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Friday, August 22, 2014

Your Body Language Speaks for You in Meetings



by Charalambos Vlachoutsicos  |   1:00 PM September 19, 2012
Besides our choice of words and the volume and tone of a voice, gestures, posture and facial expressions all convey powerful messages to the people we are talking to, which is precisely why everyone pays close attention to other people’s body language. What’s more, some research suggests that your body language can even affect your hormones, which affect your decisions and attitudes to risk. In other words, how we say what we say to people is at least as important as what we say to them.
Yet for all the care we take to read other people’s body language, we’re remarkably unconscious when it comes to our own. This is largely, I think, because knowledge of our true selves is hard and does not come naturally to us. Most of us are not what we think we are and therefore we need to question our self-image, which all too often is an idealized version of our true selves.
I have found over the course of a long career that the best way to become more aware of myself and of the impact of my own largely unconscious behavior is to systematically run through some standard drivers of negative body language. Before you go into a meeting, for example, make a habit of asking yourself the following:
  • When did I last eat? Physical conditions have a powerful impact on one’s emotional state and therefore on the body language colleagues and subordinates will be watching so closely. If you haven’t eaten for several hours, do so. Make sure you’ve visited the toilet recently. Be careful about having that extra cup of coffee just before you go in.
  • Do I have issues with anyone I’m meeting? If you don’t make an effort to put your feelings about the people you’re meeting front of mind, those feelings will influence your emotional state. Suppose you are irritated with a particular subordinate. Your irritation could come through in the way you talk or position your body in relation to her (are you closed off, are your arms folded?), which could well inhibit her from making a useful contribution. Before going into a meeting, note the issues and feelings you have with the people you will be engaging with.
  • Am I prepared? If you aren’t prepared for a meeting you’ll have to rely on winging it. In that case you will concentrate on making sure you keep up with the discussion and don’t show your ignorance. People who aren’t well prepared end up compensating by taking a lot of airtime to make others think that they are well informed. So, whatever body language faults they have get amplified. What’s more, they are unlikely to think about their body language if they are concentrating on winging it. So if you’re not prepared it’s better to postpone a meeting until you are or admit that you are not. If you can’t or won’t do either of these, the best thing is to keep quiet and make sure you’re better prepared the next time.
  • Am I angry? If you are, just take time out. Anger doesn’t play well with any form of communication, non-verbal and verbal alike. Years ago, when I was running my family’s export-import business in Greece, I found out that one of my subordinates had made a serious mistake resulting in the imposition of a stiff fine by the Greek Customs. I was about to call him to my office to give him hell when it occurred to me that I had better calm down. So I waited and later went to his desk and told him quietly that I was aware of the mistake and requested him to write a memo explaining why the mistake had happened and how it could be avoided it in the future. The next day I received a detailed report, which contained a couple of very useful process suggestions that I decided to implement in the company.
The pre-flight prep I’ve outlined is essential but you have to keep reading the dials after you take off as well. You won’t be able to stay completely on top of things, of course, but it will help if you periodically ask yourself:
  • Am I fidgeting? If you’re fairly still and listening then all is probably well. But if you’re shifting about in your chair, drumming your fingers, doodling or, worst of all looking at your phone, then you can be pretty sure that the person talking is likely to be feeling that you’re not interested in what they have to say. The question also leads naturally to thinking about how you are sitting or standing: are you looking at the person talking or out of the window? Is your pose attentive or are you leaning back with arms folded, indicating impatience or withrawn skepticism? This is especially important if you’re the boss because everyone else will be following every arch of your eyebrow.
  • Am I interrupting? In any healthy debate people will occasionally interrupt. But if you do it a lot, people may feel that you’re not open and not listening carefully to what they are saying — or indeed that you’re overcompensating for your ignorance. When you are seen to deny the validity of a person’s argument that person will withdraw and will take offense. Asking yourself if you’re interrupting too much also leads naturally thinking about how you are communicating with your body, expressions, and gestures: are you acknowledging the other people, are you smiling at them or looking angry?
Hard-pressed managers are at risk of messing up their encounters with their subordinates through failing to keep tabs on their own body language. Everyone prepares like crazy for a meeting with someone more important, and most people have some concern about looking smart, polite and engaged in front of the boss, which forces them to pay some attention to the way they behave. But bosses don’t have that motivaton and all too seldom take the time to think about how they conduct their interactions with subordinates and colleagues.
We cannot expect to be able to iron out all our communication faults but we should try at least to become aware of them and of their negative impact. In any case, awareness of our interactive behavior is self-fulfilling and, therefore, is gradually internalized and thus requires less and less conscious effort on our part.
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A former businessman and consultant, Charalambos A. Vlachoutsicos is an Adjunct Professor at Athens University of Economics and Business in Greece.

