International Conservation

Chiefs Academy

Adaptive Leadership

Guide for Facilitators, Coaches

and Interpreters
CONTENTS

Module: Adaptive Leadership …………………………..………………………………………………...1

Subunit 1: Introduction to Principles and Competencies of Adaptive Leadership……………………...5
Section 1: Facilitator Introductions
Section 2: Importance of Adaptive Leadership in a Changing and Challenging World
Section 3: Definition of Adaptive Leadership
Section 4: The Principles and Competencies of Adaptive Leadership

Subunit 2: Distinguishing Technical Problems from Adaptive Challenges……………………………...13

Section 1: Two Types of Problems: Technical Problems and Adaptive Challenges
Section 2: Diagnosing Technical Problems and Adaptive Challenges
Section 3: Losses at Stake for Those Doing Adaptive Work
Section 4: Characteristic Flags of Adaptive Challenge
Section 5: Summary

Subunit 3: Distinguishing Leadership from Authority…………………………………………………..21

Section 1: Introduction
Section 2: The Authority Relationship
Section 3: Functions of Authority
Section 4: Scope of Authority
Section 5: Managing Disequilibrium
Section 6: Exercising Leadership from a Position of Authority
Section 7: Summary

Subunit 4: Diagnose Situation: Fundamentals of Diagnosing the System and Yourself……………….29

Section 1: Introduction
Section 2: The Observation, Interpretation, Intervention Cycle
Section 3: Holding Tough Multiple Interpretation
Section 4: Systems Diagnosis Using The Iceberg
Section 5: Summary

Subunit 5: Energize Others: Establishing a Collective Purpose and Working Across Factions…………41
Section 1: Introduction
Section 2: The Authority Relationship
Section 3: Faction Mapping
Section 4: Summary

Subunit 6: Strengthening Diagnostic Skills: Group Peer Consultation Sessions………………………..45

Section 1: Introduction
Section 2: Peer Consultation Sessions

Subunit 7: Managing Self ………………………………………………………………………………...48

Bibliography………………………………………………………………………………………………52

Resources………………………………………………………………………………………………….53

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CONTENTS OF FIGURES

Figure 1: Forces Shaping World Events………………………………………………………………… 6

Figure 2: Seeing Leadership Through a Different Lens………………………………………………… 8
Figure 3: Definition of Adaptive Leadership……………………………………………………………..8
Figure 4: Adaptive Work at the Center…………………………………………………………………...9
Figure 5: Four Competencies of Adaptive Leadership…………………………………………………..10
Figure 6: Distinguishing Technical and Adaptive Work………………………………………………...15
Figure 7: Locus of work – Technical vs. Adaptive Work………………………………………………..15
Figure 8: Technical Problems……………………………………………………………………………16
Figure 9: Adaptive Challenges…………………………………………………………………………..18
Figure 10 Real or Perceived Losses When Doing Adaptive Work………………………………………18
Figure 11: The Authority Relationship……………………………………………………………………23
Figure 12: Scope of Authority…………………………………………………………………………….24
Figure 13: The Productive Zone of Disequilibrium (PZD)……………………………………………….24
Figure 14: Holding Environment………………………………………………………………………….26
Figure 15: The Understandascope………………………………………………………………………...29
Figure 16: The Observation, Interpretation, Intervention Cycle………………………………………….30
Figure 17: The Dance Floor and the Balcony…………………………………………………………….30
Figure 18: Diagnosing the System and Ourselves – The Order of the Process…………………………...31
Figure 19: Multiple Interpretations of the Same Data…………………………………………………….32
Figure 20: Blind Men and theElephant……………………………………………………………………32
Figure 21: Our Lens Influences Our View of the World………………………………………………….33
Figure 22: The Ladder of Inference……………………………………………………………………….33
Figure 23: Tough Interpretations Mind Shift……………………………………………………………..35
Figure 24: Reframing the Interpretation………………………………………………………………….35
Figure 25: The Systems Thinking Iceberg………………………………………………………………..37
Figure 26: System Structures……………………………………………………………………………..37
Figure 27: Seeing Our Piece of the Mess…………………………………………………………………38
Figure 28: Faction Map……………………………………………………………………………………41
Figure 29: Faction Mapping Tool…………………………………………………………………………41
Figure 30: Expanding Our Personal Bandwidth…………………………………………………………..50
Figure 31: What Holds Us Back From Exercising Leadership?..................................................................51
Figure 32: Values, Loyalties and Losses………………………………………………………………….51

CONTENTS OF TABLES

Table 1: Work Avoidance Mechanisms…………………………………………………………………25

Table 2: Actions to Raise the Heat………………………………………………………………………26
Table 3: How to Deploy Authority: Modes of Operating – Technical vs. Adaptive……………………27

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Exercising Leadership on Adaptive Challenges

The Adaptive Leadership sessions in the ICCA cover the following topical areas related to exercising
leadership on adaptive challenges:

• An overview of the principles and competencies associated with the practice of adaptive leadership.
• Diagnosis: Distinguishing technical problems and adaptive challenges.
• Distinguishing between leadership and authority.
• Diagnosis: the observation, interpretation, and intervention cycle.
• Identifying, understanding and mapping factions.
• Use of the peer consultation process.

LEARNING OUTCOMES

• To learn several key principles and competencies associated with exercising leadership on adaptive
challenges.

• To experience opportunities to experiment with acts of leadership in the learning environment.

• To become more aware of opportunities and barriers to exercising leadership within yourself, within
the system, and within your leadership challenge.

• To apply the peer consulting methodology to aid in diagnosing and developing leadership actions
related to an adaptive challenge identified by participants.

“All human institutions must renew themselves continuously; therefore,

we must explore this process as it bears on leadership.”
-- John Gardner

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Our Purpose

When exercising leadership, your purpose must be clear. The overarching purpose of this
leadership program is to strengthen global law enforcement relationships to combat illegal wildlife
trafficking. We set out to achieve this through shared understanding of the wildlife trafficking
problem, transnational relationship building, and the application of adaptive leadership. This course
will contribute to this purpose by creating a shared understanding of challenges and opportunities
associated with combatting illegal wildlife trafficking, exploring how to apply adaptive leadership
concepts to make progress on wildlife trafficking challenge, and enhancing the capacity for global
collaboration and networking in service of this purpose.

Our Goals of This Session

The ultimate goal of the adaptive leadership sessions is to enhance individual and institutional
adaptive capacity. Enhancing adaptive capacity in response to emerging new conditions and
realities being encountered in combatting wildlife trafficking is critical to success. Additionally,
our intent is to:
• Promote shared understanding of the types and characteristics of the adaptive challenges
being encountered in combatting wildlife trafficking.
• Establish an enduring international learning community.
• Enhance transnational relationships, collaboration and networking on these wildlife
trafficking challenges globally.

Overview of the ICCA Adaptive Leadership Sessions

These sessions are an introduction to the adaptive leadership framework. The sessions will cover
the theory and key concepts, terminology, dynamics, and practices of exercising adaptive leadership
in social systems. As these fundamentals associated with adaptive leadership framework are
introduced, participants will begin to apply these leadership practices to actual challenges they are
facing in their work.

We’ll introduce participants to the peer consultation process. This process is designed to help
participants learn and apply adaptive leadership concepts to a challenge. Participants will be a
member of a small group of 6-8 people peer group during the consultation process. The process
applies adaptive leadership concepts to diagnose a challenge faced by a peer group member.

Flow of the Sessions

The adaptive leadership course is broken into seven units. It will employ presentation, pair sharing,
group discussion, and peer to peer consultation.

Unit 1: Introduction to Principles and Competencies of Adaptive Leadership

Unit 2: Distinguishing adaptive challenges and technical problems. What type of problem do we
face?

Unit 3: Distinguishing Leadership vs. Authority: What’s the difference and why does it matter?
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Unit 4: Diagnose Situation: Fundamentals of Diagnosing the System and Yourself

Unit 5: Energizing Others: Inspiring a Collective Purpose and Working Across Factions

Unit 6: Strengthening Diagnostic Skills: Group Peer Consultation Sessions

Unit 7: Managing Self

Facilitator Information

Breakout Rooms/Areas for Peer Consultation Groups to Meet

Participants will engage in peer group consultation. Each 6-8 person peer group would have its
own private break out room.

Methodology

The course is designed with adaptive leadership as a single module, broken into seven units.
Methods employed include brainstorming, brainwriting, presentation, pair sharing, discussion, and
peer to peer consultation.

Method Description
Brainstorming Brainstorming is collecting ideas for further discussion in a group. The
spontaneous evaluation of the ideas expressed by the participants will be
absolutely avoided to make everybody feel safe to contribute anything that is
relevant for the individual. The collected ideas can be discussed at a later
stage.
Brainwriting Brainwriting is like brainstorming, only the collected ideas will be written on
a flipchart or whiteboard, so they are available and visible for later
discussion. Normally the facilitator writes the ideas of the participants, but
they well may be encouraged to come to the board and write down their
ideas themselves.
Discussion A discussion is the exchange of ideas and opinions as well as a dialogue to explain,
clarify and agree on issues. Discussion normally follows the target (target-oriented
discussion) of reaching a consensus, an agreement or at least a clarification
of positions ("we agree that we don't agree"). An orderly, successful
discussion uses a speaker's order and a facilitator.
Presentation Presentation in general is informing an audience on a specific subject. The
presenter or facilitator of a presentation may:
• Present using visual aids such as posters, flip charts, slides, audio, video
or other objects.
• Allow or not allow questions during the presentation
• Encourage a discussion or Q&A after the presentation
• Use hand-outs with the main messages of the presentation and additional
information
Case-In-Point Facilitators will call attention to dynamics in the classroom as a teaching
method.

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 Peer Group Peer group consultation is a structured process used to apply leadership
Consultation concepts learned, as well as allows participants the opportunity to
experiment with acts of leadership in the learning environment. The
consultation process is debriefing at the end of the session.

Given this is an introductory course, the units are designed to

introduce enough of the terminology, language and concepts so
groups can productively engage in the peer consultation process
going forward. The idea is to the extent possible, create a cycle of
learning that follows Kolb’s Adult Experiential Learning Cycle –
provide an experience, reflect, learn, apply.

Unit 1 Unit 2 Unit 3 Unit 4 Unit 6 Unit 5 Unit 7

Intro T vs. A L vs. A Diagnosis Peer Gr. Purpose Manage
Heat Factions Self
Section 1 5 5 5 5 15 20 15
Section 2 20 15 20 15 60 20 15
Section 3 5 20 10 15 10 25 30
Section 4 5 10 10 30 15
Section 5 25 30 15
Section 6 5 10
Section 7 5
Break 0 Lunch
Total 35 mins 80 mins 90 mins 80 mins 95 mins 65 mins 60 mins
Time
(mins)
Workshop 8.5
Total hours
505
mins

Materials Needed

KLC banners
Computer and projector
At least two flipcharts in the room with 15 pages on each chart
Scent free markers to write on flip charts – multiple colors
Translated Powerpoint Presentation
Translated Peer Consultation Process document for each participant

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Unit 1 - Introduction to Principles and Competencies of Adaptive Leadership

Learning objectives

• Introduction of facilitators
• Convey the importance of adaptive leadership in the 21st Century
• Introduce the five principles of adaptive leadership
• Introduce the four main practices/competencies associated with exercising leadership on adaptive
challenges

Lesson Setup: 10:00AM – 10:35AM

Time Process / Content Method Material

5 minutes Section 1: Introductions Presentation
• Facilitator introduction

20 mins Section 2: Importance of adaptive leadership in a Presentation Powerpoint

changing and challenging world Pair Share
• Social, technological, economic, Discussion
environmental and political forces are
rapidly transforming life.
• Rate and depth of change requires increased
adaptive capacity of individuals,
organizations and systems
• How people respond to these changes will
profoundly influence the future.
• These changes are impacting you and your
organization.
5 mins Section 3: Definition of adaptive leadership? Presentation Powerpoint
• Mindset: Adaptive leadership focuses on
problem, not a heroic leader or authority
figure.
• Definition: It is defined mobilizing people
to make progress on difficult challenges.
5 mins Section 4: Principles and competencies of adaptive Presentation Powerpoint
leadership. Banners
• Five principles of adaptive leadership
• Four major practices/competencies and
associated sub-competencies.

