The Character Edge springs from more than eighty years of collective experience by the authors. General Caslen served in the Army for forty-three years following his commissioning as a second lieutenant from West Point in 1975. From second lieutenant to lieutenant general, he commanded at every level from platoon to division, in peace and in war. As a second lieutenant Caslen was part of an Army recovering from the Vietnam War, an Army plagued with racial unrest, drug use, and a lack of purpose and direction. Caslen, with the help of his generation of Army officers, helped repair the fractures plaguing the Army and helped prepare it for the first Gulf War and for the wars in Afghanistan and Iraq that followed the events of September 11, 2001. Caslen capped his distinguished Army career by serving as West Point’s fifty-ninth superintendent from 2013 to 2018.
Throughout his years in the Army, Caslen observed leaders and soldiers in the most challenging situations. It became clear to him that character and leadership were inextricably linked. From his perspective as the leader of a platoon of thirty soldiers to a division of more than twenty-three thousand soldiers, it became evident that character was essential to winning. As his views on the essential role of character in leadership developed, he came to prioritize character development—both his own and that of his soldiers—as a core component of his leadership philosophy. This culminated during his tenure as West Point’s superintendent, when he formalized character development as a primary institutional goal along with cadet academic, physical, and military development.
Dr. Matthews, born the same year as Caslen, brings a different perspective to The Character Edge. A military psychologist for forty years, Matthews employs scientific methods to study character and its influence on individual performance and leadership. Both a former law enforcement officer and Air Force officer, he is keenly interested in the ways that character may be measured and how it interacts with other factors, such as intelligence, in influencing how we adapt individually and lead others in challenging, sometimes dangerous, situations. He is interested in the theory of character and its relationship to other important psychological and social attributes, but he is also interested in how character plays out in the types of real-world situations that Caslen has experienced throughout his long and distinguished Army career. Like Caslen, Matthews believes that character forms the basis of leadership, as well as being of fundamental importance in personal adjustment and social relationships.
Retired generals have written many books on these topics, just as psychologists have written many books on leadership and character. Those books in the first category are based on the unique experiences of the leader and lack a foundation in behavioral sciences. While often insightful, such books are easily criticized as presenting simply opinions. Leadership and character books written by psychologists, on the other hand, are well grounded in the behavioral and social sciences. Scientifically sound, they may lack relevance. Things that work well in the laboratory often fail to play out in the real world.
The purpose of The Character Edge is to blend together these two complementary perspectives on character and leadership. No other book on character and leadership is based on the combined experiences and perspectives of both a strategic leader and a scientist. We weave together the science and practice of character and character-based leadership into a narrative that both educates and inspires readers.
We frame this preface with two stories, one written by General Caslen and one by Dr. Matthews, that illustrate our passionate interest in character and leadership.
On February 9, 2009, during Operation Iraqi Freedom, the Third Battalion of the Eighth Cavalry Regiment was securing the western part of Mosul, Iraq, as part of the famous “surge.” Coalition casualties and enemy contact had dropped significantly throughout most of Iraq. But northern Iraq, specifically Nineveh province with its capital city of Mosul, was still seeing frequent combat. Lieutenant Colonel Gary Derby—a tough, no-nonsense, scrappy officer both loved and admired by his soldiers—had been in command of the battalion for a couple months, and already significant progress was being made under his leadership. A soldier’s soldier, Derby led from the front, and through his constant presence and authority, he continually brought his troops confidence, hope, and optimism, regardless of whatever challenging circumstances they were facing.
At about one o’clock in the afternoon of February 9, I received the call that no commander ever wants to receive. En route to a combat outpost in western Mosul, Derby’s vehicle was hit by a suicide-vehicle-borne improvised explosive device. Derby, three other soldiers, and one interpreter in his vehicle were instantly killed. With a heavy heart, I immediately got into a helicopter and flew to battalion headquarters to meet with its surviving leaders, to console and put my arm around them, and to assure them that our division and the rest of the theater leadership would do whatever we could to assist them through their loss. I promised to get another commander for the battalion as quickly as possible.