The Most Productive People Know Who to Ignore












by Ed Batista  |   11:00 AM August 20, 2014
A coaching client of mine is managing partner at a very large law firm, and one of the issues we’ve been working on is how to cope more effectively with the intense demands on his time—clients who expect him to be available, firm partners and other employees who want him to address their concerns and resolve disputes, an inbox overflowing with messages from these same (and still other!) people, and an endless to-do list. Compounding this challenge, of course, is the importance of making time for loved ones and friends, exercise, and other personal needs.
When faced with potentially overwhelming demands on our time, we’re often advised to “Prioritize!” as if that’s some sort of spell that will magically solve the problem. But what I’ve learned in the process of helping people cope with and manage their workflow is that prioritizing accomplishes relatively little, in part because it’s so easy to do. Let’s define the term: Prioritizing is the process of ranking things—the people who want to take up our time, items on our to-do list, messages in our Inbox—in order of importance. While this involves the occasionally difficult judgment call, for the most part it’s a straightforward cognitive task. When looking at a meeting request, a to-do list, or an email we have an intuitive sense of how important it is, and we can readily compare these items and rank-order them.
Here’s the problem. After we prioritize, we act as though everything merits our time and attention, and we’ll get to the less-important items “later.” But later never really arrives. The list remains without end.
Our time and attention are finite resources, and once we reach a certain level of responsibility in our professional lives, we can never fulfill all the demands we face no matter how long and hard we work. The line of people who want to see us stretches out the door and into the street. Our to-do lists run to the floor. Our inboxes are never empty.
What trips up so many of us is imagining that we can keep lowering that threshold—by working harder, longer, “smarter” (whatever that really means) in the futile hope that eventually, someday,we’ll get to the bottom of that list.
The key is recognizing that prioritization is necessary but insufficient. The critical next step is triage. Medical staff in a crisis must decide who requires immediate assistance, who can wait, who doesn’t need help at all, and who’s past saving. Triage for the rest of us entails not just focusing on the items that are most important and deferring those that are less important until “later,” but activelyignoring the vast number of items whose importance falls below a certain threshold.
The first step is to reframe the issue. Viewing a full inbox, unfinished to-do lists, and a line of disappointed people at the door as a sign of our failure is profoundly unhelpful. This perspective may motivate us to work harder in the hopes of someday achieving victory, but this is futile. We will never win these battles, not in any meaningful sense, because at a certain point in our careers the potential demands facing us will always outstrip our capacity, no matter how much effort we dedicate to work. So the inbox, the list, the line at the door are in fact signs of success, evidence that people want our time and attention. And ultimate victory lies not in winning tactical battles but in winning thewar: Not an empty inbox, but an inbox emptied of all truly important messages. Not a completed to-do list, but a list with all truly important items scratched off. Not the absence of a line at our door, but a line with no truly important people remaining in it.
The next step is to stop using the wrong tools. We expend vast amounts of energy on “time management” and “personal productivity,” and while these efforts can yield results at the tactical level, they’re futile when it comes to the strategic task of triage. Remember: this is not about making a list but deciding where the cut-off point is and sticking to it.
Finally, we need to address the emotional aspect of triage, because it’s not merely a cognitive process.
Actively ignoring things and saying no to people generates a range of emotions that exert a powerful influence on our choices and behavior. This is precisely what makes triage so difficult, and until we acknowledge its emotional dimension, our efforts to control our workflow through primarily intellectual interventions are unlikely to succeed.
This process may well be occurring right now. A moment ago when you read the phrase, “no truly important people,” above, you probably flinched a little and thought it was somewhat callous. I flinch when I read it, too, and I wrote it! But this understandable response is exactly why we devote time and attention to people who don’t truly merit the investment. There’s a fine line between effective triage and being an asshole, and many of us are so worried about crossing that line that we don’t even get close.
To triage effectively we need to enhance our ability to manage these concerns and other, related emotions (and “manage” does not mean “suppress”). As USC neuroscientist Antonio Damasio haswritten (and as everyone’s surely experienced first-hand), emotions can undermine effective decision-making by “creating an overriding bias against objective facts or even by interfering with support mechanisms of decision-making such as working memory.”
And this is exactly what happens to us when the active choice to ignore — the decision at the heart of triage — generates emotions that we fail to fully grasp.
When confronted by overwhelming demands on our time, we may feel anxious, scared, resentful, or even angry, but we’re often not sufficiently aware of or in touch with these emotions to make effective use of them. They flow through us below the level of active consciousness, inexorably guiding our behavior, but in many cases—and particularly when under stress—we fail to recognize their influence and miss opportunities to make the choices that will best meet our needs.
Improved emotion management is a complex undertaking, but there are a number of steps we can take that help:
  • Adjust our mental models to reflect emotions’ importance and the role they play in rational thought and decision-making. Our beliefs shape our experience.
  • Take better care of ourselves physically. Regular exercise and sufficient sleep demonstrably improve our ability to both perceive and regulate emotion.
  • Engage in some form of mindfulness routine. Meditation, journaling and other reflective practices enhance our ability to direct our thoughts, helping us sense emotion more acutely, and provide a new perspective on our experiences, helping us make sense of those emotions.
  • Expand our emotional vocabulary—literally. Having a wider range of words to describe what we’re feeling not only helps us communicate better with others, but also helps us to more accurately understand ourselves.
The ultimate goal is to expand our comfort with discomfort—to be able to acknowledge the difficult emotions generated by the need to triage so that we can face our endless to-do list, our overflowing Inbox, and the line of people clamoring for our attention and, kindly but firmly, say “No.”
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Ed Batista (@edbatista) is an executive coach and an Instructor at the Stanford Graduate School of Business. He writes regularly on issues related to coaching and professional development at edbatista.com, he contributed to the HBR Guide to Coaching Your Employees, and is currently writing a book on self-coaching for HBR Press.

Difficult Conversations: Nine Common Mistakes


By Sarah Green, based on Failure to Communicate by Holly Weeks


 Mistake #1: We fall into a combat mentality.
When difficult conversations turn toxic, it's often because we've made a key mistake: we've fallen into a combat mentality. This allows the conversation to become a zero-sum game, with a winner and a loser. But the reality is, when we let conversations take on this tenor – especially at the office – everyone looks bad, and everyone loses. The real enemy is not your conversational counterpart, but the combat mentality itself. And you can defeat it, with strategy and skill.

Mistake #2: We try to oversimplify the problem.
If the subject of your argument were straightforward, chances are you wouldn't be arguing about it. Because it's daunting to try and tackle several issues at once, we may try to roll these problems up into a less-complex Über-Problem. But the existence of such a beast is often an illusion. To avoid oversimplifying, remind yourself that if the issue weren't complicated, it probably wouldn't be so hard to talk about.


Mistake #3: We don't bring enough respect to the conversation.
The key to avoiding oversimplification is respecting the problem you're trying to resolve. To avoid the combat mentality, you need to go further – you need to respect the person you're talking to, and you need to respect yourself. Making sure that you respond in a way you can later be proud of will prevent you from being thrown off course if your counterpart is being openly hostile.


Mistake #4: We lash out – or shut down.
Fear, anger, embarrassment, defensiveness – any number of unpleasant feelings can course through us during a conversation we'd rather not have. Some of us react by confronting our counterpart more aggressively; others, by rushing to smooth things over. We might even see-saw between both counterproductive poles. Instead, move to the middle: state what you really want. The tough emotions won't evaporate. but with practice, you will learn to focus on the outcome you want in spite of them.


Mistake #5: We react to thwarting ploys.
Lying, threatening, stonewalling, crying, sarcasm, shouting, silence, accusing, taking offense: tough talks can present an arsenal of thwarting ploys. (Just because you're trying to move beyond the combat mentality doesn't mean your counterpart is.) But you also have an array of potential responses, ranging from passive to aggressive. Again, the most effective is to move to the middle: disarm the ploy by addressing it. For instance, if your counterpart has stopped responding to you, you can simply say, "I don't know how to interpret your silence."


Mistake #6: We get "hooked."
Everyone has a weak spot. And when someone finds ours – whether inadvertently, with a stray arrow, or because he is hoping to hurt us – it becomes even harder to stay out of the combat mentality. Maybe yours is tied to your job – you feel like your department doesn't get the respect it deserves. Or maybe it's more personal. But whatever it is, take the time to learn what hooks you. Just knowing where you're vulnerable will help you stay in control when someone pokes you there.


Mistake #7: We rehearse.
If we're sure a conversation is going to be tough, it's instinctive to rehearse what we'll say. But a difficult conversation is not a performance, with an actor and an audience. Once you've started the discussion, your counterpart could react in any number of ways – and having a "script" in mind will hamper your ability to listen effectively and react accordingly. Instead, prepare by asking yourself: 1. What is the problem? 2. What would my counterpart say the problem is? 3. What's my preferred outcome? 4. What's my preferred working relationship with my counterpart? You can also ask the other person to do the same in advance of your meeting.


Mistake #8: We make assumptions about our counterpart's intentions.
Optimists tend to assume that every disagreement is just a misunderstanding between two well-intentioned people; pessimists may feel that differences of opinion are actually ill-intentioned attacks. In the fog of a hard talk, we tend to forget that we don't have access to anyone's intentions but our own. Remember that you and your counterpart are both dealing with this ambiguity. If you get stuck, a handy phrase to remember is, "I'm realizing as we talk that I don't fully understand how you see this problem." Admitting what you don't know can be a powerful way to get a conversation back on track.


