BSA505 v4Gail Industries Case StudyBSA505 v4Page 2 of 14.docx

BSA/505 v4
Gail Industries Case Study
BSA/505 v4
Page 2 of 14
Gail Industries Case Study
This case study is used to complete your assignments
throughout the course. Some sections of the case study will be
necessary in multiple assignments. See the assignment
instructions for specific assignment requirements.Introduction
to Gail Industries
Gail Industries is a partner to many Fortune 1000 companies
and governments around the world. Gail Industries’ role is to
manage essential aspects of their clients’ operations while
interacting with and supporting the people their clients serve.
They manage millions of digital transactions every day for
various back office processing contracts.
One of Gail Industries’ clients is the city of Smallville.
Smallville, despite its name, is a large metropolis seated in the
heart of the nation. The city has 2.5 million residents, and the
greater Smallville metropolitan area has a population of about 4
million people. Smallville’s IT department follows the NIST
800-53 standards, and the city requires that all IT service
organizations, whether run by city staff or vendors such as Gail
Industries, follow these standards.
For this case study, you are to assume the following dates:
· Audit Period: 1/1/2018 – 12/31/2018
· Audit Field Work Dates: 1/3/2019 – 1/24/2019Overview of the
Operations of Smallville Collections Processing Entity (SCOPE)
Summary of Services Provided
Collections Processing
The Smallville Collections Processing Entity (SCOPE) provides
collections processing services to the city of Smallville. SCOPE

receives tax payments, licensing fees, parking tickets, and court
costs for this major municipality. The city of Smallville sends
out invoices and other collections notices, and SCOPE
processes payments received through the mail, through an
online payment website, and through an interactive voice
response (IVR) system. Payments are in the form of checks,
debit cards, and credit cards. After processing invoices, SCOPE
deposits the monies into the bank account for the city.
SCOPE is responsible for ensuring the security of the mail that
comes into the possession of all employees, subcontractors, and
agents at its processing facility, located within Smallville.
Controls and procedures for money and mail handling are
established by SCOPE to ensure payments are accounted for,
from the earliest point received through processing and deposit.
These controls and procedures provide:
1. Assurances for proper segregation of duties
2. The design and use of satisfactory documentation to ensure
proper recording of transactions
3. The safeguarding of access to and use of all assets and
records
4. Independent checks on performance
Payment Receipt
The purpose of collections processing is to receive and process
various types of payments, post the payment data to the Central
Collections System (CCS), and deposit the accompanying funds
in the Smallville bank account. This process includes the
following types of payment receipts:
· Regular mail – paper checks only
· Website – credit and debit card payments, electronic checks
· IVR – credit and debit card payments
Mail Delivery
A bonded courier picks up the payments from the United States
Postal Service (USPS) facility in Smallville. SCOPE uses a
subcontractor for courier services. This courier is dedicated,
picking up and delivering mail only for SCOPE. This courier is
also required to sign for registered, certified, and express

delivery envelopes.
Opening and Sorting Mail
The daily success of payment processing depends on receiving
mail quickly from the postal service, opening that mail, and
properly sorting the contents for processing. Batches contain
similar payment types: tax payments are processed together,
court collections together, and so forth.
Deposits
Deposits are made daily into the Smallville bank account.
Electronic payments (debit cards, credit cards, and paperless
checks) are deposited through an interface between CCSys and
the bank. Checks are converted to electronic debits and
deposited electronically. However, those that cannot be
converted to electronic form are deposited in physical form.
Functional Areas of Operations
Gail Industries uses the following specific functional roles of
operations:
· Contract manager – responsible for the overall management of
contract deliverables of the payment processing operation,
including the monitoring of financial expenditures to ensure
compliance with contract budgets.
· Operations manager – responsible for planning, managing, and
controlling the day-to-day activities of the team that provides
operational support for the business unit, including the
establishment of operational objectives and work plans and
delegation of assignments to subordinate managers.
· Information technology manager – responsible for developing
and maintaining the strategy of the future direction of IT
infrastructure, including developing plan for the implementation
of new IT projects and managing relationships with IT-related
vendors and subcontractors.
· Accounting – responsible for performing a variety of routine
clerical and accounting functions within the accounting
department, including daily balancing of receipts. In addition,