Lieutenant Colonel Derby’s impact on the culture and values and effectiveness of his unit was obvious not only by the gains he had made in the field but also by the shock his loss had on his soldiers. A leader’s influence is significant, and I learned through my career that in settings of crisis and stress, this impact is exponentially higher. In dangerous conditions, people are drawn closer as they sense their vulnerability. They are more attuned to the actions of their leaders because they must depend so heavily on them for guidance through the perilous circumstances. The glue that holds these people together is their trust in their leader. Trust—perhaps the most important ingredient in effective leadership—is arguably the most important quality fostered in troops by their leaders. The love and respect the troops had for Gary Derby was in great part because he delivered for them again and again. Their trust was about as high as one can imagine; they would follow him anywhere because they trusted he would lead them there safely and competently.
Where was that trust engendered? In part, it came out of the competence that Gary Derby demonstrated every day as a battalion commander in combat. But trust is also built on something that is as important as competence, and that is character. Quite simply, you can be the most effective and competent battalion commander in my division in combat, but if you fail in character you fail in leadership. Lieutenant Colonel Derby showed the highest qualities of character—he was honest, he was selfless, he was full of grit and determination, and he was compassionate. His character came through in subtle ways and in less subtle ways, but it was obvious. He listened to his troops’ concerns, demonstrated care for each and every one of them, and put his life on the line for them. It was the basis of his troopers’ trust in him.
When Lieutenant Colonel Derby was killed, the soldiers in his unit were not only grieving over the loss of a friend and comrade; they were mourning the loss of someone they trusted with their lives. They felt rudderless without him. I knew they needed a good new leader, and fast. Western Mosul was a critical location in the fight against radical Sunni Islam, and we needed to get this battalion emotionally sound and back into the fight as quickly as possible.
Working with the commander from the First Cavalry Division, we had to find a capable officer who we could quickly place in charge to lead Derby’s battalion. Fortunately, a good candidate—an officer who was already selected for battalion command, although scheduled for a year later—was already in theater. He was tough, personable, and accepted by the battalion’s leadership. He quickly proved, through his competence, that he would be an effective leader in this critical location in western Mosul.
The new battalion commander had been in place for only a couple months when I received a call from his superior—the brigade commander—about an issue that needed to be resolved. As I listened to the brigade commander’s report, all I could do was shake my head.
Gary Derby created a culture of honor and integrity, so that when leaders in his unit saw something out of standard, they chose to confront and report it. This was the case when these leaders saw something going on with their new commander that they recognized as being outside the values and character of their unit. The new commander had developed an inappropriate online relationship with the spouse of a staff officer. Some of the senior leaders had observed the online dialog and they immediately knew it was wrong. One of the hardest things a subordinate can do is to report a leader’s alleged misconduct, but that is what these leaders had to do.
When the brigade commander reported the allegations to me, I initiated an investigation. While the investigation was going on, we temporarily suspended the new commander and sent him home. Sure enough, the investigation substantiated the allegations, and this new commander was relieved of command. That this commander was a highly competent leader did not make him effective in practice. Time and again, I’d seen that no matter how competent you are in the skill sets demanded of your high position, if you fail in character, you fail in leadership.
Shortly after the new commander was sent packing, I went on patrol with the battalion for a day. The soldiers were out of uniform, the noncommissioned officers were not making corrections, and disrespectful comments were made over the radio that we all were able to hear. It was concerning. The Third Battalion, Eighth Cavalry Regiment had suffered the loss of its trusted and competent leader, Gary Derby, and then the loss of its moral compass with the character defects of Derby’s replacement. The battalion would continue to work hard at its mission, but it was never the same.
Quite simply, the failure of character in leadership not only has an impact on the individual, but also a significant impact on the climate of the organization, and its ability to accomplish its assigned task. In combat, a unit with a defective organizational climate because of character failure in leadership has impacts not only on mission accomplishment but also the lives of each and every subordinate.