Mistake #9: We lose sight of the goal.
The key in any tough talk is to always keep sight of the goal. Help prevent this by going into conversations with a clear, realistic preferred outcome; the knowledge of how you want your working relationship with your counterpart to be; and having done some careful thinking about any obstacles that could interfere with either. (Remember, "winning" is not a realistic outcome, since your counterpart is unlikely to accept an outcome of "losing.") If you've done the exercise described in Slide 7, this should be easier. And you'll be less likely to get thrown off course by either thwarting ploys or your own emotions.



When we're caught off-guard, we're more likely to fall back into old, ineffective habits like the combat mentality. If you're not the one initiating the tough conversation, or if a problem erupts out of nowhere, stick to these basics: keep your content clear, keep your tone neutral, and keep your phrasing temperate. When disagreements flare, you'll be more likely to navigate to a productive outcome – and emerge with your reputation intact.



Work + Home + Community + Self



by Stewart D. Friedman
Take an assessment—produced in partnership with Qualtrics—of your Total Leadership skills, and learn how to strengthen them and about people who exemplify them.
Overcommitted. Distracted. Stressed out. Stretched too thin. This is how many of us describe ourselves today. I hear it from men and women; from the young and the old; from executives, MBA students, doctors, retailers, artisans, research scientists, soldiers, stay-at-home parents, teachers, and engineers around the world. In an age of constant communication and economic pressure, everyone is struggling to have meaningful work, domestic bliss, community engagement, and a satisfying inner life. Some have already given up on the idea of having it all: As I discovered last year in a study comparing undergraduates from the classes of 1992 and 2012 at the University of Pennsylvania’s Wharton School, a significant number of Millennials (the generation born from 1980 to 2000) are deciding not to become parents, because they don’t see how they can fit children into their busy lives.
A commitment to better “work/life balance” isn’t the solution. As I’ve argued for a long time—and as many more people are now asserting—balance is bunk. It’s a misguided metaphor because it assumes we must always make trade-offs among the four main aspects of our lives: work or school, home or family (however you define that), community (friends, neighbors, religious or social groups), and self (mind, body, spirit). A more realistic and more gratifying goal is better integration between work and the rest of life through the pursuit of four-way wins, which improve performance in all four dimensions.
Such integration starts with embracing three key principles—be real, be whole, and be innovative—that I described in a 2008 HBR article, “Be a Better Leader, Have a Richer Life.” It takes certain skills to bring those principles to life. In my 30 years as a professor, researcher, consultant, and executive, as I’ve studied and served thousands of people, I’ve found 18 specific skills that foster greater alignment and harmony among the four life domains. In this article I describe those skills and offer exercises—drawn from the latest findings in organizational psychology and related fields—to help you hone a few of the skills that business professionals often find most difficult to master. While there’s more you can do to instill the three principles (you’ll find a wider range of exercises in my new book, Leading the Life You Want: Skills for Integrating Work and Life), the advice offered here will help you move down the right path.
Skills for Being Real
For well over a decade I’ve run a program called Total Leadership that teaches the three principles to executives, MBA candidates, and many others. It starts with a focus on being real—how to act with authenticity by clarifying what’s important, wherever you are, whatever you’re doing. That requires you to:
  • Know what matters.
  • Embody values consistently.
  • Align actions with values.
  • Convey values with stories.
  • Envision your legacy.
  • Hold yourself accountable.
The ability to do the first two things is especially crucial. Let’s begin with how to know what matters. One exercise that enhances this skill, called four circles, has you examine the importance and congruence of your various roles and responsibilities in life. (You can do it online at this free site:www.myfourcircles.com.) You start by drawing circles representing the four domains—work, home, community, and self—varying the sizes to reflect how much you value each. Next you move the circles to show whether and to what degree they overlap. At this point you think about the values, goals, interests, actions, and results you pursue in each domain. Are they compatible or in opposition? Imagine what your life would be like if your aspirations in all four circles, and the means by which you achieved them, lined up perfectly, like the concentric rings of a tree trunk. For most of us that’s an unattainable ideal, but what actions could you realistically take to move toward that kind of overlap? Could you change how you work, or even how you think about the purpose of your work, without diminishing the personal value you derive from it? Could you help your family to better see how your business life benefits them so that they would be more supportive of it?
A complementary exercise, called conversation starter, encourages people to embody values consistently. This involves bringing an object from your nonwork life (such as a family photograph, a travel memento, or a trophy) into the office. If a colleague mentions it, you explain what this part of your life means to you and how it helps you at work. Then you consider asking that person to bring his or her own conversation starter. You might also take something from your work to your home and talk to your roommates, spouse, kids, or dinner guests about it. Tell them about what you do and who you are in your role at work, focusing especially on what this might mean for them.
When Victoria, the head of marketing for a pharmaceutical company division, drew her four circles, she initially placed the biggest one, representing work, apart from all the rest. She didn’t see any real connection between her professional identity and her home, community, and inner lives. But when she began to talk about the separation with a few colleagues, friends, and family members, she came to realize that one major aspect of her mission as an executive—promoting greater health—was a lot more compatible with her other circles than she had thought.
She could also see how just a few small changes in approach might create much more overlap. For example, at home she started to talk more with her two daughters about the social impact of her business, sharing stories about all the ways in which her company’s medicines were saving lives. The girls responded with greater pride in, and understanding of, their mom’s commitment to work. As a team leader, Victoria began to reframe core drug-marketing tasks in terms of the products’ benefits to end users—who were all the children, spouses, parents, siblings, friends, or neighbors of someone—just like the families and communities she and her employees had. As a result, her group became more impassioned and hardworking, which ultimately eased her load and gave her more time for other pursuits. Perhaps most important, Victoria felt less guilt about the way she was spending her time and energy, and newly secure in her mission at the office as well as in her family’s support.
Skills for Being Whole
The second principle that Total Leadership addresses is being whole—or acting with integrity. What I mean by that is respecting the fact that all the roles you play make up one whole person and encouraging others to view you the same way. To do that you must be able to:
  • Clarify expectations.
  • Help others.
  • Build supportive networks.
  • Apply all your resources.
  • Manage boundaries intelligently.
  • Weave disparate strands.
One of the most important skills here is knowing how to apply all your resources (such as your knowledge, skills, and contacts) in the various domains of your life to benefit the other domains. An exercise that helps you do that is called talent transfer. It involves writing a résumé listing all the skills you’ve developed—from mentoring colleagues, organizing family activities, or running a church bake sale—and thinking of how each might be used to achieve different ends. Organizational psychologists call this a strength development approach: You identify your talents and then apply them in new areas, enhancing them further. Another way to do this is to reflect on something that makes you feel good—a work accomplishment, a fruitful friendship, your commitment to salsa dancing—and then consider an area of your life you’d like to improve. How might the skills you used to achieve the former help you in the latter?
To manage boundaries intelligently is another key challenge. I advise people to practice something I call segment and merge, and then decide which strategy works best when. First, think about ways to create separation (in time and space) between your different roles. You might try setting limits on yourself. For example, if there’s an ambitious work project that you’ve been putting off, try dedicating the first two hours of each Saturday morning for the next month to tackling it, and then give yourself the rest of the day off. Or, if your job keeps monopolizing your evenings, you might experiment with a “no smartphones at the dinner table” policy. Now do the opposite: Think about opportunities to bring together two or more parts of your life. You might take a child to a company-sponsored charity run or bring a coworker to a block party in your neighborhood. After you’ve tried a new way of segmenting and a new way of merging, jot down your insights about what worked and what didn’t, for both you and the people around you. Were you more or less productive? Did you find yourself more or less distracted? How did others react? Were they put off, or did they seem to feel closer to and more trusting of you?
An example of the segmenting concept in action comes from Brian, a manager in an accounting firm. In a monthlong experiment, he set aside his 40-minute train rides to and from work solely for “downtime.” He caught up on e-mails to family and friends and invested in his own development through reading and reflection—for example, by diagramming the factors affecting his sense of stability, including his stress and energy levels and his feelings about himself, his relationships, and his future. Sometimes, as an alternative to that inward focus, he had conversations with the neighbors, colleagues, and acquaintances he sat next to on the train, exchanging advice about everything from child care to real estate. This simple reallocation of commuting time—from doing work to other things—resulted, perhaps paradoxically, in Brian’s being better prepared for work and more proactive about his career progression. He also felt closer to his extended family and the old friends with whom he’d reconnected and to the people in his local community, because he was engaging with more of them on his way to the office and back. Having an after-work buffer period allowed him to reenter his home with less stress and more openness and to develop new insights about how he could be a better father and husband. Personally, he also felt “more grounded and less crazed.” He came to see more clearly the positive impact of rest and recovery on his performance, which led him to experiment with increasing his sleep time by about an hour a day. Again, the small shift in boundaries significantly boosted his productivity, well-being, and relationships. Everyone with whom he interacted daily noticed that he was less cranky and more energetic.
Skills for Being Innovative
The third Total Leadership principle is to be innovative—to act with creativity in identifying and pursuing more four-way wins. To do so, you need to:
  • Focus on results.
  • Resolve conflicts among domains.
  • Challenge the status quo.
  • See new ways of doing things.
  • Embrace change courageously.
  • Create cultures of innovation around you.
Scenario exercises are one of several effective methods of increasing your capacity to focus on results, especially on the quality of your contributions rather than the amount of time or energy you spend on them. Scenarios involve identifying a specific goal you want to achieve and then listing three alternative ways to get there, including the resources you’ll need and the challenges you’ll face. This sort of brainstorming encourages you to keep your eyes on the prize. Another method is experimenting with new patterns of behavior, trying activities at new times or in different places. It could be something as simple as shaving at the gym instead of at home, or practicing your trumpet at the office after hours rather than disturbing your neighbors at home. What were the pros and cons of switching up your routine? How did it affect your results?
Crowdsourcing is an exercise that helps you practice how to see new ways of doing things. To try this, gather a group of your most creative friends and describe a problem you’re facing. Then ask for ideas about potential solutions and record what you hear. Select the one you think wisest, draft a plan, and try to make it happen. Stay in touch with your advisers, at least weekly, and after a month or so review your results with them. If the approach you tried didn’t work, or if you need more time to solve the problem, tweak your behavior or try another idea altogether, drawing on what you learned from the first experiment.
Former Bain & Company CEO Tom Tierney took not months but years to think about and solicit advice on what would eventually become the Bridgespan Group—an independent nonprofit that was incubated in and then spun out of Bain—which provides strategic consulting and leadership development to philanthropists, foundations, and other nonprofit organizations. In the 1980s he began to think, write, and talk about his idea for what he then generically called “Make a Difference Company,” picking the brains of colleagues and friends, including the likes of the presidential adviser and founder of Common Cause, John Gardner. Emboldened by those conversations, Tierney at first took small steps to move closer to his vision by, for example, volunteering for the United Way of the Bay Area while he was running Bain’s San Francisco office and eventually joining the nonprofit’s board. This was the first of many on which he would serve. In 1999, Tierney folded all that experience, knowledge, and crowdsourced wisdom into Bridgespan, and a year later he stepped down as chief executive of Bain to focus on the new organization.
Leading the life you want is a craft. As with music, writing, dance, or any athletic endeavor, you can always get better at it by practicing. That’s why I developed these exercises and many others. Start with these three big ideas: Be real, be whole, and be innovative. Understand the skills you need to accomplish each. And then commit to doing the fun and fruitful work of making them part of your leadership repertoire.

