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43Principle · Group 6

Initiative

Seizing the initiative

“If you act first, you set the agenda and the rules of the game, while those who only react play on someone else’s turf.”

In every contest, there is one side that acts and one that reacts.

Group 6: Time and TempoT1 Classical Theory of War
Go to the in-depth section ↓
Two dots stand on a field of fine mist-blue lines; one of them sets a golden circle, and the lines align with it and close in on the space of the silent dot. Then a small dot in the corner sets a golden circle of its own, and the lines turn toward it.
In short

If you act first, you set the agenda and the rules of the game, while those who only react play on someone else’s turf.

What it’s about: In every contest, there is one side that acts and one that reacts. The acting side chooses the topic, the place and the time. The reacting side may respond well, but it plays by rules that someone else has set. The principle of Initiative says: this role is a disadvantage, and if you can, you should avoid it.

In depth

The principle in detail

Three steps through the principle: grasp it, place it, put it to work. Open each topic on its own.

The core messageCore statement and 3 clarifications
In essence

Whoever acts first determines what is being discussed. Those who only react take their cue from someone else’s moves.

It does not say
That every first step is wise. Carl von Clausewitz considered defense the stronger form of war, and in markets the first mover does not always win.
It does not say
That a frantic counterstrike is initiative. It remains a reaction.
It also says
Initiative has to be sustained. If you slacken after the first step, you hand it back.
The explanationInitiative works because it shifts who dictates the course of events.
  • Initiative works because it shifts who dictates the course of events.
  • The other side has to respond, and if you set out, you learn things that stay hidden while you wait.
  • Often those who had hesitated until then follow as well.
  • But initiative does not mean charging ahead blindly, and without coordination it can split a team.
The question

Which topic will you put on the agenda yourself before a crisis puts it there for you?

The signs3 signs when you heed it · 3 when you overlook it
When you heed it
  • You put topics on the agenda before they turn into a crisis.
  • You start difficult conversations yourself.
  • After the first step, you follow up and coordinate with those affected.
When you overlook it
  • Your agenda is filled with complaints, deadlines and other people’s requests.
  • You wait until someone makes a proposal and then wrestle with it.
  • Or you charge ahead without asking those who have to come along.
The backgroundTradition T1 Classical Theory of War
  1. 1926
    OriginJohn Frederick Charles Fuller

    The Foundations of the Science of War

  2. 2001
    SupplementedMichael Frese and Doris Fay

    Personal Initiative: An Active Performance Concept for Work in the 21st Century

  3. Tradition T1
    TraditionClassical Theory of War

    Carl von Clausewitz, Antoine-Henri Jomini, Helmuth von Moltke the Elder, Frederick William Lanchester

    See the tradition on the Origin page
Read more: the full background

From the principles of war of John Frederick Charles Fuller, summarized in “The Foundations of the Science of War” (1926). Supplemented by U.S. operations doctrine and by Michael Frese and Doris Fay’s research on personal initiative.

The research3 sources: 1 classic, 1 theory, 1 review · 1926–2001 · with limitations of the research
3 sources1926–2001 period1 classic1 review1 theory
Strength of evidence
  1. weak
  2. moderate
  3. strong

Research on personal initiative supports the value of self-starting, proactive action; that the first mover determines the topic and the rules is a principle of military doctrine without measurement.

  1. 1926
    Classic
    John Frederick Charles Fuller

    “The Foundations of the Science of War”: principles of war, among them offensive action.

  2. 2001
    Review
    Michael Frese and Doris Fay

    “Personal Initiative: An Active Performance Concept for Work in the 21st Century”: personal initiative as self-starting, proactive and persistent behavior; links with performance and entrepreneurial success.

  3. current
    Theory
    U.S. Army, Field Manual 3-0

    Operations doctrine (“Operations”): the initiative is to be seized, retained and exploited.

Where the research reaches its limits
  • Carl von Clausewitz considered defense the stronger form of war (Principle 37).
  • If you attack without need, you can overextend yourself, and in markets, too, the first mover is not always the winner (Principle 78).
  • Initiative without coordination can split a team or bypass superiors where unity of command would be needed.
  • Michael Frese and Doris Fay’s research measures self-starting action at work, not the advantage of the first move in a contest.
Read more: what research shows

The British general and military theorist John Frederick Charles Fuller set out principles of war in the early 20th century, among them offensive action, and summarized them in 1926 in “The Foundations of the Science of War.” In 1921, the U.S. Army adopted a modified list; its field manual FM 3-0 still requires that the initiative be seized, retained and exploited. Fuller is a controversial figure because he joined the British fascist movement in 1934. Work psychology asks a different question: in 2001, Michael Frese and Doris Fay described personal initiative as behavior that is self-starting, proactive and overcomes obstacles. The research they summarize shows links with performance and entrepreneurial success.