the accountant resolves exception transactions, including
charged back checks (bounced checks), forgery affidavits, and
recoupment.
· Call center – the city of Smallville does not have a centralized
call center for handling questions relating to payments and
invoices. It is considering adding one to the scope of services
offered by Gail Industries.
Information Systems
Services
Gail Industries services are designed around the following tools
and technologies:
· Data Capture and Imaging – real-time instrument imaging and
data capture—provides imaging, accountability and reporting of
checks and remitted payments.
· Invoice Management and Reporting – data correction and
maintenance utilizing automated payment auditing and
historical analysis. A browser-based application is available for
internal SCOPE and Smallville staff to perform administrative
functions. A separate internet-accessible payment portal allows
for citizens, business owners, and others to view invoices and
make payments.
Processing Platforms
Gail Industries currently utilizes cloud-based servers on the
Amazon Web Services (AWS) platform for internet-accessible
application. Data capture, imaging, and the payment processing
application run on local servers in a secured computer room.
Local servers run both Linux and Windows Server operating
systems. Data is stored on Microsoft SQL Server to provide
storage of payment, image, and balancing data.
The servers supporting the CCS are housed within the SCOPE
server room (also known as the data center) and are managed by
Gail Industries’ IT staff. The IT staff provides the following
services:
· Firewall management – monitoring and management of the
firewall systems and networks on a 24/7/365 basis.

· Network monitoring – proactive network and server
monitoring services to help maximize system performance and
uptime.
· Data backup – data backup services for the production,
payment, imaging, and balancing data.
· Incident management – IT incident monitoring,
documentation, and resolution management.Control Objectives
and Related Controls
Physical Security (Datacenter)
Control Objective 1: The controls provide reasonable assurance
that physical access to computer resources within Gail
Industries’ data center is restricted to authorized and
appropriate personnel.
To protect physical assets, management has documented and
implemented physical access procedures to grant, control,
monitor, and revoke access to the on-site SCOPE datacenter.
The datacenter requires two-factor authentication: a biometric
credential via retinal eye scanner and a badge access card.
Individuals requesting badge access document the request on a
standardized employee management form that must be approved
by departmental management. Administrative access to the
badge access system is restricted to authorized IT personnel.
When an employee is terminated, IT personnel revoke the badge
access privileges as a component of the termination process. In
addition, the IT manager performs a review of badge access
privileges on a monthly basis to help ensure that terminated
employees do not retain badge access.
All visitors must sign a logbook upon entering the datacenter,
with a picture ID presented to their escort. Access is restricted
to authorized IT personnel and equipment technicians.
CCTV surveillance cameras are utilized throughout the facility
and the datacenter to record activity; these images are retained
for a minimum of 45 days.
Physical Security (Facilities)

Control Objective 2: Controls provide reasonable assurance that
physical access to assets within Gail Industries’ facilities is
restricted to authorized and appropriate personnel.
To protect physical assets, management has documented and
implemented physical access procedures to grant, control,
monitor, and revoke access to the on-site SCOPE facility.
A door badge access system is employed to control access to
areas within the facility (including the datacenter) through the
use of predefined security zones.
Individuals requesting badge access to the facility document the
request on a standardized employee management form,
accessible through Gail Industries’ employee on-boarding
system (known as GEO). All requests must be approved by
departmental management. Administrative access to the badge
access system is restricted to authorized IT personnel.
Upon termination (voluntary or involuntary), SCOPE IT
personnel revoke the badge access privileges as a task in the
termination process. In addition, the IT manager performs a
monthly review of badge access privileges to ensure that
terminated employees do not retain badge access.
Both entrances into the facility are locked and are monitored by
administrative personnel. The receptionist must unlock the door
for visitor access. Visitors are required to ring a video door bell
and announce themselves to the receptionist. Visitors sign a
logbook when entering the facility, and they are required to
wear a visitor’s badge at all times. Visitors must be escorted by
an authorized employee when accessing sensitive facility areas
such as the mail room and server room.
CCTV surveillance cameras are utilized throughout the facility
and server room to record activity. Video images are retained
for a minimum of 45 days.
Environmental Safeguards
environmental safeguards protect physical assets and the data
that resides on those assets.