Stewart D. Friedman is the Practice Professor of Management at the Wharton School and the author of the forthcoming book Leading the Life You Want: Skills for Integrating Work and Life (Harvard Business Review Press, 2014). Twitter: @StewFriedman.

Great Leadership Isn’t About You













by John Michel  |   11:00 AM August 22, 2014
The year 1777 was not a particularly good time for America’s newly formed revolutionary army. Under General George Washington’s command, some 11,000 soldiers made their way to Valley Forge. Following the latest defeat in a string of battles that left Philadelphia in the hands of British forces, these tired, demoralized, and poorly equipped early American heroes knew they now faced another devastating winter.
Yet history clearly records that despite the harsh conditions and lack of equipment that left sentries to stand on their hats to prevent frostbite to their feet, the men who emerged from this terrible winter never gave up. Why? Largely because of the inspiring and selfless example of their leader, George Washington. He didn’t ask the members of his army to do anything he wouldn’t do. If they were cold, he was cold. If they were hungry, he went hungry. If they were uncomfortable, he too choose to experience the same discomfort.
The lesson Washington’s profoundly positive example teaches is that leading people well isn’t about driving them, directing them, or coercing them; it is about compelling them to join you in pushing into new territory. It is motivating them to share your enthusiasm for pursuing a shared ideal, objective, cause, or mission. In essence, it is to always conduct yourself in ways that communicates to others that you believe people are always more important than things.
Donald Walters, in his insightful little book, The Art of Leadership, provides a compelling example of how this perspective plays out in the most unlikely of places: the battlefield. Walters points out, “The difference between great generals and mediocre ones may be attributed to the zeal great generals have been able to inspire in their men. Some excellent generals have been master strategists, and have won wars on this strength alone. Greatness, however, by very definition implies a great, an expanded view. It transcends intelligence and merely technical competence. It implies an ability to see the lesser in relation to the greater; the immediate in relation to the long term; the need for victory in relations to the needs that will arise once victory has been achieved.”
As a general myself, I can confirm that achieving my mission, be it in training a new generation of capable men and women for service, promoting peace, or achieving victory in combat, is paramount. Yet this doesn’t imply that I should indiscriminately pursue my goals or blindly pursue my objectives at all costs. What Walters’ wise words strive to remind us of is that leadership, be it as a general in the military, an executive in the boardroom, a pastor serving a congregation, or a parent providing for a family, isn’t about exercising power over people, but rather, it’s about finding effective ways to work with people.
The most effective form of leadership is supportive. It is collaborative. It is never assigning a task, role or function to another that we ourselves would not be willing to perform. For all practical purposes, leading well is as simple as remembering to remain others-centered instead of self-centered. To do this, I try to keep these four imperatives in mind:
Listen to other people’s ideas, no matter how different they may be from your own: There’s ample evidence that the most imaginative and valuable ideas tend not to come from the top of an organization, but from within an organization. Be open to others opinions; what you hear may make the difference between merely being good and ultimately becoming great.
Embrace and promote a spirit of selfless service: People, be it employees, customers, constituents, or colleagues, are quick to figure out which leaders are truly dedicated to helping them succeed and which are only interested in promoting themselves at others’ expense. Be willing to put others’ legitimate needs and desires first and trust that they will freely give you the best they have to give.
Ask great questions: The most effective leaders know they don’t have all the answers. Instead, they constantly welcome and seek out new knowledge and insist on tapping into the curiosity and imaginations of those around them. Take it from Albert Einstein: “I have no special talent,” he claimed. “I am only passionately curious.” Be inquisitive. Help tap others’ hidden genius one wise question and courageous conversation at a time.
Don’t fall prey to your own publicity: Spin and sensationalism is an attractive angle to take in today’s self-promoting society. Yet the more we get accustomed to seeking affirmation or basking in the glow of others’ praise and adulation, the more it dilutes our objectivity, diminishes our focus, and sets us up to believe others are put in our path to serve our needs. Be careful not to become prideful; it will only set you up for a fall.
Those who serve under an effective general know well that he or she would ask nothing of others that they would not first do themselves. Such a leader believes with all their heart that they are one with their people, not superior to them. They know that they are simply doing a job together.
The need to reimagine and recast how we think about leadership has never been greater. In my view, too many of us have allowed our understanding of leadership to grow stagnant, contributing to why we face so many daunting problems in our society today. Now is the time to discover the leader within all of us. Now is the time to accept that leadership is meant to be more verb than noun, more active than passive.
Now is the time to not lose sight of the fact that people, be it in warfare, politics, religion, education, or business, are always more important than things.
Are you game?

