relapse into old behaviors particularly if there is a change in management. They wrote, “Making it stick can be difficult in any sphere of life. If this challenge is not well met at the end of a large-scale change process, enormous effort can be wasted” (p. 162).

The judgment of history is clear. The changes Caesar made stuck even after his sudden death shortly after he concluded the Civil War that made him the government of the Roman Empire. The Roman Republic never returned in any form other than as a symbol invoked by subsequent men who held absolute power as Roman Emperors.

Caesar’s death did lead to short-term turmoil. There was another Civil War as Caesar’s assassins were hunted down and killed. There was then the collapse of the Second Triumvirate which held power and in the ensuing fighting Augustus Caesar (the first Roman Emperor) gained power he would keep for the next four decades.

Although much of the credit for Augustus Caesar’s continuation of Julius Caesar’s policies belongs to Augustus, much credit must also be given to Julius Caesar. His actions and utter victory over the Senate made it impossible for the Senate ever to regain its former power. Henceforth, power would be concentrated into the hands of one man. Further, Julius Caesar had adopted Augustus and left him as his legal heir. Julius Caesar fully intended that Augustus would replace him as ruler. He recognized that Augustus had the personality and skills to continue to rule Rome and its empire as Julius Caesar thought was best.

Kotter and Cohen (2002) noted two ideas for making changes stick. They wrote, “Using the promotions process to place people who act according to the new norms into visible and influential positions” (p. 177). Clearly, the promotion of Augustus into a role where he could inherit the empire follows this advice. This then lead to what Kotter and Cohen (2002) wrote, “Making absolutely sure you have the continuity of behavior and results that help a new culture grow” (p. 177).

Conclusion

The fall of the Roman Republic and its transformation into the Roman Republic was mourned by classicists and is even still lamented today by some modern historians. Yet, the Republic was corrupt and was having difficulty governing the new empire Rome had acquired. It needed change and the coming of single man rule as an emperor may have allowed the Roman state to survive for several centuries to come.

Julius Caesar was an intelligent man who was also an effective leader. He saw the problems that the Republic was facing and he did something about it by ruthlessly seizing power for himself. His example (and to an extent that of Sulla even earlier) demonstrated too many that the ideals of the Republic were gone forever.

An examination of Kotter and Cohen (2002) reveals that Julius Caesar followed all of the steps in their change model to one degree or another. Understanding change from ancient history and examining it using a modern change theory is valuable in that it allows us to see that successful approaches to change have remained consist through time and that modern change theories are ground in solid historical observations.

References

Beer, M., Eisenstat, R., and Spector, B. (1990). The critical path to corporate renewal. Boston, MA: Harvard Business School Press.

Fullan, M. (2001). Leading in a culture of change. San Francisco, CA: Jossey-Bass.

Hamel, G. (2000). Leading the revolution. Boston, MA: Harvard Business School Press.

Holland, T. (2003). Rubicon: The last years of the Roman Republic. Chicago: IL, Doubleday.

Jimenez, R. L. (2000). Caesar against Rome: The great Roman civil war. Westport, CT: Praeger.

Kotter, J. P. & Cohen, D. S. (2002). The heart of change: Real-life stories of how people change their organizations. Boston, MA: Harvard Business School Press.

Roman Republic (2005, June). Wikipedia: The free encyclopedia. Retrieved June 15, 2005, from <>.

Sunday, May 03, 2009

Player Alignment in the Advanced Dungeons & Dragons Player's Handbook as Examined through the Frame of the Ethic of Justice

Player Alignment in the Advanced Dungeons & Dragons Player's Handbook as Examined through the Frame of the Ethic of Justice

Michael Lorenzen

There are many ways of looking at ethics in the world. Most people are first exposed to ethical thinking by their parents at an early age. Most of us take this for granted until we are challenged to think about these issues later in life in ways that we are not used to thinking. For many adolescent boys (and some girls), this first exposure to a different ethical perspective comes for the fantasy role playing game Advanced Dungeons & Dragons. Playing the game forces many players to rethink their own ethical viewpoints.