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Section 1: Facilitator Introductions: 5 minutes

Please briefly share your name, where you live, your job title, and how long you’ve been in your
current position and why you facilitate adaptive leadership.

Section 2: Importance of adaptive leadership in a changing and challenging world: 15 minutes

Why is adaptive leadership so important, especially now, in our time?

Think for a minute about how the worlds forces - the world’s biggest
gears and pulleys - are shaping world events. Rapidly accelerating
changes in the social, technological, economic, environmental and
political contexts are converging and scaling all at once to rapidly
transform our personal and occupational lives. The emerging
unprecedented conditions are creating new realities for individuals,
organizations, and institutions globally.

Figure 1: Forces Shaping World Events

• Social: Shifts in social conditions such as changing age structures in society, rapid urbanization,
cultural diversity, generational differences, and changing societal values are challenging the
status quo most everywhere.
• Technological: Technology is rapidly influencing, changing, improving, and disrupting most
every facet of personal and work life.
• Economic: A globalized economy is changing the global flows of commerce, finance, credit,
social networks and connectivity creating new opportunities, markets, and communities. This is
making the world more interconnected and interdependent, and in some cases leaving large
segments of the world population behind.
• Environmental: Environmental forces like the significant geophysical implications of climate
change, access to clean air and water, and healthy food are creating significant challenges around
the world.
• Political: All these changes are altering whole environments so quickly that people begin to feel
they can’t keep up. This stresses political systems and governments as they struggle to adapt to
these changing conditions and the expectations of increasingly polarized constituencies.

Any of this sound familiar?

What are some of these emerging new conditions and how are they impacting wildlife
trafficking?

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 Pair Share/Group Discussion (10 minutes): Describe how you are experiencing these rapid
changes in the social, technological, economic, environmental and political conditions and
how these changes are impacting your ability to combat wildlife trafficking?

Facilitator Tips/Role:

• Have the participants take two minutes to write down a one-sentence phrase that describes their
answer to these questions.
• After they have individually identified an impact, have the participants seated adjacent to each other
pair-share and explain their responses to this question. Give each person in the two-person pair two
minutes to share response to these questions with a partner. Total of 5 minutes, 4 minutes of sharing
with a minute to transition.
• After each person in the pair has had an opportunity to share for two minutes, call the attention of the
group and take 5 minutes and solicit volunteers from the group to share their answer with the larger
group.
• Facilitate a conversation in the large group using the question: What do you notice about the impacts
we’ve surfaced? These responses will likely reflect both technical problems and adaptive challenges
that can be referred to later, and surfacing them begins the public learning about the how people are
experiencing the changes these forces are bringing.
• Close with reiterating the importance of adapting, both personally and organizationally, to these
challenges.
• Use this to transition to next subunit on the principles and competencies of adaptive leadership.

Key Point: How people respond to these changes – or don’t respond - will critically influence
the future of people and the planet. The individuals, organizations, institutions and societies that
are able to thrive will be those who can adapt to the changing conditions they find themselves.
Increasing the adaptive capacity of people and institutions will be critical in shaping the
individual and institutional responses to the challenges we face.

Tackling these tough challenges brings us to our exploration of adaptive leadership.

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Section 3: Definition of Adaptive Leadership – 5 minutes

Introduction

In this section, we are going to introduce you to a definition of adaptive leadership, and a conceptual
framework to think about leadership.

Key Point: “Leadership is the practice of mobilizing people to do adaptive work. Leadership is a
practice, with or without authority, that mobilizes people to build the capacity to meet adaptive
challenges and thrive in a changing and challenging world.”

Ron Heifetz
Harvard Kennedy School of Government

In this course, we are going to define and explore leadership as a set of concepts and practices used to
mobilize people to make progress on adaptive challenges. We’d like you consider looking at leadership
through a different lens. Rent the following ideas about leadership that may be different than how you’ve
traditionally thought about it:

o Leadership is not about the big job.

o Detach it from power, influence and authority.
o Detach it from having a certain set of personality characteristics.
o Attach it to diagnostic and action practices.
o Attach it to mobilizing people to do adaptive work.
o Attach it to making progress on adaptive challenges.

Figure 2: Seeing Leadership Through a Different Lens

What should we attach it to then? Attach leadership to the adaptive work that is needed to solve tough
problems and challenges and thrive in a changing world. Attach it to diagnostic and action practices that
anyone can apply in mobilize people to make progress on these tough problems.

In their book, The Practice of Adaptive Leadership, Ron Heifetz and Marty Linsky define progress as
follows:

“Progress - The development of a new capacity that

enables the social system to thrive in new and challenging
environments. The process of social and political learning
that leads to improvement in the condition of the group,
community, organization, nation, or world.”

Leadership as seen through the lens of adaptive leadership

is defined as mobilizing people to make progress on
difficult challenges.

Figure 3: Definition of Adaptive Leadership

Source: Teaching Leadership

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As opposed to equating leadership with a set of personal characteristics of an individual or placing focus on
an individual authority figure as the center of the problem solving process, adaptive leadership places the
problem and the adaptive work needed to make progress on the challenge at the center and focuses on it.

In this way of thinking about leadership, with the problem and

adaptive work at the center, the person trying to exercise
leadership on the problem is viewed as one participant – one of
the dynamics of the problem - not the person holding the keys
to the solution to the problem.

Work Heifetz and Linsky define adaptive work a learning process

/
using an evolutionary metaphor that draws on the experience
of how natural systems adapt:

“Adaptive work” is “holding people through a sustained

period of disequilibrium during which time they identify what
cultural DNA to conserve and discard and invent or discover
the new cultural DNA that will enable them to thrive anew.
It’s the learning process through which people in a system
achieve a successful adaptation.”

Figure 4: Adaptive Work at the Center

Source: Ron Heifetz

Key Point: This is a significant shift in how we traditionally think about leadership.
When we think about leadership in this manner, it results in a set of principles and
competencies required to carry out the leadership practices needed to mobilize people to
tackle challenges. There are five key principles that guide us, and four major
competencies we can study and learn to practice.

Section 4: The Principles and Competencies of Adaptive Leadership – 5 minutes

In this section, we are going to introduce you to the five principles and four main competencies in practicing
adaptive leadership.

In Your Leadership Edge, the five principles of adaptive leadership are identified as:

Five Adaptive Leadership Principles:

1. Leadership is an activity, not a position.
2. Anyone can lead, anytime, anywhere.
3. It starts with you, and must engage others.
4. Your purpose must be clear.
5. It’s risky.

Source: Your Leadership Edge

Leadership is an activity – not a position. Leadership is something you do, not something you are. When
we think about leadership as an activity, and not a position, it becomes a verb - instead on a noun. During
this course, to begin to ingrain this concept in your mind, try not using the word “leader”, which is a noun,
when talking about leadership. Instead, use the phrase “exercising leadership”, which connotes an activity.

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Anyone can lead, anytime, anywhere. This gives anyone license to exercise leadership, not just someone
in an authority role. Seeing leadership in this way enables much more opportunity to both exercising
leadership and to distribute leadership across systems to mobilize adaptive work.

It starts with you, and you must engage others. In this view of leadership, we are one of the dynamics in
the complex, interdependent problem we are trying to tackle. By the very nature of the problem, we cannot
solve it alone. Consequently, we must engage in our own personal adaptive work first (how is something
you are doing or not doing allowing the problem or condition to persist?), and we must engage others if we
are to make progress on tough challenges of this nature. If you are the only one engaged in solving an
interdependent problem that requires cooperation of others, you are not exercising leadership.

Your purpose must be clear. Exercising leadership is difficult work. You don’t try to exercise leadership
on every issue, it’s not possible. You exercise leadership in service of a higher purpose. You must care
deeply about the issue, and your purpose with respect to the issue must be clear before you embark on
exercising leadership on an issue, problem, or condition.

Exercising leadership can be risky. It often involves some type of loss for the people involved and
confronts deeply held values, beliefs, and habits of thought and action. This can be risky territory to enter.

What are the opportunities that result from thinking about leadership in this way?

Four Key Adaptive Leadership Practices/Competencies

What kind of practices mobilize people to tackle tough problems?

The Kansas Leadership Center (KLC)

has identified four main competencies
associated with exercising leadership on
adaptive challenges:

o Diagnose Situation
o Manage Self
o Energize Others.
o Intervene Skillfully

Figure 5: Four Competencies of Adaptive Leadership

Source: Teaching Leadership

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Diagnose Situation

What does it mean to diagnose situations for the purpose of exercising effective leadership on adaptive
challenges? If you are trying to intervene into a system to make progress on a tough challenge, deeply
understanding the challenge is critical.

As stated earlier, when exercising adaptive leadership, the problem being faced is the focal point. So, it’s no
accident diagnosing the situation is the first activity to engage in. One of biggest leadership errors is
misdiagnosing the problem. The most common cause of failure in leadership is produced by treating adaptive
challenges as if they are technical problems. This results in devising the wrong intervention/solution for the
problem. While the technical fix may temporarily eliminate the symptoms of the problem, the problem will
persist and no progress will be made on the real adaptive work required to address the underlying adaptive
challenge.

Why do problems get misdiagnosed?

First, there is often tremendous pressure, particularly on those in authority, to act quickly to eliminate the
discomfort the problem is causing. Consequently, this results in a “Fire, Ready, Aim” orientation to the
challenge, and people do not take the time to adequately diagnose the problem.

Second, people generally want those in authority to take problems off their backs within as little loss or pain
to them as possible. This causes people to focus on relieving the uncomfortable symptoms of the problem,
rather the addressing the underlying causes. This often sets in motion the most common diagnostic framing
error: treating an adaptive challenge as a technical problem because the technical fix temporarily relieves the
uncomfortable symptoms.

For these reasons, a good portion of this introductory course is designed to help you avoid this situation by
developing strong diagnostic skills.

Manage Self

Recall the principle: It starts with you, and you must engage others. We generally own a part of the problem
we’re trying to solve. Successfully exercising leadership on adaptive challenges will require you to deploy
yourself effectively. To do this, you need to know yourself well. You’ll need to diagnose yourself. You’ll
need to know your strengths, what your vulnerabilities are, and what situations and circumstance trigger
behaviors in you that might work against you exercising leadership successfully. It’s inevitable you’ll have
to choose between competing values, move out of your comfort zone, and develop a tolerance for
uncertainty. Exercising leadership requires diagnosis and action on two levels: system and self.

Intervene Skillfully

One catalyst for change is an intervention into the system based on a diagnosis of that system. Interventions
are actions that attempt to “intervene” into the system to help make progress on a challenge, to interrupt the
status quo. There are several characteristics of a skillful intervention:
o People executing skillful interventions are thoughtful about the when, how and why of an
intervention.
o A skillful intervention is designed around what the situation needs based on diagnosis, not the
default solutions people want to apply to it.
o Framing interventions to fit our particular competencies, what has worked for us in the past, or what
you’ve always done a common intervention error. Skillful interventions are designed for what the
situation calls for based diagnosing the situation. They are experimental.
o Attention is the currency of leadership. Skillful interventions grab and hold people’s attention on the
issue.