Management has implemented environmental controls to protect
physical assets within the datacenter and office facility,
including fire detection and suppression controls. The office
facility is protected by audible and visual alarms, fire and
smoke detectors, a sprinkler system, and hand-held fire
extinguishers. A halon-free fire suppression system and smoke
detectors protect the datacenter. An uninterruptible power
supply (UPS) is in place to provide temporary electricity in the
event of a power outage and mitigate the risk of power surges
impacting infrastructure to the data center.
Management retains the following inspection reports completed
by the third party vendors as evidence of their completion:
· Annual inspection of the fire detection and sprinkler fire
suppression system
· Annual inspection of hand-held fire extinguishers located
throughout the facility
· Annual inspection of the fire suppression system
· Semi-annual inspection of the UPS systems
Change Management
changes to network infrastructure and system software are
documented, tested, approved, and properly implemented to
protect data from unauthorized changes and to support user
entities’ internal control over financial reporting.
Documented change management policies and procedures are in
place to address change management activities. Further, there
are provisions for emergency changes to the infrastructure and
operating systems. Change requests are documented via a
change request (CR) form. CRs include details of the change,
including the change requestor, the date of the request, the
change description, and change specifications. Management,
through the Change Advisory Board (CAB), holds a weekly
meeting to review and prioritize change requests. During this
meeting, management authorizes change requests by signing off
on the CR form.

Detailed testing is performed prior to implementation of the
change in test environments that are logically separated from
the production environment. The CAB approves the changes
prior to implementation. The ability to implement infrastructure
and operating system updates to the production systems is
restricted to user accounts of authorized IT personnel.
Logical Security
administrative access to network infrastructure and operating
system resources is restricted to authorized and appropriate
users to support user entities’ internal control over financial
reporting.
Information security policies have been documented and are
updated annually to assist personnel in the modification of
access privileges to information systems and guide them in
safeguarding system infrastructure, information assets, and data.
Infrastructure and operating system users are authenticated via
user account and password prior to being granted access.
Password requirements are configured to enforce minimum
password length, password expiration intervals, password
complexity, password history requirements, and invalid
password account lockout threshold, as documented in the IT
Procedures and Policies document.
The CCS application authenticates users through the use of
individual user accounts and password before granting access to
the applications. CCS utilizes predefined security groups for
role-based access privileges. The application enforces password
requirements of password minimum length, password expiration
intervals, password complexity, password history, and invalid
password account lockout threshold.
Payment Processing
payments received are processed accurately and timely, and
processing exceptions are resolved.

Documented payment processing policies and procedures are in
place to guide personnel in the following activities:
· Mailroom processing
· Identification and posting of payments
· Research and processing of unidentified payments
· Financial reporting
· Bank reconciliations
Financial instruments are required to remain within the
mailroom during payment processing. When mail is delivered
by the courier, both the courier and the mail room supervisor
initial the mail receipt log to verify the envelope count
received.
Physical access privileges of data entry personnel are
segregated from balancing and mailroom personnel. Logical
access to processing systems are segregated between data entry,
balancing, and mailroom personnel.
Data Transmission
transmitted payment data is complete, accurate, and timely.
SCOPE exchanges payment and invoice information
electronically with Smallville via scheduled inbound and
outbound data transmissions each day. Smallville provides a list
of newly created invoices that were issued on the previous
business day. SCOPE receives this information in the CCS
application and uses this for processing payments. Each day, all
payments processed by SCOPE are sent back to the city of
Smallville, which imports this data into its systems.
Deposits
deposits are processed completely, accurately, and in a timely
manner.
Documented procedures are in place that addresses the transfer
and security of financial instruments, including delivery of the
mail from the Post Office (P.O) boxes to the SCOPE mailroom

and the delivery of deposits from the SCOPE mailroom to the
bank processing center.
A courier pickup and delivery schedule, outlining the date/times
of scheduled mail deliveries by the third party courier, is
maintained and posted in the mailroom. SCOPE utilizes a third-
party courier service for delivery of financial instruments to the
city of Smallville’s bank.Partially Collected Audit Evidence
GEO/SCOPE Active Employees Report
Generated 1/3/2019 8:26 AM
Employee ID
Full Name
Department
Status
Door Badge
10001438
Andrea Bradley
Administrator
Active
1902
10001337
Cesar Lynch
Administrator
Active
1904
10001232
Darin Young
Administrator
Active
2048
10000006
Gina Carmack
Administrator
Active
1900
10000001