This battalion commander character issue was unfortunately not the only ethical issue of senior leaders I had to deal with during my twelve months as a division commander in Iraq. While in command, I assumed responsibility for the adjudication of any senior-leader misconduct within my division. Most issues of misconduct were not violations of the law of land warfare, but simple character issues linked to living in close quarters while on our forward operating bases. Treating subordinates improperly, hostile command climates, inappropriate relationships, sexual harassment, and sexual assault were alarmingly common themes. Failure to report for duty or violations of General Order Number 1 were also common offenses.1 They were mostly moral issues of inappropriate behavior, all of which illustrated a breakdown of character.
For each of these cases, not only did these incidents have a severe consequence and in most cases a termination of a career for the accused leader, but they also negatively impacted the health, welfare, morale, and discipline of their units—critical to a unit’s success while in combat. I was stunned by the dangerous level of misconduct that I had to contend with and the negative impact that these compromised leaders had on the combat effectiveness of their units. I committed myself to restoring character to its place of critical importance in leadership. I vowed that when I returned to the States, I would seek to make character building and nurturing a focus of my ongoing military career.
After my return from Iraq, the Army assigned me to a position from which I was able to do something about this character crisis I’d witnessed in Iraq—superintendent of the United States Military Academy at West Point. The mission of West Point is to educate, train, and inspire the Corps of Cadets so that each graduate is a commissioned leader of character committed to the values of duty, honor, and country and is prepared for a career of professional excellence and service to the nation as an officer in the US Army. Through one of the best academic and training programs in the country, cadets at West Point are developed intellectually, physically, and militarily. But you notice that the mission statement does not say “educate, train, and inspire leaders who are intellectually or physically competent.” It is implied cadets will be intellectually, militarily, and physically competent. Instead, the mission statement says “educate, train, and inspire leaders of character.”
“Leaders of character.” You can be number one in your class intellectually, but if you fail in character you fail in leadership. Understanding, codifying, and building character was my focus and top priority for the five years I was the superintendent. West Point graduates will not only prosecute war in the crucible of ground combat under the most challenging conditions, but many will also find themselves later in careers as senior officers of great influence in the military, senior leaders in government, and top managers and CEOs in business. As I started to witness the growing character crisis here at home across all disciplines, my mission expanded: if we can instill a set of values to live honorably in each of our graduates, we can change the moral compass of military units, corporate businesses and nonprofits, sports organizations, and many other institutions throughout the country and around the globe. Building leaders of character became my passion for my years as West Point’s superintendent. There I met Dr. Mike Matthews, a celebrated West Point professor of psychology noted for his work in helping the Army formulate its strategy and doctrine to build soldier resilience in a time of protracted war.
I retired from the Army in June of 2018, and my mission now is to bring this message about character-driven leadership and how to deliver it to the public at large. Mike and I knew that the first step was a book that would bring our experiences in the field and in the lab to the world, for readers such as you, to understand how to succeed, and to do so in a way that allows one to go to bed proud and able to sleep soundly at night.
We do not have to look far to find breaches of moral conduct and character everywhere in today’s society—in government, the corporate world, universities, or elsewhere. Whether we turn on the news or read any paper or magazine in the country, we will find moral, ethical, and character transgressions. But my time at West Point gave me great confidence in the abilities of the next generation of leaders who are preparing themselves on college and university campuses for service across our nation. If they remain focused on strong character, they have great potential to provide the leadership to unify us and to inspire us to the potential of what the American spirit is capable of. The capacity to be a leader in ways big and small resides in all of us, with the proper attention on character. Dr. Matthews and I intend this book to provide a catalyst for this journey to building and sustaining character in each and every one of you.