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Energize Others

Exercising leadership on tough challenges is not something you do alone. At least not if you want to be
successful. Adaptive challenges are often difficult because they involve complex interdependencies and
implicate many people, factions, viewpoints, and interpretations of the situation. Making progress involves
establishing a collective purpose that energizes people and factions connected to the challenge to take up the
difficult adaptive work of on the issue. It requires engaging people to understand where they are – how they
see it, what’s important to them and why, and what losses they might experience if things change. It requires
engaging people across factions, engaging unusual voices rather than the same cast of characters. For the
same reasons nobody washes a rental car because they have no stake in it, people have to have ownership in
the process and a collective purpose in doing adaptive work if you want them engaged.

Now that we’ve introduced you to the importance, principles, and practices of adaptive leadership, let’s dig
deeper. In the next We’ll focus on developing diagnostic skills related to distinguishing adaptive challenges
from technical problems.

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Unit 2 – Distinguishing Between Technical Problems and Adaptive Challenges

Learning objective: Participants are able to distinguish between and recognize the different
characteristics of technical problems and adaptive challenges.

Lesson Set Up: 10:35 - Noon

Time Process / Content Method Material

5 mins Introduce the topic Presentation Powerpoint
• Connect this session to the Diagnose
Situation competency/practice. Banners
• Draw attention to the sub-competency of
distinguishing technical problems from
adaptive challenges.
• Emphasize this is among the most critical
skills, since the biggest cause of leadership
failure is treating adaptive challenges with
technical solutions.
15 mins Give the group a technical task Small Group
• In small groups of like language, ask each Discussion
group to list the 10 steps to planning a party,
cooking meal, or some other technical task
they know how to do, they just have to get
the resources, organize and sequence efforts
and apply known processes to be successful.
• Have a couple groups report out their list.
• Bring into awareness that a list could
actually be generated, and it was not very
difficult to generate the list.
• Explain this is a classic technical problem.
20 mins The Gap Exercise Presentation Powerpoint
• Ask the question: “When you think about Large Group
the future of wildlife trafficking, what Discussion
concerns you the most?”
• Ask the question: “What are your
aspirations regarding wildlife trafficking?”
• Once this gap between the current reality
and future aspirations is established, ask
participants why they don’t just use their
authority, send a memo and order the gap
closed?
• Generate discussion around the question
“What makes leadership difficult in this
gap?
• Bring into awareness that the reason closing
this gap is difficult is because there are
adaptive challenges in this gap.
• Ask the large group what the difference is
between technical work and adaptive work.
• Introduce the concept of loss.

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 10 mins Characteristics of an adaptive challenge Large Group Powerpoint
Presentation
25 mins Conduct a large group discussion session Large Group Powerpoint
• Have the large group discuss the adaptive Discusssion
challenges and technical problems the
people in the room face in effectively Case in Point
combatting transnational wildlife
trafficking.
• Debrief the discussion.
5 mins In Summary Presentation Powerpoint
• Summarize the difference between technical Participant
problems and adaptive challenges. Manual

Section 1: Two Types of Problems: Technical Problems and Adaptive Challenges

In this session, we going to focus on the Diagnose Situation competency; specifically, distinguishing
technical and adaptive work.

“There are two types of problems. You only have answers

to one of them, and you have to learn the answer to the
other one”
- Ron Heifetz- Kennedy School of Government

Figure 5: Four Competencies of Adaptive Leadership

Source: Teaching Leadership

Key Point: In adaptive leadership, there are two classifications of problems: technical
problems and adaptive challenges.

As Ron Heifetz’s quote above states, we only have answers in hand to one of the two types of problems we
face. These are technical problems. When it comes to the other type of problem - adaptive challenges - we
have to learn our way into a solution. Adaptive work is more difficult because it requires individuals,
organizations, institutions and systems to learn, unlearn and relearn in response to changing conditions.

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Consequently, tackling an adaptive challenge requires a different approach than tackling a technical problem
– the work is fundamentally different, and who needs to be involved is different. The chart below highlights
the differences between technical and adaptive work.

Study Figure 6. Another key distinction

between technical and adaptive work is
the nature of the work. In technical work,
we either know how to do the work
ourselves or we can find an expert who
knows. Adaptive work represents a new
problem or set of conditions, often
complex problems or conditions that we
have not confronted before or have no
experience with. Therefore, there is no
known set of processes or expert we can
call to solve the problem. The people
with the problem are part of the problem
and have to do the work.

Figure 6: Distinguishing Technical and Adaptive Work

Source: Teaching Leadership

Figure 7: Locus of work – Technical vs. Adaptive Work

As was indicated in the last session, when exercising leadership on tough challenges, the problem is the
focus. Since misdiagnosing the problem and treating adaptive challenges as technical problems is the most
common leadership error, it’s very important in learning how to diagnose a problem that we recognize and
identify the technical and adaptive features of the problem, and the technical and adaptive work associated
with the problem or condition.

Consequently, in diagnosing a situation, the first question we have to ask ourselves is: What type of
problem are we facing?

The answer to this question is important because it determines how we deploy ourselves on the problem.

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Let’s explore this distinction further and sharpen our diagnostic skills so we can begin to recognize and
distinguish technical work form adaptive work.

Section 2: Distinguishing Technical Problems from Adaptive Challenges

Small Group Discussion: Planning a party

Facilitator Role/Tips: Planning a party (15 minutes)

• In the large group, tell the large group that you want them to discuss in small groups of like language
(they should be seated next to each other so they do not need to get up and move, but rather convene
in the area they are sitting) and create a 10 step process for planning a party, a technical problem
everyone in the group will have some experience with.
• Give them 5 minutes to generate the list.
• Reconnect the attention of the large group. Ask a couple groups to report out on the 10-step list they
created.
• Lead a discussion in the large group based on two questions:
o What type of problem they were solving – a technical problem or an adaptive challenge?
o When the group identifies it as a technical problem, ask them: What characteristics of the
problem led you to that conclusion?
• Summarize the characteristics of and technical problem on the PPT slide with figure 6 below and
close.

Figure 8: Technical Problems Figure 6: Distinguishing Technical and Adaptive Work

Source: Teaching Leadership Source: Teaching Leadership

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 Key Point: Technical Problems are problems that can be diagnosed and solved, generally within
a short time frame, by applying established know how and procedures. Technical problems are
amenable to authoritative expertise and management of routine processes.

Large Group Discussion: Leadership in the Gap

Facilitator Role/Tips: The Leadership in the Gap Exercise

• Place two flip charts in the front of the room in a location everyone can see. Space the charts so
there is a gap between them of at least an arms-length. On one of the flipcharts, write “Current
Realty” at the top, and on the other write “Aspirations”
• On a third flip chart or on a piece of flipchart paper write the question: “When you think about the
future of wildlife trafficking, what concerns you the most?” (This will be on a Powerpoint slide
also).
• Get the groups attention and ask the question of the group.
• As participants begin to list concerns, help participants identify the challenges they care about
associated with the concern they raise. For instance, if the issue of education is raised, ask a follow
up question to tease out the challenge such as “so more specifically, what concerns you about
education?
• List the concerns expressed as challenges the group raises on the “Current Reality” flip chart. Don’t
challenge or look for consensus, simply get a list of daunting challenges on the chart.
• Once you have a list, transition to their aspirations. Ask the group: What are your aspirations? What
do you want? Encourage them to explain what the world would look like if their concerns were
addressed.
• List the aspirations on the flipchart labeled “Aspirations”
• Once you have the two lists generated, stand between the two flipcharts and tell the group that you
are standing “in the gap” between the current reality and their aspirations, and this gap represents a
leadership opportunity.
• Ask the group: You all have some level of formal authority, why don’t you write a memo and direct
that these gaps be closed 30 days from now? Facilitate a brief discussion that reveals the use of
authority alone will not solve these problems, but rather, it will take systemic change.
• Now ask the question: “What makes leadership difficult in this gap?” Focus on what makes
leadership difficult in this gap difficult for them personally, not others such as authority figures.
• The objective is to surface the realities of these difficulties and make them immediate and personal,
and to highlight the difference between technical problem and an adaptive challenge. Ask
individuals to consider what they might be doing or not doing is contributing to the current reality
that concerns them, and what they might have to do differently in the future to create the change they
aspire to see happen.
• After a period of discussion, introduce the idea that one of the reasons leadership is difficult in this
gap is because these are adaptive challenges.
• Tell the group that making progress on these challenges requires adaptive work. It’s a gap between
the current reality and our aspirations. It demands responses outside the current repertoire, there is
no ten-step process or expert who can solve the problem. We have to learn our way into a solution.
• Summarize the characteristics of adaptive work on the slide with figure 6 below and close.

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Figure 9: Adaptive Challenges Source: Teaching Leadership Figure 6: Distinguishing
Technical and Adaptive Work

Adaptive Challenges represent the gap between aspirations and the current reality. Closing this gap
requires adaptive work. Adaptive work is longer term, requires learning, challenges deeply held values,
loyalties, assumptions, beliefs, habits of thought and action. The people with the problem are part of the
problem and have to do the work. While authority is a resource in doing adaptive work, the use of authority
alone will not solve the problem.

Section 3: Real or Perceived Losses at Stake for People Engaged in Adaptive Work

Another important characteristic of adaptive work is loss. It’s often said that people are afraid of change.
But consider this - how many people refuse to accept a $10 million lottery ticket because it will change their
life? Another way to look at it is that people are not afraid of change per se, but the loss that accompanies
the change.

What makes doing adaptive work difficult is that making progress on an adaptive challenge often involves
some real or perceived loss for those involved in the work. It requires choosing between competing values,
making trade-offs. This becomes important because avoiding real or perceived loss is a common source of
resistance one will encounter when engaging people in doing difficult adaptive work. Where you see
possibility in an idea, someone else may see some type of real or perceived loss. You see progress, they see
problems.

Below are some examples of the types of real or perceived losses associated with doing adaptive work:

Identity Competence Comfort Security Reputation Time

Money Independence Control Status Resources Power

Figure 10: Examples of Real or Perceived Losses Source: The Practice of Adaptive Leadership

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When exercising leadership on adaptive challenges it is important to anticipate and create a space to
recognize the real or perceived loss people will feel. Whenever you encounter resistance doing adaptive
work, ask yourself: What loss is represented in this resistance? If you are able to surface the loss and speak
to it, perhaps it can be mitigated in some way, and if not, empathizing with individuals and factions
experiencing loss in the process is important to making progress on the challenge and keeping them engaged
productively.

Section 4: Characteristics of Adaptive Challenges

Prior to attending this workshop, you identified an adaptive challenge you are facing at work. Think about
that challenge now.

We’ve distinguished between two types of problems: technical problems and adaptive challenges. Below is
a list of “flags” that are characteristic of an adaptive challenge. When you think about the challenge you are
facing at work, discuss and share among your peer group which of these characteristics are present in the
challenge you are facing.

• No Known Solution: The challenge consists of a gap between your aspirations and the current
reality. You don’t have a known solution to close that gap. There are no experts to call with a
canned solution, and no established set of procedures to solve the problem. People can’t agree on
what the problem is, let alone the solution

• People Would Rather Avoid the Issue: Despite knowing they need to solve the problem, people
avoid working on it. People have colliding perspectives on the issue, and working on it will create
tension and conflict.

• Gap Between What People Say and Do: There is a gap between what people say they value and what
they really value and how they behave.

• Reccuring Problem: The issue reappears after a technical fix is applied.

• Emotional Response: Working on the issue makes people feel uncomfortable; they experience an
emotional response.

• Failure to Resolve Competing Priorities: People are avoiding making tough trade-offs.

• Moving Forward Feels Risky: Making progress on this challenge means putting your reputation,
relationships and job at risk.

• People Must Work Across Boundaries/Siloes: No one person can fix the problem alone. The people
with the problem are the problem.