Gail Lucas
Administrator
Active
1874
10001232
Ken Smith
Administrator
Active
1999
10001298
Michelle Adams
Administrator
Active
2005
10001396
Susan Larame
Administrator
Active
2010
10001301
Steve Lenzi
Administrator
Active
1871
10001243
Tessa Hammer
Administrator
Active
1801
10001188
Victoria Brown
Administrator
Active
2007
10001156
Yvonne Vasquez

Administrator
Active
1869
12 Employees Listed
GEO/SCOPE Terminated Employees Report
Employee ID
Full Name
Department
Status
Term Date
10001038
Alan McDonald
IT
Termed
6/8/2018

1 Employee Listed
GEO/SCOPE IT Active Employees Report
Employee ID

Full Name
Department
Status
Hire Date
10001232
Ken Smith
IT
Active
1/3/2017
10001396
Susan Larame
IT
Active
7/5/2018
2 Employees Listed

Datacenter Visitor's Log
Date
Name
Title
Organization
ID presented
Escorted By
3/12/2018
Gail Lucas
President
Gail Industries
Alan, IT Specialist
7/2/2018
Kerry Lark
IT Director
City of Smallville
Driver's Lic.
Ken, IT Manager
7/31/2018
B. Smith
Technician
UPS Fixit
Driver's Lic.
Susan, IT Specialist
9/8/2018
B. Smith
Technician
UPS Fixit
Driver's Lic.
11/13/2018

John Wilson
Technician
Fire Suppression Inc.
Business Card
Windows Domain Group Policy for Passwords
CCS Active Users Report
User ID
Full Name
System Rights
Status
Email
ABradley
Andrea Bradley
Administrator
Active
[email protected]
AMcdonald
Alan McDonald
Administrator
Active
[email protected]
CLynch
Cesar Lynch
Administrator
Active
[email protected]
DYoung
Darin Young
Administrator
Active
[email protected]
GCarmack
Gina Carmack

Administrator
Active
[email protected]
GLucas
Gail Lucas
Administrator
Active
[email protected]
KSmith
Ken Smith
Administrator
Active
[email protected]
MAdams
Michelle Adams
Administrator
Active
[email protected]
SLarame
Susan Larame
Administrator
Active
[email protected]
SLenzi
Steve Lenzi
Administrator
Active
[email protected]
THAMMER
Tessa Hammer
Administrator
Active
[email protected]
VBrown
Victoria Brown
Administrator

Active
[email protected]
YVasquez
Yvonne Vasquez
Administrator
Active
[email protected]
Excerpt from IT Policies and Procedures Manual
Version 1.0, 12/31/2016
Revision History
Date
Author
Notes
12/31/2016
Ken Smith
Version 1.0, accepted by client
Overview
This policy is intended to establish guidelines for effectively
creating, maintaining, and protecting passwords at SCOPE.
Scope
This policy shall apply to all employees, contractors, and
affiliates of SCOPE, and shall govern acceptable password use
on all systems that connect to SCOPE network or access or store
SCOPE, city of Smallville, or Gail Industries data.

Policy
Password Creation
1. All user and admin passwords must be at least [8] characters
in length. Longer passwords and passphrases are strongly
encouraged.
2. Where possible, password dictionaries should be utilized to
prevent the use of common and easily cracked passwords.
3. Passwords must be completely unique, and not used for any
other system, application, or personal account.
4. Default installation passwords must be changed immediately
after installation is complete.
Password Aging
1. User passwords must be changed every 60 days. Previously
used passwords may not be reused.
2. System-level passwords must be changed on a monthly basis.
Password Protection
1. Passwords must not be shared with anyone (including
coworkers and supervisors), and must not be revealed or sent
electronically.
2. Passwords shall not be written down or physically stored
anywhere in the office.
3. When configuring password “hints,” do not hint at the format
of your password (e.g., “zip + middle name”)
4. User IDs and passwords must not be stored in an unencrypted
format.
5. User IDs and passwords must not be scripted to enable
automatic login.
6. “Remember Password” feature on websites and applications
should not be used.
7. All mobile devices that connect to the company network must
be secured with a password and/or biometric authentication and
must be configured to lock after 3 minutes of inactivity.
Enforcement
It is the responsibility of the end user to ensure enforcement
with the policies above.
If you believe your password may have been compromised,