The related principles37 Strength of the Defense · 40 Freedom of Action · 41 Speed · 78 First Movers and Followers
Freedom of ActionSpeed

To go deeper, see 40 Freedom of Action (initiative secures the freedom to decide for yourself) and 41 Speed (speed is often the means to win it and keep it)

First Movers and Followers

78 First Movers and Followers shows when the first mover wins in markets and when the second does

Strength of the Defense

It stands in tension with 37 Strength of the Defense: not every first step is wise

Read more: the full text

To go deeper, see 40 Freedom of Action (initiative secures the freedom to decide for yourself) and 41 Speed (speed is often the means to win it and keep it); 78 First Movers and Followers shows when the first mover wins in markets and when the second does. It stands in tension with 37 Strength of the Defense: not every first step is wise.

The action steps5 things you can actually do
  1. Look at your last three meetings: how many topics did you put on the agenda, and how many came from outside?

  2. Choose a topic that you can see coming toward you, and raise it yourself this week with a first proposal.

  3. On contentious questions, write the first draft. Whoever writes the draft gives the discussion its structure.

  4. After every first step, plan the second one right away so that the initiative does not slip back.

  5. Clarify beforehand whom you need to coordinate with so that your move does not split the team.

The reflection questions3 questions: Which topic is sure to come your way in the coming months, and what would your first step be?
  1. Which topic is sure to come your way in the coming months, and what would your first step be?
  2. In which contest are you currently playing by rules that someone else has set?
  3. Whom would you need to involve so that your move brings others along rather than going around them?

Take your time with one question. Write down your answer – or talk it over with someone you trust.

To finish
The picture to rememberThe animation once more, with an explanation
  1. Two dots stand on a field of fine mist-blue lines
  2. One of them sets a golden circle, and the lines align with it and close in on the space of the silent dot
  3. Then a small dot in the corner sets a golden circle of its own, and the lines turn toward it
Strategy Check

Which topic will you set first?

Get your profile across all 12 groups in about 10 to 15 minutes.

Start the Strategy Check
In context

Group 6: Time and Tempo

Guiding question: When do you act, and how fast?

Stage 3 of 5: Choose the path

Where the 92 principles come from: eight traditions of strategy, from classical war theory to dealing with uncertainty.

More about the origin

Background: WEGVISOR’s own selection from the strategy literature · More about the origin

Examples

The principle in practice

From the different spheres of society.

Government

Anwar Sadat in Jerusalem and Initiative

In November 1977, Anwar Sadat becomes the first Arab head of state to travel to Israel and speaks before the Knesset. Instead of waiting for a peace conference whose rules others would determine, he sets the agenda himself.

Initiative
FaithMedia

Martin Luther, the 95 Theses and Initiative

In October 1517, Martin Luther puts 95 theses against the sale of indulgences up for debate. Within a few months, they are circulating in print throughout the Holy Roman Empire, and Luther follows up with writings in German, while Rome responds with proceedings that take years.

Initiative
FamilyBusiness

Bertha Benz, the Drive to Pforzheim and Initiative

In August 1888, without her husband’s knowledge, Bertha Benz drives the motor car with her two sons from Mannheim to Pforzheim. She does not wait until the invention is perfect but proves through her own action that it works.

Initiative
BusinessFamily

Movie: Erin Brockovich

Steven Soderbergh’s 2000 film tells of an unemployed single mother who comes across medical records in a file and, on her own initiative, turns them into a lawsuit against an energy company. She does not wait for an assignment; she simply gets started.

Initiative
FAQ

Questions about Initiative

What does the principle of Initiative say?

Whoever acts first determines the topic, the place and the rules of a contest. Those who only react play on someone else’s turf and have to take their cue from the other side’s moves.

Where does the principle of Initiative come from?

It goes back to the principles of war formulated by John Frederick Charles Fuller, whose core still stands in U.S. Army operations doctrine (FM 3-0) today. Work psychology, for example Michael Frese and Doris Fay, has studied personal initiative in organizations.

What are some examples of Initiative?

Anwar Sadat’s journey to Jerusalem in 1977, Martin Luther’s 95 Theses in 1517 and Bertha Benz’s long-distance drive in 1888.

How well is Initiative supported by research?

Evidence: moderate – research on personal initiative supports the value of self-starting, proactive action; that the first mover determines the topic and the rules is a principle of military doctrine without measurement.

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