• Progress Is Not Linear – There is no direct path to get a better outcome; an experimental mindset and
trial and error is necessary to learn a way into a solution.

• The Usual Cast of Characters Can’t Solve the Problem: Calling the usual group of problem solvers
together and imposing existing thinking won’t resolve the issue. The problem requires responses
outside the present repertoire. The existing thinking is part of the problem/challenge.

• Values, Loyalties, and Losses Are at Stake: Making progress on the problem challenges deeply held
assumptions, values, loyalties, habits of thought, behaviors, established priorities, practices,
identities, and culture. It involves some “loss” for those in the system, including you.

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 • The Solution Cannot be Commanded into Existence: A formal authority figure alone cannot solve
the problem. Individual and organizational learning must take place, everyone is going to have to
learn something new to make progress.

LARGE GROUP DISCUSSION: What are the adaptive challenges and technical
problems the people in the room face in effectively combatting transnational wildlife
trafficking? Are any of these Adaptive Challenge Flags present in your challenge?
What real or perceived losses are at stake for people if progress is made on this
challenge? What losses are at stake for you? Others?

Facilitator Role/Tips:

• Ask people to think about the challenges this group faces in combatting transnational wildlife
trafficking. What are the technical problems and adaptive challenges?
• What’s going to make this work difficult?
• Pay attention to dynamics in the room and use them as appropriate to teach competencies.

In Summary

There are two types of problems we face: Technical Problems and Adaptive Challenges.

Adaptive Challenges represent the gap between aspirations and the current reality. Closing this gap
requires adaptive work. It requires challenging deeply held assumptions, beliefs, habits or thought and
action. The people with the problem are part of the problem. While authority is a resource in doing adaptive
work, the use of authority alone will not solve the problem.

Technical Problems are problems that can be diagnosed and solved, generally within a short time frame, by
applying established know how and procedures. Technical problems are amenable to authoritative expertise
and management of routine processes.

Most situations have elements of both types of problems. It’s important we diagnose what type of problem
we are facing. It determines how we will approach and deploy ourselves on the problem.

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Unit 3: Distinguishing Leadership and Authority

Learning Objectives:

• Understand the difference between leadership and authority.

• Understand the authority relationship
• Understand the functions of authority
• Understand the two types of authority
• Understand the concept of scope of authority
• Understand authority is both a resource and a constraint in doing adaptive work, and is
deployed differently on technical work versus adaptive work.

Time Process / Content Method Material

5 mins Section 1: Introduce the topic Presentation Powerpoint
• There are key distinctions between Discussion
leadership and authority.
• In exercising adaptive leadership, it
important to understand these distinctions.
20 mins Section 2: The Authority Relationship Case in Point Powerpoint
• What is authority and where does it come
from. Presentation
• Two types of authority: formal and
informal
• Explain the nature of the authority
relationship.
• Granting of power in exchange for service.
• Meeting expectations of authorizers.
10 mins Section 3: The Functions of Authority Presentation Powerpoint
• Explain the functions of authority in social
systems. Story
• Direction, Protection, Order
10 mins Section 4: The Scope of Authority Presentation Powerpoint
• Explain the Scope of Authority
• Leadership takes place on the edge of the
scope of authority.
• Disappointing authorizers expectations is
the risk of leadership, and becomes a
constraint when exercising leadership from
a position of authority.
30 mins Section 5: Managing Disequilibrium Presentation
• Productive Zone of Disequilibrium Small Group
• Work Avoidance Discussion
• Holding Environment Large Group
Discussion
10 mins Section 6: Exercising Leadership from a Position of Presentation Powerpoint
Authority
• Explain how someone in authority would
use their authority as a resource differently
on technical work vs. adaptive work by

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 deploying themselves using their authority
differently for different purposes.
5 mins Section 7: Summarize Presentation Powerpoint

Section 1: Introduction

Key Point: Exercising leadership and having authority are not the same thing. The
functions of leadership and authority in social systems are different. Authority plays a
critical role in any social system, but it’s different than leadership.

Heifetz and Linsky posit that people have long confused leadership and authority. They find it useful to
view leadership as an activity, not a job. Some people do it some of the time. They view leadership a set of
practices to mobilize people to make progress on adaptive challenges.

In this view, leadership is not holding a position high in the organizational hierarchy or holding enormous
informal power in the form of trust, respect, admiration, and moral authority. Leadership is an activity and is
about mobilizing people to take on adaptive challenges, and anyone can do it.

Heifetz and Linsky would have us reflect on our own experience. You have likely experienced situations
where people occupy positions of senior authority without ever leading their organizations though difficult
adaptive change. Similarly, you may have experienced situations people with a large group of admiring
followers do not attempt to mobilize their followers to address their toughest challenges. In contrast, think
about the situations where someone or a group of people without any authority bent the arc of history
through the exercise of leadership.

Authority, power, influence are important tools and resources for exercising leadership, but do not define
leadership. The resources of authority, power, and influence can be used for many purposes and tasks, like
running the day to day operations of a successful and stable organization but have little to do with mobilizing
people to tackle tough adaptive challenges. However, authority can be a resource to use in exercising
leadership, but as we’ll see, it can also be a constraint.

In this subunit, we’ll explore authority, the different types of authority, where it comes from, the functions of
authority in social systems, and the constraints and resources of authority in exercising leadership on
adaptive challenges.

Section 2: The Authority Relationship

What is authority? Where does it come from?

Heifetz and Linsky define two types of authority:

Formal Authority – Explicit power granted to meet an explicit set of service expectations, such as
those in job descriptions or legislative mandates.” The power to hire, fire, direct, use organizational
resources, etc.

Informal Authority – Power granted implicitly to meet a set of service expectations, such as
representing cultural norms like civility or being given moral authority to champion aspirations of a

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 movement. This is the power of people granting you influence and their attention because of
competence, respect, admiration or moral authority.

The power and influence from both formal and informal

authority relationships in social systems are derived through the
same basic structure. See figure 11.

Party “A” entrusts party “B” with power in exchange for a set
of services. Authority and power are granted to you by your
authorizers on the assumption that you will do what your
authorizers want you to do – what is important to them.

Sometimes the relationship is formalized. This can be done by

authorizers using formal instruments such as a contract, a job
description, or an agency mission.
Figure 11, Source: Ron Heifetz

In informal authority relationships, the contract is more implicit. In this case, your authorizers give you
power and their attention by virtue of varying levels of trust, respect or admiration they have for you.

Authority comes with many resources. Examples include money (budget), access to information, the ability
to convene people, attention, and the power to frame issues.

Section 3: The Functions of Authority

Key Point: There are three basic services, or social functions, of authority in social systems:
direction, protection and order.

• Direction

• Protection

• Order
1. Orientation to roles
2. Control of conflict
3. Norm maintenance

These are critical functions in social systems. Social systems could not operate effectively without this
social contract resulting in some entity providing the functions of direction, protection and order in the
system.

Consider a group of gorillas. How does a silverback become a silverback (an authority figure)? Following
the authority granting structure above, the silverback is authorized by the group because he or she has
demonstrated the capacity to solve day to day problems of the group - their ability to provide direction,
protection and order. They have power in exchange for those providing those services. The silverback
knows from experience where the food is, how to react when a cheetah comes on the scene, and how to deal
with conflicts within the group to maintain order. The group has depended on the silverback for these
services of direction, protection and order, and he or she has met their expectations by providing these
services, so the group continues to authorize the silverback.

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But what about when the group faces an adaptive challenge and has to learn new ways? For instance, when
the predator is a wildlife trafficker or poacher with a rifle instead of a cheetah? Depending on authority
alone and known strategies will not work anymore. In fact, the usual tactic used to defend against the
cheetah of banding together will actually make them more vulnerable to the poacher with a rifle.
Responding to this new real reality will require the adaptive work by everyone in the system, including the
authority figure. It will require challenging assumptions, unlearning default behaviors, and learning new
behaviors. Life will be stressful, chaotic, uncertain and dangerous until the group learns a new way to
respond to this threat and thrive.

Section 4: Scope of Authority

Heifetz and Linsky offer that in any formal or informal authority

role, you have a specific scope of authority. Study Figure 12.

An individual’s scope of authority is derived from their

authorizer’s expectations and defines the limits of what they are
expected to do. As long as they do what is expected of them
their authorizers will be happy and they will be rewarded in
some way: higher pay, promotion, bigger office, etc.

But what if the service is mobilizing people to tackle an

adaptive challenge the social system is facing that threatens its
future vitality – a challenge that requires doing difficult,
disruptive and disorienting adaptive work?

Figure 12: Scope of Authority

What if in exercising leadership to mobilize people to take up this difficult and uncomfortable adaptive work
you have to go against the grain of their expectations to deliver the service?

This is where the risk of exercising leadership comes in. The risk of leadership resides in the need to
challenge the expectations of the very people who give you formal and informal authority. When you begin
to disappoint expectations of your authorizers, you risk being deauthorized. This is one of the constraints of
exercising leadership from a position of authority.

Key Point: In exercising leadership on adaptive challenges, one has to put their authority at
risk in service of doing the adaptive work. This requires moving to the very edge of your
scope of authority, into leadership territory.

The practice of effectively dancing on this edge of one’s scope of authority to mobilize people to do adaptive
work from a position of authority is risky. It requires an understanding of another adaptive leadership
concept, the productive zone of disequilibrium.

Section 5: Managing Disequilibrium – The Productive Zone of Disequilibrium

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 As Marty Linsky describes it, dancing on the edge of your
authority just into leadership territory is often about
“disappointing people at a rate they can take”. This requires
challenging some of those expectations and managing the
resistance and disequilibrium that is triggered at the same
time to keep people focused on the issue and productive.

Study Figure 13. The level of disequilibrium in the system is

represented on the left-hand side of the chart. Time
represented on the bottom axis.
Figure 13: Productive Zone of Disequilibrium (PZD).
Source: Practice of Adaptive Leadership

Note the area in the chart between the Threshold of Change and the Limit of Tolerance, the Productive Zone
of Disequilibrium (PZD). In the PZD, the stress is high enough to get people’s attention and mobilize them
to focus and engage in adaptive work on problem they’d rather avoid, but know they need to tackle. Below
the PZD, people are comfortable and satisfied, and avoiding the work. Above the PZD, people are in fight or
flight mode and incapable doing the work.

Let’s use a cooking metaphor. If you are cooking some food, too much heat and you burn it. Not enough
heat and it does not get done. Just the right amount of heat, managed properly, results in the food being
properly cooked.

Key Point: An important concept and practice in doing adaptive work is to manage the level
of disequilibrium (heat) in the system that people are experiencing so it stays in the PZD.
Not enough heat, people remain comfortable and avoid the work, too much heat, and fight of
flight kicks in.

PAIR SHARE DISCUSSION: Think about a time in your life where you faced an adaptive
challenge you know you needed to tackle but were avoiding it. What form of disequilibrium
(heat) moved you from avoiding the work across the threshold of change into the PZD where
you engaged it? What held you in that zone?

In Figure 13, the green line is the footprint of a technical challenge. While there can be significant
disequilibrium associated with a technical challenge, the amount of time spent in discomfort is low, and
equilibrium is restored quickly. Think about when you are giving a presentation and the Powerpoint
Projector goes blank. Tension in the room rises temporarily. Then he expert IT staff is called, they fix the
problem, the presentation goes on, and equilibrium is restored. This is a classic footprint of a technical
problem.

The blue line is the footprint of an adaptive challenge. Adaptive work takes time. Notice that the group
doing the adaptive work must be held in this productive zone for a much longer period of time to make
progress on an adaptive challenge. Think about the adaptive challenges associated with climate change.
Addressing this adaptive challenge with require remaining in the PZD for decades to transition society in
ways that reduce our carbon dioxide emissions and to adapt to the impacts of climate change.