please immediately report the incident to the IT Department and
change the password.
Courier Deposit Log
Date
Deposit Items
Time
Courier
SCOPE
1/2/2018
328
3:41 PM
V. Barnes
Mia Liu
1/3/2018
748
3:45 PM
V. Barnes
Mia Liu
1/4/2018
1050
4:30 PM
V. Barnes
Mia Liu
1/5/2018
258
3:31 PM
V. Barnes
Mia Liu
1/8/2018
1238
3:15 PM
V. Barnes
Mia Liu
1/9/2018
208

4:02 PM
V. Barnes
Mia Liu
1/10/2018
1031
3:45 PM
V. Barnes
Mia Liu
1/11/2018
1343
3:56 PM
V. Barnes
Mia Liu
1/12/2018
211
3:01 PM
V. Barnes
Mia Liu
1/15/2018
230
3:02 PM
V. Barnes
Mia Liu
1/16/2018
576
3:02 PM
V. Barnes
Mia Liu
1/17/2018
332
4:02 PM
V. Barnes
Mia Liu
1/18/2018
1204

Mia Liu
1/19/2018
904
Mia Liu
1/22/2018
231
Mia Liu
1/23/2018
441
Mia Liu
1/24/2018
400
Mia Liu
1/25/2018
1/26/2018
1/29/2018

1/30/2018
1/31/2018
2/1/2018
549
4:02 PM
V. Barnes
Mia Liu
2/2/2018
2/5/2018
2/6/2018
2/7/2018

2/8/2018
2/9/2018
2/12/2018
2/13/2018
2/14/2018
(No entries after 2/14/2018)
Fire Extinguisher Inspection Tag
Oldest Camera Image, from September 30, 2018 @3:30 AM
Newest Camera Image, from January 3, 2019
Proposed Call Center Operations Department
Recently, the city of Smallville has asked Gail Industries to

expand the scope of the SCOPE contract by starting up a call
center operation within the facility. This call center would
handle hundreds of telephone calls placed by those who receive
invoices from the city on a daily basis. Callers would be able to
talk to a customer service representative (CSR) to check their
account balance (ensuring payments had posted), dispute
invoices received (which will be investigated by city of
Smallville personnel), and accept credit card and debit card
payments over the telephone.
Copyright© 2018 by University of Phoenix. All rights reserved.
Copyright© 2018 by University of Phoenix. All rights reserved.
1
Leader Development Plan Instructional Aid
By Day 7 of Week 4, you will submit a personal Leader
Development Plan based on a
leadership role of interest to you. Listed below are the major
components of the plan
along with a detailed explanation of each.
Assess your strengths and limitations. Keep in mind that even
the best leaders have
limitations and can benefit from leader development; therefore,
finding that you also
have some limitations is perfectly normal. With that said, good
leader development
plans include targeted activities to develop strengths and
manage limitations. For
example, a highly introverted leader might engage in activities
to improve active
listening, a skill that comes more naturally to introverts, with

the end goal of forming
stronger bonds with colleagues. This leader may also engage in
development activities
to overcome discomfort related to networking, a skill that
comes more naturally to
extroverts. Therefore, the chosen development activities are not
intended to turn an
introvert into an extravert, but rather to build on existing
strengths and find ways to
manage limitations.
Create SMART Goals. SMART goals are those that are specific,
measurable,
attainable, relevant, and timely. An example of a SMART goal
is: Apply active listening
skills to interactions with the CFO, COO, and CIO during one-
on-one meetings over the
next 2 months. Conversely, an example of a poorly written goal
is: Improve relationships
with colleagues.
Identify development activities. Use the 70-20-10 approach as a
guideline for your
Leader Development Plan.
• 70% of your development activities should be on-the-job
learning (e.g.,
participating in challenging assignments that allow you to apply
leadership
knowledge and skills);
• 20% should be learning through coaching, mentoring, and
feedback, and;
• 10% should be formal, classroom-based learning.
Please note the above percentages are approximations only. You