Brig. Gen. John E. Michel is the Commanding General, NATO Air Training Command-Afghanistan and Commander, 438th Air Expeditionary Wing, Kabul, Afghanistan. He is a widely-recognized expert in culture, strategy & individual and organizational change. Connect at GeneralLeadership.com and at @JohnEMichel.

Level 5 Leadership: The Triumph of Humility and Fierce Resolve


If there’s one management expert who is synonymous with the term “high-performance organization,” it is Jim Collins, who has spent the past 20 years trying to understand how some companies are able to sustain superlative performance.
It may seem surprising that of the seven factors Collins identified as essential to take a company from good to great, he chose to focus on leadership in this 2001 piece. However, even a casual rereading of the article will convince you that he was right to do so.
Collins argues that the key ingredient that allows a company to become great is having a Level 5 leader: an executive in whom genuine personal humility blends with intense professional will. To learn that such CEOs exist still comes as a pleasant shock. But while the idea may sound counterintuitive today, it was downright heretical when Collins first wrote about it—the corporate scandals in the United States hadn’t broken out, and almost everyone believed that CEOs should be charismatic, larger-than-life figures. Collins was the first to blow that belief out of the water.
In 1971, a seemingly ordinary man named Darwin E. Smith was named chief executive of Kimberly-Clark, a stodgy old paper company whose stock had fallen 36% behind the general market during the previous 20 years. Smith, the company’s mild-mannered in-house lawyer, wasn’t so sure the board had made the right choice—a feeling that was reinforced when a Kimberly-Clark director pulled him aside and reminded him that he lacked some of the qualifications for the position. But CEO he was, and CEO he remained for 20 years.
What a 20 years it was. In that period, Smith created a stunning transformation at Kimberly-Clark, turning it into the leading consumer paper products company in the world. Under his stewardship, the company beat its rivals Scott Paper and Procter & Gamble. And in doing so, Kimberly-Clark generated cumulative stock returns that were 4.1 times greater than those of the general market, outperforming venerable companies such as Hewlett-Packard, 3M, Coca-Cola, and General Electric.
Smith’s turnaround of Kimberly-Clark is one the best examples in the twentieth century of a leader taking a company from merely good to truly great. And yet few people—even ardent students of business history—have heard of Darwin Smith. He probably would have liked it that way. Smith is a classic example of a Level 5 leader—an individual who blends extreme personal humility with intense professional will. According to our five-year research study, executives who possess this paradoxical combination of traits are catalysts for the statistically rare event of transforming a good company into a great one. (The research is described in the sidebar “One Question, Five Years, 11 Companies.”)
“Level 5” refers to the highest level in a hierarchy of executive capabilities that we identified during our research. Leaders at the other four levels in the hierarchy can produce high degrees of success but not enough to elevate companies from mediocrity to sustained excellence. (For more details about this concept, see the exhibit “The Level 5 Hierarchy.”) And while Level 5 leadership is not the only requirement for transforming a good company into a great one—other factors include getting the right people on the bus (and the wrong people off the bus) and creating a culture of discipline—our research shows it to be essential. Good-to-great transformations don’t happen without Level 5 leaders at the helm. They just don’t.
Not What You Would Expect
Our discovery of Level 5 leadership is counterintuitive. Indeed, it is countercultural. People generally assume that transforming companies from good to great requires larger-than-life leaders—big personalities like Lee Iacocca, Al Dunlap, Jack Welch, and Stanley Gault, who make headlines and become celebrities.
Compared with those CEOs, Darwin Smith seems to have come from Mars. Shy, unpretentious, even awkward, Smith shunned attention. When a journalist asked him to describe his management style, Smith just stared back at the scribe from the other side of his thick black-rimmed glasses. He was dressed unfashionably, like a farm boy wearing his first J.C. Penney suit. Finally, after a long and uncomfortable silence, he said, “Eccentric.” Needless to say, the Wall Street Journal did not publish a splashy feature on Darwin Smith.
But if you were to consider Smith soft or meek, you would be terribly mistaken. His lack of pretense was coupled with a fierce, even stoic, resolve toward life. Smith grew up on an Indiana farm and put himself through night school at Indiana University by working the day shift at International Harvester. One day, he lost a finger on the job. The story goes that he went to class that evening and returned to work the very next day. Eventually, this poor but determined Indiana farm boy earned admission to Harvard Law School.
He showed the same iron will when he was at the helm of Kimberly-Clark. Indeed, two months after Smith became CEO, doctors diagnosed him with nose and throat cancer and told him he had less than a year to live. He duly informed the board of his illness but said he had no plans to die anytime soon. Smith held to his demanding work schedule while commuting weekly from Wisconsin to Houston for radiation therapy. He lived 25 more years, 20 of them as CEO.
Smith’s ferocious resolve was crucial to the rebuilding of Kimberly-Clark, especially when he made the most dramatic decision in the company’s history: selling the mills.
To explain: Shortly after he took over, Smith and his team had concluded that the company’s traditional core business—coated paper—was doomed to mediocrity. Its economics were bad and the competition weak. But, they reasoned, if Kimberly-Clark were thrust into the fire of the consumer paper products business, better economics and world-class competition like Procter & Gamble would force it to achieve greatness or perish.
And so, like the general who burned the boats upon landing on enemy soil, leaving his troops to succeed or die, Smith announced that Kimberly-Clark would sell its mills—even the namesake mill in Kimberly, Wisconsin. All proceeds would be thrown into the consumer business, with investments in brands like Huggies diapers and Kleenex tissues. The business media called the move stupid, and Wall Street analysts downgraded the stock. But Smith never wavered. Twenty-five years later, Kimberly-Clark owned Scott Paper and beat Procter & Gamble in six of eight product categories. In retirement, Smith reflected on his exceptional performance, saying simply, “I never stopped trying to become qualified for the job.”
Not What We Expected, Either
We’ll look in depth at Level 5 leadership, but first let’s set an important context for our findings. We were not looking for Level 5 or anything like it. Our original question was, Can a good company become a great one and, if so, how? In fact, I gave the research teams explicit instructions to downplay the role of top executives in their analyses of this question so we wouldn’t slip into the simplistic “credit the leader” or “blame the leader” thinking that is so common today.
But Level 5 found us. Over the course of the study, research teams kept saying, “We can’t ignore the top executives even if we want to. There is something consistently unusual about them.” I would push back, arguing, “The comparison companies also had leaders. So what’s different here?” Back and forth the debate raged. Finally, as should always be the case, the data won. The executives at companies that went from good to great and sustained that performance for 15 years or more were all cut from the same cloth—one remarkably different from that which produced the executives at the comparison companies in our study. It didn’t matter whether the company was in crisis or steady state, consumer or industrial, offering services or products. It didn’t matter when the transition took place or how big the company. The successful organizations all had a Level 5 leader at the time of transition.