The red line represents work avoidance. In The Practice of Adaptive Leadership, work avoidance is defined
as “the conscious or unconscious patterns in a social system that distract people’s attention or displace
responsibility in order to restore social equilibrium at the cost of progress on the adaptive work. There are
two main categories of work avoidance: diverting attention and displacing responsibility. See Table 1 for
example of work avoidance in each category.

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Table 1: Work Avoidance Mechanisms
Source: The Practice of Leadership
Diverting Attention Displacing Responsibility
Focus on technical aspects Marginalize the person trying to raise the issue –
shoot the messenger
Define the problem to match existing competency Scapegoat someone
Turning down the heat (disequilibrium) Externalize the enemy – “the other”
Denial that a problem exists Attack authority
Create a proxy fight – example: a personality Delegate adaptive work to those who can’t do
conflict instead of dealing with the real problem anything about it
Take options off the table to honor legacy behaviors

PAIR SHARE DISCUSSION: Think about your work experience. Which of the work
avoidance techniques that have been discussed have you used yourself or observed
people use to avoid addressing an adaptive challenge you or the group faced? Which
ones from do you see happening today? What work avoidance mechanisms have you
used in your like to avoid doing difficult adaptive work?

Making progress on adaptive challenges often requires creating enough

pressure to mobilize people to act. Consequently, another important
leadership practice is intervening into the system ways to counteract
work avoidance tendencies.

This requires creating what Heifetz and Linsky call a “holding

environment” for the adaptive work. They use the metaphor of a
pressure cooker to explain this concept. See Figure 14.

The purpose of the adaptive work becomes the walls of the container.
Authority is deployed to manage the level of disequilibrium. When
exercising leadership on adaptive challenges it’s important to hold
people in the PZD. You do this by monitoring the amount of
Figure 14: Holding Environment
Source: Ron Heifetz and Donald Laurie

disequilibrium (heat) in the system, then using your authority to regulate the temperature in the system. If
people are getting too comfortable, the heat is raised, if people are getting close to fight or flight, use your
authority to lower the amount of disequilibrium (heat) so people can be productive.

“When you can’t get them to see the light, make them feel the heat”
- Ronald Reagan

Raising heat means “doing something, big or small, to make people more uncomfortable not addressing the
issue than to live with the issue.”

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Table 2: Actions to Raise the Heat

How do you raise the heat?

Say what others won’t – name the elephant in the room
Disrupt norms (see Rosa Parks example below)
Create structures and assign responsibility
Ask powerful open-ended questions
Bring someone new into the discussion with a different perspective
Use silence

An example of raising the heat by disrupting norms from U.S. history during the civil rights movement in the
1950’s offers an insight. At the time, public buses were segregated, with one part of the bus for whites, and
another for blacks. Rosa Parks, a civil rights activist who was a black woman, refused to give up her seat on
the bus in the white section of the bus. She was arrested, and her arrest set in motion the Montgomery Bus
Boycott that ultimately led to the desegregation of buses. Additionally, Rosa Parks offers a wonderful
example of how anyone can exercise leadership, anytime, anywhere.

Section 6: Distinguishing Managing Technical Work vs. Leading Adaptive Work From a Position of
Authority

When in a position of authority, Heifetz and Linsky suggest it’s necessary to deploy yourself differently
depending on whether the work that needs to be done is technical work or adaptive work. Consequently,
how the services of protection, direction and order are delivered is different. See Table 3.

Table 3: How to Deploy Authority: Modes of Operating – Technical vs. Adaptive

Source: Ron Heifetz
Study Table 3. Technical work requires
management. In this role, the authority figure
provides direction by defining the problem
and solutions. They protect the organization
from external threats. They maintain order by
clarifying roles and responsibilities, reducing
conflict, and maintaining current norms.

Adaptive work requires a different approach.

It requires leadership. This requires the
authority figure to deploy themselves in a
different way. In terms of direction, they
identify the adaptive challenge and frame key
questions and issues. They expose the threats
to the organization and let them feel the threats, they regulate disequilibrium, they disorient people from
familiar roles, they surface and use conflict productively, and challenge unproductive norms or let them be
challenged.

This brings us back to the importance of diagnosis. Since technical and adaptive problem are different, they
require a different approach. Consequently, it’s important to know what kind of challenge you are facing so
you know how to deploy yourself on the challenge.

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Section 7: In Summary

Leadership and authority are not the same. Both are very important.

Leadership is mobilizing people to tackle adaptive work, and authority is a contract for services of
protection, direction and order in social systems.

Everyone has a scope of authority bounded by the expectations of their authorizers. Leadership is exercised
at the edge of this scope of authority.

Authority is deployed differently when confronting technical problems and adaptive challenges.

Leadership with authority means mobilizing people to address an adaptive challenge from a position of
authority.

The authority role brings with it resources and constraints for exercising leadership. Authority can be a
constraint in exercising leadership because of the expectations people have for authority figures and the
pressures placed in authority figures to focus on the technical aspects of the problem.

Making progress on adaptive challenges requires creating a holding environment for the work, and
maintaining the level of disequilibrium in the productive zone so as to prevent “work avoidance” and
triggering the fight or flight reflex.

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Subunit 4: Fundamentals of Diagnosing the System and Yourself

Learning objectives:

• Introduce participants to the foundational elements of diagnosis and action: The observation,
interpretation, intervention cycle.
• Introduce the balcony/dance floor metaphor
• Introduce the Ladder of Inference and explore what impacts our interpretation of data.
• To introduce multiple interpretations and why this is a critical skill in exercising adaptive leadership
• Introduce the Iceberg as a diagnostic tool.

Time Process / Content Method Material

5 mins Introduction – The “Understandascope” Presentation Powerpoint
15 mins Introduce and explain the three fundamental Presentation Powerpoint
activities of diagnosing the system and self when Discussion
exercising adaptive leadership.
• Observation, Interpretation, Intervention
• This happens on two levels: the systemic
level, and yourself.
• Explain the difference between observation
and interpretation.
• There is a rational order to the diagnostic
process and action cycle: Diagnose system
first, then place yourself in the system, then
diagnose and manage yourself, and then act
on the system.
15 mins Introduce balcony and the dance floor Presentation Powerpoint
• The dance floor represents where the action
is. It’s difficult to see what’s going on in
the system when we are engaged and
engrossed in what’s going on around us on
the dance floor.
• The balcony represents the capacity to gain
perspective in the moment, during the
action. It represents a conscious effort to
rise above the fray to see what’s going on
from a larger frame.
• Developing this capacity is critical to
exercising adaptive leadership. It’s critical
to diagnosing systems, and to diagnosing
and managing ourselves while doing
adaptive work in the system.
30 mins Multiple Interpretations Presentation Powerpoint
• What you see depends on here you are in Discussion
the situation.

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 • How our individual lens influences our
interpretations. Where you are in in a
situation influence what you see.
• Introduce the Ladder of Inference
• How to use the ladder to counteract our
unconscious processing bias.
• Holding multiple interpretations in your
mind while diagnosing the system is an
important adaptive leadership skill. The
more interpretations you hold, the more
intervention options you have to consider.
• Moving away from technical, benign and
individual interpretations and shifting to
increasingly more adaptive, conflictual and
systemic interpretations is another
important adaptive leadership skill.

15 mins Introduce the Iceberg as a Diagnostic Tool Presentation Powerpoint

• The iceberg is a tool for systems diagnosis
and revealing our role in the system getting
the results it’s getting.
• Explain there are structures (processes,
procedures, relationships, etc) that create
forces in systems that cause the system to
get the results the system is getting.
• The deeper you diagnose into the iceberg,
the more you learn about the invisible
aspects of the system and how it operates to
get the result it is getting.
• The highest leverage point to shift systems
is to shift the thinking that creates the
structures and keeps them in place.
• In terms of intervening into the system, the
lower into the iceberg we intervene, the
more leverage we can generate. The lower
we go in the iceberg, the work becomes
increasing more adaptive in nature.
• This is why technical solutions do not work
on adaptive challenges, because we’re
misdiagnosing the problem, and as a result
not doing the difficult, more adaptive work
underlying the problem.
• This is why staying in a diagnostic mode,
and not jumping to a quick solution, is an
important adaptive leadership skill.

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Section 1: Introduction

Wouldn’t it be nice if we all had a system and self “understandascope” that we

could look through and derive a complete understanding of every situation we
found ourselves in? We could zoom out and see all the larger systemic forces
and dynamics at play and zoom down to the level our ourselves in the situation
to see how we’re contributing to the result the system is getting.

Well, we don’t have a system and self “understandascope, but we do have a

set of practices we can engage in to develop a greater understanding of the
challenges we are trying to exercise leadership on.

Figure 15: The Understandascope

Source: Michael Leunig

Section 2: The Work of Leadership: Observation, Interpretation, Intervention

In exercising adaptive leadership, our “understandascope” is an iterative process that involved three key
activities: observation, interpretation, intervention. Each of these activities is informed by the one that
precedes it. These are the fundamental leadership activities associated the competencies of Diagnosing
Situation, Manage Self and Intervening Skillfully – the process of taking conscious action on the system and
ourselves based on thoughtful diagnosis. Study Figure 16 below:

Imagine you go to the doctor with an ailment. The

doctor, without listening to you or doing any tests,
gives you a bottle of ibuprofen and tells you to come
back in two weeks. How effective would that be?
Of course, it would not be effective, and we’d likely
find another doctor.

Now consider what actually happens. The doctor

conducts a differential diagnosis that includes
observing you, asking questions, and conducting
tests prior to taking any action.
Figure 16: Observation, Interpretation, Intervention Cycle
Source: Ron Heifetz

Based on that data, the she develops a hypothesis as to what’s going on. Based on that hypothesis, he
designs a medical intervention to address what is believed to be the problem. The doctor explains this to you
and tells you to come back in two weeks to check progress. In two weeks, the doctor repeats the observation,
interpretation, intervention cycle again. This cycle continues to repeat it until hopefully the condition
subsides. This is similar to the process used in adaptive leadership.

A couple quick definitions. KLC defines observation and interpretation as follows:

Observation: “A detailed examination of phenomena prior to interpretation. Observing is the act of

noticing with your senses, the details, events, and patterns around you (or in your own body).”

Interpretation: “Explanation of the meaning of observations. Interpreting assigns meaning to acts.”

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 The Balcony and the Dance Floor

Ron Heifetz and Marty Linsky developed this metaphor to

communicate an important skill in exercising adaptive
leadership: the capacity to step out of the action of the
moment and get perspective on what is happening from a
larger context.

Carefully observe the picture at Figure 17. Some people

are dancing, some are not. Some people appear to be
having fun, some appear unhappy. There are couples, and
some people appear to be alone.

Figure 17: The Dance Floor and the Balcony

If you were caught up in the dancing in the middle of the dance floor, you might not see everything going on.
You might think everyone was have fun, just like you are. Now look closely, at the upper center of the
photo. You’ll see a person standing up in the balcony looking over the entire dance floor. From this
distanced perspective, this person is able to observe things that people on the dance floor cannot see, to see
what is really happening.

With this metaphor, Heifetz and Linsky represent an adaptive leadership skill that is important to develop:
the ability to diagnose the system and yourself in the midst of action.

The “dance floor” represents where the action is. It’s difficult to see what’s going on in the larger system
when we are engaged and engrossed in what’s going on day to day, moment to moment in the world around
us on the dance floor.

The balcony represents the capacity to gain perspective in the moment, in the midst of the action. It
represents a conscious effort to rise above the fray to see what’s going on from a larger frame.

Key Point: Exercising leadership requires both being involved in the daily action on the
dance floor, and the ability to rise above to view the broader dynamics and patterns
surrounding you.