are not required to
adhere to the exact percentages. Just be sure that most of your
development activities
occur on the job, some occur through mentoring, coaching, and
feedback, and very few
occur in a classroom setting.
Identify action steps you will take to complete the development
activities. Action
steps may include contacting a supervisor or colleague about a
project you think would
help develop your leadership skills, scheduling a meeting to
receive feedback on how
well you applied specific leadership skills, or registering for a
leadership workshop.
Identify resources you will need to complete the development
activities.
Resources may include time, cost, and leadership resources.
Identify the timeline for completing the development activities.
Be sure to indicate
a specific and realistic date by which you will complete the
leader development
activities.
2
Identify methods and data to assess your achievement of
SMART goals. To
assess your achievement, focus on measuring how well you
apply your knowledge and

skills while on the job and/or the business results from doing
so. Consider the following
examples: You could ask your supervisor to observe you
applying strategic thinking
skills to determine whether you have mastered that skill. You
could engage in 360-
degree feedback where your colleagues and employees provide
input about your
improvement. You could keep track of the number of business
deals you make as a
result of your improved networking skills and the subsequent
profit of those business
deals.
3
You are encouraged to use the following table and examples to
guide your thinking as you develop your plan. It may be
useful to include similar tables depicting your Leader
Development Plan in the appendix of your paper; however, the
tables will not count towards the total page count.
Goal #1
Suppose your assessment results indicate that you need further
development in transformational leadership. According to
Northouse (2018), an important aspect of transformational
leadership is individualized consideration, that is, listening to
followers’

needs and assisting followers with their growth and
development. Therefore, a leader development goal could be:
Apply coaching and mentoring skills to employees as they
complete assigned tasks and projects to further their
development.
On-the-Job Learning
What on-the-job
learning activities will
you complete to
achieve your goal?
• Hold bi-weekly, one-on-one meetings with each employee to
learn more about their needs and goals.
• Delegate tasks or projects to each employee based on their
goals.
• Use coaching and mentoring skills to help employees
successfully accomplish assigned tasks and
projects.
Learning Through Coaching, Mentoring, and Feedback
What learning
activities will you
complete with the
help of others?
• Ask a transformational leader who has strong coaching and
mentoring skills if I can observe him or her
coaching and mentoring employees.

• Invite the leader to attend three of my one-on-one meetings
with employees and give me feedback on
my coaching and mentoring skills.
Formal, Classroom-Based Learning
What formal,
classroom-based
activities will you
complete to achieve
your goal?
• Attend a workshop called, “Coaching Essentials,” developed
by the Ken Blanchard Companies.
Action Planning
What action steps do
you need to take to
complete the
activities?
• Schedule bi-weekly meetings with each employee.
• Identify upcoming tasks or projects to assign to employees.
• Identify a transformational leader within the company who has
strong coaching and mentoring skills.
Contact him or her to schedule observations.
4

• Complete some pre-reading on coaching and mentoring.
• Register for coaching workshop.
Resources
What resources or
help will you need to
complete the
activities?
• Two hours of employee time per month to participate in one-
on-one meetings.
• Fourteen hours of my time per month to hold one-on-one
meetings with each of the seven employees.
• Additional time, as needed, for coaching and mentoring
outside of scheduled one-on-ones.
• Three hours of my time to observe the transformational leader
and two additional hours to discuss his
or her feedback after observing me.
• Ten hours to complete the following pre-reading about
coaching and mentoring:
o Emelo, R. (2015). Shift your focus with modern mentoring.
Talent Development, 69(9), 36–41.
o Grant, A. M., & Hartley, M. (2013). Developing the leader as
coach: Insights, strategies and tips
for embedding coaching skills in the workplace. Coaching: An
International Journal of Theory,
Research and Practice, 6(2), 102–115.
o Lancer, N., Clutterbuck, D., & Megginson, D. (2016).