Furthermore, the absence of Level 5 leadership showed up consistently across the comparison companies. The point: Level 5 is an empirical finding, not an ideological one. And that’s important to note, given how much the Level 5 finding contradicts not only conventional wisdom but much of management theory to date. (For more about our findings on good-to-great transformations, see the sidebar “Not by Level 5 Alone.”)
Humility + Will = Level 5
Level 5 leaders are a study in duality: modest and willful, shy and fearless. To grasp this concept, consider Abraham Lincoln, who never let his ego get in the way of his ambition to create an enduring great nation. Author Henry Adams called him “a quiet, peaceful, shy figure.” But those who thought Lincoln’s understated manner signaled weakness in the man found themselves terribly mistaken—to the scale of 250,000 Confederate and 360,000 Union lives, including Lincoln’s own.
It might be a stretch to compare the 11 Level 5 CEOs in our research to Lincoln, but they did display the same kind of duality. Take Colman M. Mockler, CEO of Gillette from 1975 to 1991. Mockler, who faced down three takeover attempts, was a reserved, gracious man with a gentle, almost patrician manner. Despite epic battles with raiders—he took on Ronald Perelman twice and the former Coniston Partners once—he never lost his shy, courteous style. At the height of crisis, he maintained a calm business-as-usual demeanor, dispensing first with ongoing business before turning to the takeover.
And yet, those who mistook Mockler’s outward modesty as a sign of inner weakness were beaten in the end. In one proxy battle, Mockler and other senior executives called thousands of investors, one by one, to win their votes. Mockler simply would not give in. He chose to fight for the future greatness of Gillette even though he could have pocketed millions by flipping his stock.
Consider the consequences had Mockler capitulated. If a share flipper had accepted the full 44% price premium offered by Perelman and then invested those shares in the general market for ten years, he still would have come out 64% behind a shareholder who stayed with Mockler and Gillette. If Mockler had given up the fight, it’s likely that none of us would be shaving with Sensor, Lady Sensor, or the Mach III—and hundreds of millions of people would have a more painful battle with daily stubble.
Sadly, Mockler never had the chance to enjoy the full fruits of his efforts. In January 1991, Gillette received an advance copy of Forbes. The cover featured an artist’s rendition of the publicity-shy Mockler standing on a mountaintop, holding a giant razor above his head in a triumphant pose. Walking back to his office just minutes after seeing this public acknowledgment of his 16 years of struggle, Mockler crumpled to the floor and died of a massive heart attack.
Even if Mockler had known he would die in office, he could not have changed his approach. His placid persona hid an inner intensity, a dedication to making anything he touched the best—not just because of what he would get but because he couldn’t imagine doing it any other way. Mockler could not give up the company to those who would destroy it, any more than Lincoln would risk losing the chance to build an enduring great nation.
A Compelling Modesty
The Mockler story illustrates the modesty typical of Level 5 leaders. (For a summary of Level 5 traits, see the exhibit “The Yin and Yang of Level 5.”) Indeed, throughout our interviews with such executives, we were struck by the way they talked about themselves—or rather, didn’t talk about themselves. They’d go on and on about the company and the contributions of other executives, but they would instinctively deflect discussion about their own role. When pressed to talk about themselves, they’d say things like, “I hope I’m not sounding like a big shot,” or “I don’t think I can take much credit for what happened. We were blessed with marvelous people.” One Level 5 leader even asserted, “There are a lot of people in this company who could do my job better than I do.”
By contrast, consider the courtship of personal celebrity by the comparison CEOs. Scott Paper, the comparison company to Kimberly-Clark, hired Al Dunlap as CEO—a man who would tell anyone who would listen (and many who would have preferred not to) about his accomplishments. After 19 months atop Scott Paper, Dunlap said in BusinessWeek, “The Scott story will go down in the annals of American business history as one of the most successful, quickest turnarounds ever. It makes other turnarounds pale by comparison.” He personally accrued $100 million for 603 days of work at Scott Paper—about $165,000 per day—largely by slashing the workforce, halving the R&D budget, and putting the company on growth steroids in preparation for sale. After selling off the company and pocketing his quick millions, Dunlap wrote an autobiography in which he boastfully dubbed himself “Rambo in pinstripes.” It’s hard to imagine Darwin Smith thinking, “Hey, that Rambo character reminds me of me,” let alone stating it publicly.
Granted, the Scott Paper story is one of the more dramatic in our study, but it’s not an isolated case. In more than two-thirds of the comparison companies, we noted the presence of a gargantuan ego that contributed to the demise or continued mediocrity of the company. We found this pattern particularly strong in the unsustained comparison companies—the companies that would show a shift in performance under a talented yet egocentric Level 4 leader, only to decline in later years.
Lee Iacocca, for example, saved Chrysler from the brink of catastrophe, performing one of the most celebrated (and deservedly so) turnarounds in U.S. business history. The automaker’s stock rose 2.9 times higher than the general market about halfway through his tenure. But then Iacocca diverted his attention to transforming himself. He appeared regularly on talk shows like the Today Show andLarry King Live, starred in more than 80 commercials, entertained the idea of running for president of the United States, and promoted his autobiography, which sold 7 million copies worldwide. Iacocca’s personal stock soared, but Chrysler’s stock fell 31% below the market in the second half of his tenure.
And once Iacocca had accumulated all the fame and perks, he found it difficult to leave center stage. He postponed his retirement so many times that Chrysler’s insiders began to joke that Iacocca stood for “I Am Chairman of Chrysler Corporation Always.” When he finally retired, he demanded that the board continue to provide a private jet and stock options. Later, he joined forces with noted takeover artist Kirk Kerkorian to launch a hostile bid for Chrysler. (It failed.) Iacocca did make one final brilliant decision: He picked a modest yet determined man—perhaps even a Level 5—as his successor. Bob Eaton rescued Chrysler from its second near-death crisis in a decade and set the foundation for a more enduring corporate transition.
An Unwavering Resolve
Besides extreme humility, Level 5 leaders also display tremendous professional will. When George Cain became CEO of Abbott Laboratories, it was a drowsy, family-controlled business sitting at the bottom quartile of the pharmaceutical industry, living off its cash cow, erythromycin. Cain was a typical Level 5 leader in his lack of pretense; he didn’t have the kind of inspiring personality that would galvanize the company. But he had something much more powerful: inspired standards. He could not stand mediocrity in any form and was utterly intolerant of anyone who would accept the idea that good is good enough. For the next 14 years, he relentlessly imposed his will for greatness on Abbott Labs.
Among Cain’s first tasks was to destroy one of the root causes of Abbott’s middling performance: nepotism. By systematically rebuilding both the board and the executive team with the best people he could find, Cain made his statement. Family ties no longer mattered. If you couldn’t become the best executive in the industry within your span of responsibility, you would lose your paycheck.