Developing this capacity is critical to exercising adaptive leadership. It’s critical to diagnosing systems, and
to diagnosing and managing ourselves while doing adaptive work in the system.

You have opportunities to “get on the balcony” every day. Practice it. You’ll have an opportunity to
practice “getting on the balcony” during the peer consultation session.

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 This cycle is used to diagnose the system, and yourself in
the system. However, there is a rational order to follow in
the diagnostic process.

1 - Diagnose the system first. Get on the balcony and take

an interpretive stance. Work to diagnose the adaptive
challenge the social system is facing. What difficult
reality is the system facing? Map the factions and
stakeholders.

Figure 18: Diagnosing System and Self: The Order of the Process
Source: Ron Heifetz

2 - Diagnose your role. Place yourself in the system. What formal/informal authority do you have? What
are the expectations of these sources of authorization? What levels of the system can you leverage?

3- Diagnose and Manage Self. Once you’ve identified the adaptive work and placed yourself in the system,
take action to prepare and manage yourself in this particular context/situation. What loyalties, losses and
values are at stake for you? What in your lens inhibits you from seeing what you need to see in this
situation? What competing values choices are you facing in this situation? What might you be doing, or not
doing, to main the current reality you are seeking to change? Are you clear on your purpose and prepared to
take the risks, tolerate uncertainty, endure conflict and operate outside your comfort zone in this situation to
move this issue?

4 – Intervention Skillfully - Finally, once you’ve diagnosed challenge, placed yourself in the challenge, and
diagnosed yourself for doing adaptive work in this context, engage others in brainstorming and designing
skillful intervention options that gives the work back to people, regulates the disequilibrium associated with
doing the adaptive work, and energizes more people to take up leadership on the challenge.

Key Point: The diagnosis search process requires disciplined attention. It starts from the
outside in with the system first, and then moves to yourself, from the inside out to determine your
impact on the system.

When you begin to engage in the peer consultation process, you’ll recognize this pathway in the structure of
the consultation process. The diagnostic process is designed to engage you and your peer consultants in this
type of diagnostic process. It’s designed to get people to see the situation differently, generate insights
needed to take action and intervene skillfully into the system and yourself to make progress on the challenge
you face.

Section 3: Diagnose Situation: Test Multiple Interpretations and Points of View

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 Carefully study the cartoon to the left in Figure 19.

People can have vastly different interpretations of the same data. In the
cartoon (and in real life) a conflict is about to take place over a differing
interpretation of the same situation. In this case, the differing
interpretation pertains to the interpretation of the exact same figure on
the flags of the opposing forces. One side sees a rabbit, the other sees a
duck.

Sound familiar?

This phenomena leads to another important adaptive leadership skill: the

ability to hold multiple interpretations of the same data in your head at
the same time.
Figure 19: Multiple Interpretations of Same Data

Holding and testing multiple interpretations and points of view is extremely useful in exercising leadership
on adaptive challenges because it helps you understand how someone else sees the situation. Additionally,
the more interpretations of a situation you have, the more intervention option you have.

What you see in a situation depends on where you are in the situation.

Study Figure 20. The parable of the blind men and the
elephant reportedly originated in the ancient India and has been widely
diffused. It’s is a story of a group of blind men, who have never come
across an elephant before, and who learn and conceptualize what the
elephant is like by touching it.

Figure 20: Blind Men and the Elephant

Each blind man feels a different part of the elephant's body, but only one part, such as the side or the tusk.
They then describe the elephant based on their limited experience and their descriptions of the elephant differ
greatly. The moral of the parable is that humans have a tendency to claim absolute truth based on their
limited, subjective experience as they ignore other people's limited, subjective experiences which may be
equally true.

Key Point: To exercise leadership on adaptive challenges, you’ll need to train yourself to
imagine multiple explanations of the same information. When confronted with an
adaptive challenge, the people involved are going to see it differently, based on their
perspective in the situation. The capacity to surface, hold, consider, anticipate,
understand and respond to multiple interpretations of a challenge is a key part of the
learning process in doing adaptive work. It helps you anticipate the future and plan your
leadership interventions.

A Tool: The Ladder of Inference

In order to practice and enhance this skill of holding the testing multiple interpretations, let’s first explore
how we make observations, attach meaning to them, and act on them.

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 The Ladder of Inference is a tool devised by organizational psychologist
Chris Argyris and used by Peter Senge in the book entitled The Fifth
Discipline: The Art and Practice of the Learning Organization.

The lens through which we view the world greatly influences what we
see. When exercising adaptive leadership, we need to understand our lens
is only one lens, our frame of reference, and it is the result of our life
experiences.

Figure 21: Our Lens Influences Our View of the World

The Ladder of Inference describes the thinking process that we go through, usually unconsciously without
realizing it, to get from a fact to a decision or action. The thinking stages can be seen as rungs on a ladder
and are shown in Figure 22.

Starting at the bottom of the ladder, we have observable

data and experiences.

From there, we selectively choose data we observe

based on our beliefs and prior experience.

We add meaning from our cultural and personal

experiences in life.

We apply our existing assumptions, sometimes without

considering them.

We draw conclusions based on the interpreted facts and

our assumptions.

We develop beliefs about the world based on these

conclusions.

Take actions that seem "right" because they are based

on what we believe.

Figure 22: The Ladder of Inference

Source: The Fifth Discipline

This can create a vicious circle. Our beliefs have a big effect on the data we select from reality and can lead
us to ignore the true facts altogether. This reflexive loop can soon have us literally jumping to conclusions –
by missing facts and skipping steps in the reasoning process.

We can use the Ladder of Inference, to get back to the facts and use your beliefs and experiences to positive
effect, rather than allowing them to narrow your field of judgment. The Ladder of Inference can also help
you draw better conclusions, or challenge other people's conclusions based on true facts and reality.
You can also use it to help validate or challenge other people's conclusions.

How to use the Ladder

Use the following four steps to challenge thinking using the Ladder of Inference:

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 1. Stop! Consider your reasoning. Identify where on the ladder you are. Are you:

• Selecting your data or reality?

• Interpreting what it means?
• Making or testing assumptions?
• Forming or testing conclusions?
• Deciding what to do and why?

2. From your current "rung", analyze your reasoning by working back down the ladder. This will help
you trace the facts and reality that you are actually working with.

3. At each stage, ask yourself WHAT you are thinking and WHY.
The following questions help you work backwards (coming down the ladder, starting at the top):

• Why have I chosen this course of action? Are there other actions I should have considered?
• What belief lead to that action? Was it well-founded?
• Why did I draw that conclusion? is the conclusion sound?
• What am I assuming, and why? Are my assumptions valid?
• What data have I chosen to use and why? Have I selected data rigorously?
• What are the real facts that I should be using? Are there other facts I should consider?

4. With a new sense of reasoning (and perhaps a wider field of data and more considered assumptions),
you can now work forwards again – step-by-step – up the rungs of the ladder.

REFLECTION: Think about a time you’ve jumped to an erroneous conclusion. What patterns
are present. When you are working through your reasoning, what rungs on the ladder to you
tend to jump? Do you tend to make assumptions too easily? Do you tend to select only part of
the data? Pay attention to your tendencies so you can counteract them in the future.

Diagnose Situation: Explore Tough interpretations

We often generate action steps before spending adequate time diagnosing the system. And this can lead to
misdiagnosis and leadership failure.

To counteract this tendency, we need to develop a new capacity to stay in diagnostic mode longer than
normal. This can move us out of our comfort zone.

In learning about the diagnostic process, thus far we’ve established the difference between an observation
and an interpretation. Another important leadership diagnostic practice is to generate, test and hold multiple
interpretations that are more adaptive, conflictual and systemic.

Why might generating tough interpretations be an act of leadership?

There is a direct connection between generating multiple interpretations and leadership - leadership requires
both being involved in the daily action on the dance floor, and the ability to rise above to view the broader
dynamics and patterns surrounding you. A significant challenge when we look down from the balcony is to
see the data for what it is, rather than censoring the data you don’t want to see (remember how the ladder of

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inference influences this, often times unconsciously). Consequently, based on our default lens, we often pay
attention to some dynamics and ignore others. Our first interpretation is our opinion. Our goal is to
consciously seek out other interpretations, those that may not be the opinion we hold, and those that might
not be comfortable.

Our initial interpretations of a situation are often

technical, benign, and individual and technical.

See Figure 23. In exercising leadership on adaptive

challenges, it’s necessary we take the risks associated
with sharing interpretations that are adaptive,
conflictual, and systemic. Systemic means having to
do the dynamic of the group, its context or culture in
which the group operates. Adaptive interpretations
deal seeing adaptive work we need to do, and
conflictual interpretations are those that might be
true, but we don’t want to hear.

Figure 23: Mindshift

Source: Teaching Leadership - KLC

We want to move from our default interpretive lens on the left side to seeing the larger systemic, more
uncomfortable, and adaptive interpretive frames on the right side.

So how do you do this?

See Figure 24. It identifies the leadership activities associated

with moving from the left side to the right side of the mind shift
chart.

Figure 24: Reframing Interpretations

REFLECTION – What would happen if you diagnosed your situations with more
adaptive, conflictual, and systemic interpretations?

GROUP CASE STUDY EXERCISE – Let’s try a case study on ourselves that shows us how the ladder of
inference operates and how to move beyond our default interpretation and generate multiple interpretations.
What do you see the picture on the screen?

Facilitator Tips/Role

• Put the picture of the man with the two wine glasses on the projection screen
• Ask this exact question: What do you see in this picture?

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• Listen carefully to the responses. Some responses will be observations (male with two wine glasses
on a table), and some will be interpretations (he’s waiting for her to come back from the bathroom).
Let this process play out for a couple minutes.
• Then ask the group what they notice about the responses.
• Use this experience to do the following:
o Distinguish observations from interpretations
o Show how fast we unconsciously assign meaning to data (there was no woman in the
picture – where did she come from?)
• Now use it the picture and push the group to make as many different interpretations as possible of
the picture.
o Have them use the ladder of inference to do this. Have them come back the bottom rung and
start consciously working their way back up.
o Explain that we now have a better picture of the possible reality than we did before. We
have more options to choose from in explaining the possible realities of the situation and
have overridden out default, biased interpretation.

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Section 4: The Iceberg - A Systems Diagnosis Tool

The systems thinking iceberg is a useful systems diagnostic

tool. Using it can help you see situations more
systemically. It’s helpful in diagnosing how a system
operates and why, and for finding high leverage
intervention points in an effort to change the results the
system is getting. It’s also helpful in revealing how our
thinking contributes to the result the system is getting.

If you think about an iceberg in the water, only a small

portion of it is visible above the waterline. Most of it is
invisible, below the water. Human systems are similar. We
can see the results a system is getting, and the trends and
patterns associated with the results. Those are visible to us.
Figure 25: Systems Thinking Iceberg
Source: Systems Thinking for Social Change

However, the structures in place, and the thinking that puts and keeps
those structures in place, are not always visible. In doing adaptive work,
we want to diagnose deeper, below the surface, to learn what forces and
thinking are causing the system to get the results it’s getting.

See Figure 26. In every system, there are structures (processes,

procedures, relationships, feedback loops, etc) in every system that
create forces in systems, and these forces ultimately influence the results
the system gets. There is underlying thinking that established in the
first place, and maintains these structures in place.

Figure 26: Systemic Structures

Source: Michael Goodman/Farside

The deeper you diagnose into the iceberg, the more you learn about the invisible aspects of the system and
how it operates to get the result it is getting.

Key Point: The highest leverage intervention points to shift systems are located near the
bottom of the iceberg – our thinking. If we can transform the thinking that creates the
structures and keeps them in place, we can design new structures and get different
results.