The Advanced Dungeons & Dragons game is now over 30 years old. It has generated a vast library of hundreds of books and several spin off games. One of the keys to its success is probably due to the complex game play that allows for players to assume the identities of characters in a medieval fantasy setting. This includes the options to play wizards, fighters, and pagan priests. The game rules are complex but once they are mastered it allows for a very elaborate and time consuming game the draws a player into the fantasy world.

One of the most important aspects of the game is use of alignment. Players are required to have their characters follow an ethical code based on the moral outlook of the character. This alignment may be radically different from the one that the player may have in real life. However, to be successful in the game, the player must do his best to play his character to fit the appropriate ethical and moral view of the character.

Surprisingly, the ethical framework that the Advanced Dungeons & Dragons Players Handbook presents can best be understood through the ethical theme of justice as described by Starratt (1991). It is heavily dependent on the interpretation of law. It requires the player to examine how individual actions impact the common good (or common bad) of the whole community. A complex system of alignment possibilities helps the player interpret and consider his actions during the game. There are a total of nine different alignments that a character can have. These are based on the intersections of three outlooks on law and three outlooks on morality.

For law, a character can be lawful, neutral, or chaotic. A lawful character holds the law to be paramount. No matter what, the law must be upheld regardless of justice. A neutral character sees value in the law but believes that it must be interpreted (or critiqued) as the situation warrants. A chaotic individual is contemptuous of the law and will only abide it when it fits his goals and will discard it when it does not.

For morality, a character can be good, neutral, or evil. A good character attempts to look out for the common welfare and openly seeks to defeat evil. A neutral character believes that free will is the most important consideration and that society should allow people to choose their own path in life be it good, evil, or neither. (This is a tough alignment to play!) Evil characters do what is best for themselves or their patron god or nation without regard for the best interest of all.

What complicates this all (and brings into play the ethic of justice) is how law and morality interact. An evil character can be lawful. A good character can be chaotic. Any combination of law and morality is possible to explain all possible ethical viewpoints. This creates situations were evil characters are upholding the law and bringing criminals to justice. It also puts good characters in situations were they are outlaws resisting and fighting against the lawfully constituted authorities of an area.

This can be a mental challenge for many players. Most of the players would have grown up thinking that authority (such as the government and law enforcement) is good and that those who opposed them are evil. The Advanced Dungeons & Dragons game challenges this assumption. It becomes clear from game play that evil can thrive under the aspect of law and that sometimes the only recourse for those who are righteous is rebellion and chaos.

It also brings into question areas dealing with genocide and religion. Is it alright to kill and exterminate a race which is perceived as evil? For example, Orcs and Goblins are portrayed as evil races in the game. Is it OK to exterminate these races when they are found including children and other noncombatants? Is killing those who are evil or who are likely to be evil in the future acceptable? Is there a possibility that the option of redemption should stay the hand of the good? Is it also possible that the very view of good and evil is racially based? Do Orcs see justice differently than humans and elves? This also impacts the view of religion. Does opposing the followers of an evil religion equate to goodness? Normally we are taught to respect religion even if the viewpoints differ from our own. But what if a religion is thoroughly evil? How does reverence fit in this case?

Although it may surprise those unfamiliar with the game, Advanced Dungeons & Dragons is based on ethics and requiring players to interpret and role play their characters accordingly. As such, the chapter on alignment in the Player's Handbook is worth looking at and reviewing in the light of the Ethic of Justice.

References

Cook, D. (1989). Advanced dungeons & dragons 2nd edition player's handbook. Lake Geneva, Wisconsin: TSR, Inc.

Starratt, R. J. (1991). Building an ethical school: A Theory for practice in educational leadership. Educational administration quarterly, 27 (2), 185-202.