Such near-ruthless rebuilding might be expected from an outsider brought in to turn the company around, but Cain was an 18-year insider—and a part of the family, the son of a previous president. Holiday gatherings were probably tense for a few years in the Cain clan—“Sorry I had to fire you. Want another slice of turkey?”—but in the end, family members were pleased with the performance of their stock. Cain had set in motion a profitable growth machine. From its transition in 1974 to 2000, Abbott created shareholder returns that beat the market 4.5:1, outperforming industry superstars Merck and Pfizer by a factor of two.
Another good example of iron-willed Level 5 leadership comes from Charles R. “Cork” Walgreen III, who transformed dowdy Walgreens into a company that outperformed the stock market 16:1 from its transition in 1975 to 2000. After years of dialogue and debate within his executive team about what to do with Walgreens’ food-service operations, this CEO sensed the team had finally reached a watershed: The company’s brightest future lay in convenient drugstores, not in food service. Dan Jorndt, who succeeded Walgreen in 1988, describes what happened next:
Cork said at one of our planning committee meetings, “Okay, now I am going to draw the line in the sand. We are going to be out of the restaurant business completely in five years.” At the time we had more than 500 restaurants. You could have heard a pin drop. He said, “I want to let everybody know the clock is ticking.” Six months later we were at our next planning committee meeting and someone mentioned just in passing that we had only five years to be out of the restaurant business. Cork was not a real vociferous fellow. He sort of tapped on the table and said, “Listen, you now have four and a half years. I said you had five years six months ago. Now you’ve got four and a half years.” Well, that next day things really clicked into gear for winding down our restaurant business. Cork never wavered. He never doubted. He never second-guessed.
Like Darwin Smith selling the mills at Kimberly-Clark, Cork Walgreen required stoic resolve to make his decisions. Food service was not the largest part of the business, although it did add substantial profits to the bottom line. The real problem was more emotional than financial. Walgreens had, after all, invented the malted milk shake, and food service had been a long-standing family tradition dating back to Cork’s grandfather. Not only that, some food-service outlets were even named after the CEO—for example, a restaurant chain named Corky’s. But no matter; if Walgreen had to fly in the face of family tradition in order to refocus on the one arena in which Walgreens could be the best in the world—convenient drugstores—and terminate everything else that would not produce great results, then Cork would do it. Quietly, doggedly, simply.
One final, yet compelling, note on our findings about Level 5: Because Level 5 leaders have ambition not for themselves but for their companies, they routinely select superb successors. Level 5 leaders want to see their companies become even more successful in the next generation and are comfortable with the idea that most people won’t even know that the roots of that success trace back to them. As one Level 5 CEO said, “I want to look from my porch, see the company as one of the great companies in the world someday, and be able to say, ‘I used to work there.’ ” By contrast, Level 4 leaders often fail to set up the company for enduring success. After all, what better testament to your own personal greatness than that the place falls apart after you leave?
In more than three-quarters of the comparison companies, we found executives who set up their successors for failure, chose weak successors, or both. Consider the case of Rubbermaid, which grew from obscurity to become one of Fortune’s most admired companies—and then, just as quickly, disintegrated into such sorry shape that it had to be acquired by Newell.
The architect of this remarkable story was a charismatic and brilliant leader named Stanley C. Gault, whose name became synonymous in the late 1980s with Rubbermaid’s success. Across the 312 articles collected by our research team about the company, Gault comes through as a hard-driving, egocentric executive. In one article, he responds to the accusation of being a tyrant with the statement, “Yes, but I’m a sincere tyrant.” In another, drawn directly from his own comments on leading change, the word “I” appears 44 times, while the word “we” appears 16 times. Of course, Gault had every reason to be proud of his executive success: Rubbermaid generated 40 consecutive quarters of earnings growth under his leadership—an impressive performance, to be sure, and one that deserves respect.
But Gault did not leave behind a company that would be great without him. His chosen successor lasted a year on the job and the next in line faced a management team so shallow that he had to temporarily shoulder four jobs while scrambling to identify a new number-two executive. Gault’s successors struggled not only with a management void but also with strategic voids that would eventually bring the company to its knees.
Of course, you might say—as one Fortune article did—that the fact that Rubbermaid fell apart after Gault left proves his greatness as a leader. Gault was a tremendous Level 4 leader, perhaps one of the best in the last 50 years. But he was not at Level 5, and that is one crucial reason why Rubbermaid went from good to great for a brief, shining moment and then just as quickly went from great to irrelevant.
The Window and the Mirror
As part of our research, we interviewed Alan L. Wurtzel, the Level 5 leader responsible for turning Circuit City from a ramshackle company on the edge of bankruptcy into one of America’s most successful electronics retailers. In the 15 years after its transition date in 1982, Circuit City outperformed the market 18.5:1.
We asked Wurtzel to list the top five factors in his company’s transformation, ranked by importance. His number one factor? Luck. “We were in a great industry, with the wind at our backs,” he said. But wait a minute, we retorted, Silo—your comparison company—was in the same industry, with the same wind and bigger sails. The conversation went back and forth, with Wurtzel refusing to take much credit for the transition, preferring to attribute it largely to just being in the right place at the right time. Later, when we asked him to discuss the factors that would sustain a good-to-great transformation, he said, “The first thing that comes to mind is luck. I was lucky to find the right successor.”
Luck. What an odd factor to talk about. Yet the Level 5 leaders we identified invoked it frequently. We asked an executive at steel company Nucor why it had such a remarkable track record for making good decisions. His response? “I guess we were just lucky.” Joseph F. Cullman III, the Level 5 CEO of Philip Morris, flat out refused to take credit for his company’s success, citing his good fortune to have great colleagues, successors, and predecessors. Even the book he wrote about his career—which he penned at the urging of his colleagues and which he never intended to distribute widely outside the company—had the unusual title I’m a Lucky Guy.
At first, we were puzzled by the Level 5 leaders’ emphasis on good luck. After all, there is no evidence that the companies that had progressed from good to great were blessed with more good luck (or more bad luck, for that matter) than the comparison companies. But then we began to notice an interesting pattern in the executives at the comparison companies: They often blamed their situations on bad luck, bemoaning the difficulties of the environment they faced.
Compare Bethlehem Steel and Nucor, for example. Both steel companies operated with products that are hard to differentiate, and both faced a competitive challenge from cheap imported steel. Both companies paid significantly higher wages than most of their foreign competitors. And yet executives at the two companies held completely different views of the same environment.