This is why shifting our interpretive frame from individual to systemic is important, we are better able to
reveal the thinking that creates the structures and behaviors that are causing the system to get the result its
getting.

The iceberg tool also demonstrates why technical solutions do not work on adaptive challenges - because
we’re misdiagnosing the problem or avoiding the real work. The lower into iceberg we go, the work
becomes increasing more adaptive in nature, and more difficult. Hence there is a strong tendency to apply a
technical fix (changing the words in a written policy, for example) versus taking up the difficult adaptive

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work of challenging our own thinking, assumptions and beliefs that are contributing to the results we’re
getting. This is a classic adaptive work avoidance pattern.

The iceberg also underscores why not jumping to a quick solution and staying in a diagnostic mode to
generate multiple interpretations is an important adaptive leadership skill.

See Figure 27. Not only is the iceberg a good tool to help us
diagnose the system, but it’s also useful in getting a deeper
understanding of our piece of the mess. What is it we’re doing, or
not doing, that is maintaining the current reality and enabling the
system to get the result it’s getting that nobody wants?

In the peer consultation process, you’ll recognize questions designed

to explore not only the upper layers of the iceberg (context, timeline,
events, trends, patterns), but also questions regarding hidden and
underlying issues and thinking (assumptions, loyalties, values,
losses) to reach deeper layers of the iceberg.

Figure 27: Seeing Our Piece of the Mess

Source: Michael Goodman

In Summary

Exercising leadership requires both being involved in the daily action on the dance floor, and the ability to
rise above to view the broader dynamics and patterns surrounding you.

The diagnosis search process requires disciplined attention. It starts from the outside-in by diagnosing the
system first, and then moves to diagnosing yourself, from the inside out to determine your impact on the
system you are trying to intervene in.

Developing the capacity to shift from technical, benign, and individual interpretations of a situation to more
adaptive, conflictual and systemic interpretations helps reveal the deeper hidden aspects of the challenge.
This is critically important in accurately diagnosing the systemic challenge, seeing our piece of the mess in
the system getting the result it’s getting, and in designing skillful and effective interventions to shift the
system.

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Unit 5: Energize Others: Inspiring a Collective Purpose and Working Across Factions

Learning objectives:

• Participants understand what a faction is and what they represent in an adaptive challenge.
• Participants understand the importance creating a collective purpose in working across factions to
make progress on adaptive challenges.
• Participants are introduced to faction mapping.

Time Process / Content Method Material

20 mins What is a faction Presentation Powerpoint
• Definition
• Examples of different types of factions
• Each challenge has its unique set of factions
with differing values, loyalties, and losses
at stake.
20 mins Identifying and Working Across Different Factions Presentation Powerpoint
• Importance of inspiring a collective purpose Student Manual
• Importance of working across factions
• Questions to help understand a factions
perspective on an issue.
• Working with factional representatives
“Boundary Keepers”
• Questions to help begin working across
factions
25 mins Faction Mapping Presentation Powerpoint
• A method to map the factions involved in Student Manual
an adaptive challenge.
• Introduce the faction mapping tool.

Section 1: Introduction

Dean Williams, author of the book Leadership for a Fractured World, posits that when you are exercising
leadership on an adaptive challenge, you are facing an interdependent problem – that is, a problem that
involves other groups, and those groups must cross boundaries and come together to generate systemic
change. Adaptive work, by its nature, involves different factions, each wanting different outcomes. If you
do not work across the factional boundaries and work with the different factions involved and needed to
make progress on the issue, you cannot be successful. The different perspectives these factions bring to the
issue is one of the reasons it’s an adaptive challenge in the first place.

Definition of a Faction

So, what is a faction? In their book The Practice of Adaptive Leadership, authors Heifetz, Linsky and
Grasshow define a faction as follows (emphasis added):

“Faction – A group with (1) a shared perspective that has been shaped by tradition, experience,
power, relationships, loyalties, and interests and (2) its own grammar for analyzing a situation and
its own system of internal logic that defines the stakes, terms of problems, assumptions and solutions
in ways that make sense to its own members.”

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Examples of different types of factions include political (conservation, liberal, etc.), generational (boomers,
Millennials), tribal, geographic (urban, rural), spiritual, or organizational.

Since different factions bring different interests to the table, the factions associated with an adaptive
challenge are unique to that challenge, and how it impacts the various factions involved differs.
Consequently, the factions who must be involved and come together to make progress on an adaptive
challenge must be diagnosed on a faction by faction basis for that specific challenge.

Section 2: Identifying and Working Across Different Factions

Your Leadership Edge defines working across factions as “when someone holding certain values and beliefs
engages productively with another holding different values and beliefs.” Productively is the key work.
Working across factions does not simply trying to beat another faction into submission.

Why work across factions? Adaptive challenges often implicate values, loyalties, and culture. Imposing
values, loyalties and culture on another faction generally fails, and is a recipe for stalemate and protracted
conflict. If you want to make progress on adaptive challenges, energizing and working productively across
factions is part of the work.

Key Point: Inspiring a higher-order collective purpose is critical to energizing others to

consider working across factional boundaries. People have to have a reason to engage in
this difficult work. Inspiring a collective purpose is about finding ways to get people to
care. You know you have a collective purpose when divergent factions have united behind
one vision.

REFLECTION: What issues could inspire a collective purpose and cause more people to
care about the challenge you are facing?

Identifying Factions Related to a Particular Challenge

Working across factions begins by identifying all the stakeholders involved that will be needed to make
progress on the particular challenge. Factions will emerge from this list of stakeholders – different factions
in favor of a change for different reasons, and different factions opposed to a change for various reasons.

Your Leadership Edge recommends that once you identify the factions, you’ll need to spend time trying to
understand the perspective of the other factions involved – what loyalties, values, losses, interests are at stake
for them in this issue. You’ll need to imagine how the situation looks from their perspective.

You can do this by asking simple questions like:

• What do you care most about in this situation?
• What does success look like to you?
• What do you want other groups and factions understood about you?
• What do you stand to lose if progress is made on this issue?

Once you understand their perspective, start looking for some common ground. Work to build trust.
Identify overlapping interests – focus on what brings you together as opposed to what divides you. Work to
generate some good will.

When you bring different factions together to do adaptive work, you’ll be working with a participants from
the various factions who are there to represent the faction and its constituents. These people are what Dean
Williams calls “boundary keepers.” Williams suggests every faction has boundary keepers – powerful
people whose role is to protect the groups interests and defend the prevailing group narrative and world

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view. They see it as their responsibility to protect group’s boundaries, fight group battles, and minimize
disruption of the status quo.
When working across factions, it’s important to
appreciate the role of the factional participants and the
heavy burden they carry. As depicted in the Faction
Map in Figure 28, they feel great pressure from
constituent demands to honor professional, social and
ancestral loyalties of the group, and to have fidelity to
group interests. When boundary keepers also see the
need to change, they face a risky situation going back to
the faction and explaining change is necessary. In this
case, Williams suggests working closely with these
boundary keepers who risk being deauthorized to
champion change. Work to help the boundary keeper
manage disequilibrium so disruptions are not too
excessive within the faction.

Figure 28: Faction Map Source: Ron Hiefetz

Endeavor to be sensitive in communications and work to craft messaging that is clear and appropriate for the
particular faction. Remember, you’ll also be in this position. Working across factions is a team effort.

It’s useful to think about the following questions as you prepare to work across factions:
• Who are the boundary keepers in the factions you need to make progress on the issue?
• What threat do you represent to them?
• How might you enroll their support?
• How can you protect them from being deauthorized if they risk championing the change within their
faction?

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Section 3: Faction Mapping

Figure 29: Faction Mapping Tool Source: For the Common Good – Participant Handbook

Figure 29 shows a Faction Mapping Tool. The faction map identifies the various factions connected to a
specific adaptive challenge, what they care about, connecting interests, and potential losses. It’s useful to
draw out the faction map during the diagnostic process. You’ll have the opportunity to experiment with
creating a faction map in your peer group consultation.

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Unit 6: Peer Group Consultation Process

Learning objectives:

• To introduce participants to peer consultation process.

• To increase participant diagnostic skills through the use of the peer consultation process.
• To create an environment to facilitate shared understanding of challenges faced, collaborative
relationships, networking and collective learning among participants.
• To provide an opportunity to experiment with facilitative leadership skills of attending, listening,
asking questions, reflecting and using leadership practices in a group situation.

Time Process / Content Method Material

15 mins Explain the purpose and utility of the Peer Presentation Powerpoint
Consultation Process.
• Apply and enhance our ability to diagnose
situations
• Helps see the situation differently
• Provides a structure and framework of
questions to help you generate new
diagnostic insights and action options for a
challenge you face.
Provide an overview of the Peer Consultation
Process
• Review the structure and timeframes of a
peer consultation.
• Explain the roles of designated authority,
time keeper and notetaker.
• Review the phases of the process and the
goal for each phase.
• Review common traps

60 mins Have the group conduct two peer consultation Peer Consultation
sessions.
• Seek a volunteer from the group to be
consulted to.
• Conduct a large group consultation.
10 mins Debrief the process Discussion
• Conduct a reflection session in the large
group.

Introduction to the Peer Consultation Process

The peer consultation process is a structured exercise with specific time boundaries. It is conducted in small
groups of 6-8 people. You have been provided a document that outlines the process in detail to aid you in
conducting the peer consultation sessions.

During each session, a case presenter has the opportunity to present a real-life leadership challenge for
consultation by their peers in the group.

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The peer consultation sessions are designed to enhance learning and application of practices in the adaptive
leadership framework. The goal of the peer consultation sessions to provide you an opportunity to practice
and develop diagnostic skills, the type of skills that will help uncover individual and systemic dimensions of
real-life adaptive challenges.

In this process, you will engage with your peers in diagnosing, testing multiple interpretations, and designing
skillful interventions to make progress on leadership challenges. Consultants will ask provocative questions
in an effort to bring hidden issues to the surface and offer insights about the leadership challenge.

It’s also an opportunity to experiment exercising leadership. It’s a chance practice using facilitative
leadership skills of attending, listening, asking questions, reflecting and using leadership practices in a group
situation.

Conducting a Peer Consultation Session

Specific Roles: In each peer group session, three people in the peer group will need to volunteer to
fulfill the following three specific roles:

o Designated Authority – the designated authority is responsible for ensuring the process is
followed as outlined, keeping the process moving along according to the established
timeframes, and monitoring to ensure the group does not fall into the common traps and all
the consultants have the opportunity to participate.
o Timekeeper – the timekeeper’s role is the monitor the time during each segment of the
consultation process to ensure time boundaries are adhered to. The timekeeper lets the
group know when there is one minute remains in each segment to signal the time boundary
is approaching.
o Note taker – the role of the note taker is to take notes for the case presenter. It’s important
the case presenter be present and listening intently during the consultation. Consequently,
we don’t want them taking notes, we want them fully engaged listening intently. The note
takers job is to take notes for the case-presenter to reference in the future.

What you’ll do during the various stages of the process as a case presenter or consultant.

Case Presenter: NOTE: Refer to the Peer Consultation Guide at each phase
• During the 10-minute case presentation segment, the case presenter will present the facts
surrounding the challenge they are facing from their perspective. They’ll provide as
much information as possible in response to the questions found in first segment of the
peer consultation document – Case Presentation.
• During the second 10-minute phase of the process, the Q &A phase, the case presenter
answers probing questions from the consultants. As a case presenter, try to answer the
questions as thoroughly and succinctly as possible.
• During the third 15-minute phase, diagnostic brainstorming, the case presenter “goes to
the balcony” and silently listens. The case presenter listens intently as the peer
consultants interpret the problem dynamics, offer alternative interpretations and
illuminate new ways to understand the case. Some people find it helpful to actually turn
their chair around so their back is to the consultants during this phase, it helps focus all
their attention on actively listening.
• During the fourth 10-minute phase, brainstorm action options, the case presenter remains
“on the balcony” and listens.
• During the fifth 10-minute phase, case presenter reflections, the case presenter reflects
on what they heard, shares insights, and asks questions. Be care not to defend yourself
in this phase.