I first learned of Dr. Martin Seligman’s psychology research when I was in graduate school in the 1970s. Seligman began his career studying how animals learn to avoid electric shock, and the implications of that learning on how humans deal with adversity. By 1975, his work on learned helplessness had worked its way into the popular culture. Seligman had demonstrated that dogs initially exposed to inescapable shock had difficulty in the future learning to avoid escapable shock. Besides their learning deficit, the dogs appeared sad and listless, as if they had given up on life. Seligman saw in this a model for human depression. People who are faced with unsolvable issues and problems also may give up on life and develop depression.2
Flashing forward thirty years, Seligman had moved from studying aversive conditioning in animals to founding a new approach to psychology, one that focuses on how humans excel and flourish, rather than their descent into depression and pathology, called positive psychology. In 2005 the John Templeton Foundation funded a summerlong conference for the world’s leading positive psychologists. I had met Seligman two years earlier when he visited West Point’s Behavioral Sciences & Leadership Department. We shared a common interest in positive psychology. Like Seligman’s, my early psychological research looked at aversive conditioning in animals, and like Seligman’s, my interests had shifted to understanding optimal human adjustment. Based on this mutual interest, I applied for and was awarded a John Templeton Foundation fellowship to be part of the gathering of positive psychologists at the University of Pennsylvania in 2005, a meeting that Seligman dubbed the Medici II Conference.
I spent that summer thinking about the role of positive psychology in the military and focused on the role of character in shaping individual-soldier performance and leadership. I was greatly influenced by Dr. Christopher Peterson, a University of Michigan positive psychologist and a core member of the Medici II Conference. Together, Peterson and Seligman had previously crafted an inventory of positive character traits and developed and validated a measure for these character traits.3 Much of the science in The Character Edge is based on these ideas, and on research that was inspired by the Medici II.
Seligman also introduced me to one of his graduate students, Angela Duckworth, who was interested in exploring the role of determination and willpower in human accomplishments. He described her as his best graduate student in decades. Having come up with something she called grit, she was looking at how grit influences achievement. Duckworth defines grit as “the passionate pursuit of long-term goals.” When we talked about grit, it became clear to me that grit was essential in understanding soldier performance.
I was so taken with the concept of grit that I helped Duckworth collect grit scores of thousands of West Point cadets. Along with data from other groups she had studied, the West Point data formed part of her dissertation. We found that grit was the only factor that reliably predicted which new cadets would successfully complete West Point’s grueling basic training, a regimen that begins with their arrival at West Point each summer around the first of July and concludes with the beginning of academic classes in the fall. Some years and many studies later, Duckworth published her book Grit: The Power of Passion and Perseverance, which quickly became a New York Times bestseller.4
Since 2005 I have continued my character research and have along the way spoken with leaders from the military, industry, education, and sports about character as a multiplier of talent and as a core component of effective leadership. I have yet to encounter a leader who does not get the importance of character. As you will see in the pages that follow, successful individuals and leaders grasp the importance of character and are hungry to learn more about what it is, how to measure it, how it develops, and, most important, how to foster an organizational climate that nurtures good character.
We close with a comment on the book’s title, The Character Edge. Character and leadership are intertwined. Positive character is essential to personal well-being. Your talent can take you a long way in life, but talent alone is not sufficient to perform at your peak. Talent in the absence of integrity, grit, self-regulation, kindness, and a host of other character strengths is simply not enough to allow you to excel and flourish at the highest levels. Character-based leadership also creates organizational climates that enable sustained success, whether on the battlefield or in the corporate boardroom. Character provides individuals and organizations with an edge. By learning about and adopting the ideas we present, you, too, may give yourself an edge in school, your work, or your personal relationships.
The subtitle, Leading and Winning with Integrity, is equally important. Individuals and organizations may cheat and so attain a short-term victory. But these short-term wins are at the expense of long-term success. A theme throughout the book is that character allows individuals and organizations to win consistently. We argue that it is better to take a short-term loss or setback than to win at all costs and, in doing so, compromise one’s character or the reputation of the organization. Throughout the book, you will meet individuals and leaders of diverse organizations who reinforce this view. We feel so strongly about this that our final chapter focuses entirely on this essential theme.
We invite you to explore our views on the science and practice of character and character-based leadership. Unlike other books on these topics, our ideas are formulated on the solid foundation of leadership experience and scientific study. We firmly believe that what you learn here will give you the edge you need to be successful and to win the right way.