Bethlehem Steel’s CEO summed up the company’s problems in 1983 by blaming the imports: “Our first, second, and third problems are imports.” Meanwhile, Ken Iverson and his crew at Nucor saw the imports as a blessing: “Aren’t we lucky; steel is heavy, and they have to ship it all the way across the ocean, giving us a huge advantage.” Indeed, Iverson saw the first, second, and third problems facing the U.S. steel industry not in imports but in management. He even went so far as to speak out publicly against government protection against imports, telling a gathering of stunned steel executives in 1977 that the real problems facing the industry lay in the fact that management had failed to keep pace with technology.
The emphasis on luck turns out to be part of a broader pattern that we have come to call “the window and the mirror.” Level 5 leaders, inherently humble, look out the window to apportion credit—even undue credit—to factors outside themselves. If they can’t find a specific person or event to give credit to, they credit good luck. At the same time, they look in the mirror to assign responsibility, never citing bad luck or external factors when things go poorly. Conversely, the comparison executives frequently looked out the window for factors to blame but preened in the mirror to credit themselves when things went well.
The funny thing about the window-and-mirror concept is that it does not reflect reality. According to our research, the Level 5 leaders were responsible for their companies’ transformations. But they would never admit that. We can’t climb inside their heads and assess whether they deeply believed what they saw through the window and in the mirror. But it doesn’t really matter, because they acted as if they believed it, and they acted with such consistency that it produced exceptional results.
Born or Bred?
Not long ago, I shared the Level 5 finding with a gathering of senior executives. A woman who had recently become chief executive of her company raised her hand. “I believe what you’ve told us about Level 5 leadership,” she said, “but I’m disturbed because I know I’m not there yet, and maybe I never will be. Part of the reason I got this job is because of my strong ego. Are you telling me that I can’t make my company great if I’m not Level 5?”
“Let me return to the data,” I responded. “Of 1,435 companies that appeared on the Fortune 500 since 1965, only 11 made it into our study. In those 11, all of them had Level 5 leaders in key positions, including the CEO role, at the pivotal time of transition. Now, to reiterate, we’re not saying that Level 5 is the only element required for the move from good to great, but it appears to be essential.”
She sat there, quiet for a moment, and you could guess what many people in the room were thinking. Finally, she raised her hand again. “Can you learn to become Level 5?” I still do not know the answer to that question. Our research, frankly, did not delve into how Level 5 leaders come to be, nor did we attempt to explain or codify the nature of their emotional lives. We speculated on the unique psychology of Level 5 leaders. Were they “guilty” of displacement—shifting their own raw ambition onto something other than themselves? Were they sublimating their egos for dark and complex reasons rooted in childhood trauma? Who knows? And perhaps more important, do the psychological roots of Level 5 leadership matter any more than do the roots of charisma or intelligence? The question remains: Can Level 5 be developed?
My preliminary hypothesis is that there are two categories of people: those who don’t have the Level 5 seed within them and those who do. The first category consists of people who could never in a million years bring themselves to subjugate their own needs to the greater ambition of something larger and more lasting than themselves. For those people, work will always be first and foremost about what they get—the fame, fortune, power, adulation, and so on. Work will never be about what they build, create, and contribute. The great irony is that the animus and personal ambition that often drives people to become a Level 4 leader stands at odds with the humility required to rise to Level 5.
When you combine that irony with the fact that boards of directors frequently operate under the false belief that a larger-than-life, egocentric leader is required to make a company great, you can quickly see why Level 5 leaders rarely appear at the top of our institutions. We keep putting people in positions of power who lack the seed to become a Level 5 leader, and that is one major reason why there are so few companies that make a sustained and verifiable shift from good to great.
The second category consists of people who could evolve to Level 5; the capability resides within them, perhaps buried or ignored or simply nascent. Under the right circumstances—with self-reflection, a mentor, loving parents, a significant life experience, or other factors—the seed can begin to develop. Some of the Level 5 leaders in our study had significant life experiences that might have sparked development of the seed. Darwin Smith fully blossomed as a Level 5 after his near-death experience with cancer. Joe Cullman was profoundly affected by his World War II experiences, particularly the last-minute change of orders that took him off a doomed ship on which he surely would have died; he considered the next 60-odd years a great gift. A strong religious belief or conversion might also nurture the seed. Colman Mockler, for example, converted to evangelical Christianity while getting his MBA at Harvard, and later, according to the book Cutting Edge by Gordon McKibben, he became a prime mover in a group of Boston business executives that met frequently over breakfast to discuss the carryover of religious values to corporate life.
We would love to be able to give you a list of steps for getting to Level 5—other than contracting cancer, going through a religious conversion, or getting different parents—but we have no solid research data that would support a credible list. Our research exposed Level 5 as a key component inside the black box of what it takes to shift a company from good to great. Yet inside that black box is another—the inner development of a person to Level 5 leadership. We could speculate on what that inner box might hold, but it would mostly be just that: speculation.
In short, Level 5 is a very satisfying idea, a truthful idea, a powerful idea, and, to make the move from good to great, very likely an essential idea. But to provide “ten steps to Level 5 leadership” would trivialize the concept.
My best advice, based on the research, is to practice the other good-to-greatdisciplines that we discovered. Since we found a tight symbiotic relationship between each of the other findings and Level 5, we suspect that conscientiously trying to lead using the other disciplines can help you move in the right direction. There is no guarantee that doing so will turn executives into full-fledged Level 5 leaders, but it gives them a tangible place to begin, especially if they have the seed within.
We cannot say for sure what percentage of people have the seed within, nor how many of those can nurture it enough to become Level 5. Even those of us on the research team who identified Level 5 do not know whether we will succeed in evolving to its heights. And yet all of us who worked on the finding have been inspired by the idea of trying to move toward Level 5. Darwin Smith, Colman Mockler, Alan Wurtzel, and all the other Level 5 leaders we learned about have become role models for us. Whether or not we make it to Level 5, it is worth trying. For like all basic truths about what is best in human beings, when we catch a glimpse of that truth, we know that our own lives and all that we touch will be the better for making the effort to get there.

Jim Collins operates a management research laboratory in Boulder, Colorado. He is a coauthor with Jerry I. Porras of Built to Last: Successful Habits of Visionary Companies (HarperBusiness, 2002). The ideas in this article appeared in his book Good to Great: Why Some Companies Make the Leap…and Others Don’t(HarperBusiness, 2001).