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 • During the sixth 5-minute phase, group debrief of the consultation, the case presenter
will participate in the debrief with the rest of the group.

Peer Consultants – NOTE: Refer to the Peer Consultation Guide at each phase

• During the 10-minute case presentation phase, the consultants listen intently as a
presenter provides the facts and circumstances surrounding the leadership challenge they
are facing.
• During the second 10-minute phase, the Q &A phase, the consultants ask clarifying and
probing questions of the presenter. The goal is to gain a deeper understanding of the
adaptive challenge, the complexities surrounding it. and gather information for the
diagnostic brain storming phase. Focus and place priority on any questions in Section 1
that remain open.
• During the third 15-minute phase, diagnostic brainstorming, the consultants interpret the
problem dynamics, offer alternative interpretations and illuminate new ways to
understand the case. Do not offer solutions here, stay in diagnosis.
• During the fourth 10-minute phase, brainstorm action options, the consultants offer
initiatives, smart risks, and experiments for the case presenter to consider.
• During the fifth 10-minute phase, case presenter reflections, the consultants listen as the
case presenter reflects on what they heard, shares insights, and asks questions.
• During the sixth 5-minute phase, group debriefs the consultation, all consultants
participate in the debriefing.

Facilitator Role/Tips

The process has been successful if participants:

• Articulate and act on the distinction between diagnosis and action

• Articulate new perspectives on and insights into their own and other’s leadership challenges.
• Begin to ask more provocative questions and make tough interpretations about their own and other’s
leadership challenges.
• Begin to experiment with interventions outside their comfort zone in the group.
• There is greater shared understanding of the leadership challenges people are facing.
• The group begins to build trust and the foundations of a learning network.

Materials and peer group room/area set up:

• Separate room or area for each peer group.

• Enough chairs and a table for each peer group.
• Ensure there is a flip chart, markers, and pins or tape in the room to hang the charts on the wall.
• Identify the locations where peer groups will be meeting. Place a sign on the door to alert people to
their room/area – “Peer Group 1”, etc.
• For the first meeting, take the groups to their room/area to avoid chaos of movement, not being able
to find the room/area.

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Unit 7: Managing Self

Learning objectives:

• Participants understand they are part of a system that is getting the results it’s getting. We all
contribute to the way things are, something we are doing, or not doing is maintaining the status
quo.
• Participants understand that managing yourself starts with self-awareness.
• The capacity to manage yourself requires the ability to be in touch with yourself in the moment
and understand:
o The values, loyalties, and losses at stake for you in a situation
o Your tolerance for conflict and uncertainty
o Your willingness to experiment beyond their comfort zone
• Participants understand that exercising leadership on adaptive challenges requires choosing
between competing values, renegotiating loyalties and accepting losses in a given situation.

Time Process / Content Method Material

15 mins Explain that when exercising leadership on adaptive Presentation Powerpoint
challenges, you must operate on two planes:
o Outside in – that is, seeing how the KLC Banners
system you are in operates.
o Inside Out – that is, how you operate
internally and influence the system you
are a part of.
Focus attention on the Manage Self banner and sub-
competencies. Briefly explain them.

Explain who you are is both a resource and a

constraint. The more we can expand our
bandwidth, we increase our leadership capacity.

15 mins Exercise: What trips you up? Pair Share

o Have participants share with a partner Exercise
what tends to trip them up when
exercising leadership. What patterns do
they see in themselves?
o Have couple people/pairs share what
they discussed.
o Look for examples of vulnerabilities in
sub-competencies

30 mins Exercise: “Pressures on the Person” Exercise Exercise

Look for a volunteer (someone from a earlier pair

share), or a pair of volunteers (from different
factions identified earlier). Have them come up and
run a “pressures on the person” with the challenge
exercise.
▪ Explore the different values, loyalties and losses
at stake in collaboration across factions or in a
situation they currently face.

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 ▪ The volunteers are demonstrating “moving out
of their comfort zone” and choosing between
being comfortable and taking the risk in service
of learning.
▪ We’ll identify and map the loyalties and
associated voices, values and losses at play.
▪ We’ll explore the act of leadership of
volunteering for the exercise (moving out of
comfort zone) had on making progress as a
group.

15 mins Debriefing Discussion

Outside In – Then Inside Out

How do you contribute the results system is getting, even if the results are ones nobody wants? How are you
contributing to hold the conditions in place that allow the problem to persist?

Key Point: Once you diagnose the system (Outside In), the next step is to diagnose yourself
and your role in that system. Your focus is on how you operate and influence that system you
are a part of and why you operate that way.

Competencies Required

There’s a saying “If you can’t change your mind, you can’t change anything.” We are often our own obstacle
when attempting to exercise leadership. One of the most important capacities required to exercise leadership
on adaptive challenges is the capacity to manage yourself in the process.

Key Point: Managing yourself requires knowing yourself, a willingness to change and do
things differently, and knowing how and when to intervene on yourself so you can intervene
effectively in the system you are trying to exercise leadership on.

KLC has identified several important competencies in managing yourself:

• Know your strengths, vulnerabilities and triggers. What are you good at? What are your hot buttons
people can push to take you out of the game?

• Know the story others tell about you. How are you understood? What is your reputation? What is
the folklore regarding your past performance and involvement?

• Choose among competing values. You are part of the system you are trying to change, so you are
part of the problem and will need to change as well. What has held you back from exercising
leadership in the past? What risks have you been unwilling to take? What competing values are at
stake for you and are you willing to take the losses that come with choosing between them?

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 • Get used to uncertainty and conflict. Discovering way forward in an adaptive challenge is a learning
process and the path is not clear. There will be differences of opinion regarding what the problem is
and how to proceed. This is part of the process.

• Experiment beyond your comfort zone. Exercising leadership will require you to get out of your
comfort zone. It requires doing what’s needed, not what’s comfortable.

• Take care of yourself. Burnout is not a leadership behavior Exercising leadership on adaptive
challenges will wear you down. It’s important to take care of yourself physically, emotionally and
spiritually.

Expanding Our Personal Bandwidth

See Figure 30 to the left. Who you are is both

a resource and a constraint at the same time.
The top line represents all the people in the
world, the bottom line represents all the
situations in the world. We all have a certain
set of personal characteristics, skills, abilities,
and disposition that make us suitable to
exercise leadership for a certain subset of
problems in the world.

Figure 30: Expanding Our Personal Bandwidth

Key Point: The more we can expand our bandwidth through experimentation, self-
knowledge and self-management, the more can we increase our leadership capacity.

Pair Share Exercise: What Trips You Up? What tends to trip you up when exercising
leadership? What patterns do see in yourself? What does this suggest about your personal
work in managing yourself when exercising leadership?

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What Holds Us Back From Exercising Leadership

So, what personal baggage gets in the way of exercising

leadership? KLC suggests that because we don’t like the potential
losses associated with change, sometimes the status quo, no matter
how crazy it is, is chosen over the uncertainty of changing. Or the
fear of being disliked undermines our courage to act.

There a many aspects of ourselves and our situation that are

potential barriers to exercising leadership. Some are conscious and
in in our awareness, and some are unconscious and out of our
awareness.

In order to be at our best, it’s important to understand what values,

loyalties and losses are at stake for us in exercising leadership on a
particular adaptive challenge. This requires us to diagnose
ourselves to understand how we might be influenced by these
factors before we embark on trying to exercise leadership to
mobilize others to change.

Figure 31: What Holds Us Back From Exercising Leadership

Values, Loyalties and Losses at Stake

Key Point: It’s important to diagnose the specific values, loyalties and losses at stake for
you in exercising leadership on a given adaptive challenge. The values, loyalties, and losses
that are implicated are will be different depending the nature of the adaptive challenge being
confronted. Once you understand these factors that influence you, you are in a better position
to manage yourself.

Figure 32: Values, Loyalties and Losses

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Debriefing

Our overarching purpose is:

To strengthen global law enforcement relationships to combat illegal wildlife trafficking through shared
understanding, relationship building, and the application of adaptive leadership.

Exercising leadership is about learning, individually and collectively as a system. We want to begin learning
from each other starting now, and continue into the future, as we work together to make progress on the
challenges we face in combatting wildlife trafficking, and to seize the opportunities in front of us.

So, let’s learn from each other now. Here some example jump start questions:

o What’s on your mind?

o How did you experience this session? What insights did you draw from that expereince?
o What insights about exercising leadership on adaptive challenges have you drawn from the
day/this session? How can apply these concepts and practices in your work?

Bibliography/Sources Consulted

Heifitz, Ronald, Linsky, Marty, Grashow, Alexander. The Practice of Adaptive Leadership – Tools and
Tactics for Changing Your Organization and the World. Boston, MA: Harvard Business Press, 2009.

Heifitz, Ronald, Linsky, Marty. Leadersahip on the Line – Staying Alive Through the Dangers of Leading.
Boston, MA: Harvard Business Press. 2017.

Parks, Sharon Daloz. Leadership Can Be Taught. Boston, MA: Harvard Business Press. 2005.

O’Malley, Ed, Fabris McBride, Julia, Nichols, Amy. For the Common Good – Participant Guide. Wichita,
KS. KLC Press, 2014.

Heifetz, Ronald A., Leadership Without Easy Answers. Cambridge, MA: Harvard University Press. 1994.

Stroh, David Peter., Systems Thinking for Social Change. White River Junction, Vermont: Chelsea Green
Publishing. 2015.

Senge, Peter., The Fifth Discipline: The Art and Practice of the Learning Organization.

Ladder of Inference information adapted from http://www.mindtools.com/pages/article/newTMC_91.htm

Blind Men and the Elephant information adapted from

https://en.wikipedia.org/wiki/Blind_men_and_an_elephant

Williams, Dean., Leadership for a Fractured World. Berrett-Koehler Publishers, Inc. 2015.

O’Malley, Ed., Cebulla, Amanda., Your Leadership Edge: Lead Anytime, Anywhere. Witchita, KS. KLC
Press, 2015.

Green, Chris., Fabris McBride, Julia., Teaching Leadership. Witchita, KS. KLC Press, 2015.

Scharmer, Otto., Kaufer, Katlin., Leading from the Emerging Future. Oakland, CA. Berrett-Koehler
Publishers, 2013.

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Kahane, Adam., Solving Tough Problems. Oakland, CA. Berrett-Koehler Publishers, 2004.

Kahane, Adam., Transformational Scenario Planning. Oakland, CA. Berrett-Koehler Publishers, 2012.

Sowick, Matthew., Leadership 2050 – Critical Challenges, key contexts, and Emerging Trends. Bingley, UK.
Emerald Group Publishing Limited. 2015.

Eichholz, Jaun Carlos., Adaptive Capacity – How Organizations Can Thrive in a Changing World. London,
UK. LID Publishing. 2017.

Marshak, Robert., Covert Process at Work: Managing the Five Hidden Dimensions of Organizational
Change. Oakland, CA. Berrett-Koehler Publishers. 2006.

Personal notes from Harvard Kennedy School of Government Course: The Art and Practice of Adaptive
Leadership Development taught by Ron Heifetz. May 2018.

Resources

Adaptive Leadership Network: http://www.adaptive-leadership.net

Harvard Kennedy School of Government: https://www.hks.harvard.edu/educational-programs/executive-

education/art-and-practice-leadership-development

Kansas Leadership Center: https://kansasleadershipcenter.org

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