Techniques for coaching and mentoring.
London: Routledge.
• Six hundred dollars and eight hours to attend coaching
workshop.
Timeline
What is the timeline
for completing the
activities?
• Complete pre-reading and attend workshop by June 30th.
• Observe leader by July 15th. Ask the leader to observe me in
three meetings on September 15th.
• Schedule to one-on-ones to begin on August 1st.
• Assign tasks and projects by August 15th.
Measurement
How will you measure
whether you achieved
your goal?
• Work with Human Resources to develop a survey that assesses
employee perceptions of the degree
to which they feel supported in their individual development
and growth. Ask Human Resources to
administer the survey before and after I complete the leader
development activities.
• Obtain feedback from the leader who observed me in one-on-

ones regarding how well I applied
coaching and mentoring skills.
• Obtain a certificate of completion from the coaching workshop
I attended.
You completed your evaluation at 8:57 am EST on November
30, 2019.
Prepared on November 30, 2019 for:
Test Participant
Test Participant
2
1. Introduction
2. The Full Range Leadership Model
3. MLQ Scales — Full Range Leadership
4. Your MLQ Results
Leadership Profile Scores

Comparison with Norms: Your Leadership Scores
Your Strengths — Transformational Leadership
Your Areas for Development — Transformational Leadership
5. What is Authentic Leadership?
6. ALQ Scales
7. Authentic Leadership Effects
8. Your ALQ Results
Authentic Leadership Scale Scores
Comparison with Norms: Your Authentic Leadership Scores
Your Strengths & Areas for Development — Authentic
Leadership
9. Understanding Your MLQ/ALQ Results
10. Building Your Individual Development Plan (IDP)
11. Individual Development Plan (IDP)
Resources
Appendix A. Personal Development — Attributes of Authentic
Leadership
Appendix B. Developing Authentic Leadership in the
Organizational Context

Appendix C. Recommended Reading
Appendix D. About Using Only the Self Form
Appendix E. ALQ Norms in This Report
Test Participant
3
This report provides the results from your Multifactor
Leadership Questionnaire (MLQ) and Authentic Leadership
Questionnaire (ALQ) self-assessment: measures of how
frequently you exhibit various leadership behaviors,
including authentic leadership styles.
The MLQ measures a full range of leadership styles, which may
be grouped under three broad categories. Each
category differs in the nature of the leadership behaviors and
their expected outcomes.
Transformational Leadership
Full Range Leadership® Model Style Labels
(Also known as the 5 I's) Builds Trust IIA
(Idealized Influence — Attributes)

Acts with Integrity IIB
(Idealized Influence — Behaviors)
Encourages Others IM
(Inspirational Motivation)
Encourages Innovative Thinking IS
(Intellectual Stimulation)
Coaches & Develops People IC
(Individualized Consideration)
Transactional Leadership
Constructive Rewards Achievement CR
(Contingent Reward)
Corrective Monitors Deviations & Mistakes MBEA
(Management-by-Exception: Active)

Passive-Avoidant Behaviors
Passive Fights Fires MBEP
(Management-by-Exception: Passive)
Avoidant Avoids Involvement LF
(Laissez-Faire)
The MLQ also measures three outcomes of leadership — how
frequently you inspire in your colleagues:
●
Extra Effort
●
Individual, Unit, and Organizational Effectiveness
●
Satisfaction with the Leadership
The ALQ measures how genuine, or authentic, is a leader’s
behavior. The four ALQ scales are: Self Awareness,
Transparency, Ethical/Moral, and Balanced Processing.

Test Participant
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The Full Range model includes numerous leadership styles, and
all leaders display each style to some degree.
Ideally, the Transformational and Authentic leadership styles
(most active and effective) should be used the most
often. By contrast the Avoids Involvement (PA) style, which is
the most passive and ineffective style, should be
used the least often.
MLQ/ALQ Research Findings
The MLQ is the most researched measure of leadership styles,
demonstrating strong validity, reliability, and use
as a predictor of positive organizational outcomes. For a partial
list of the many MLQ studies, go to:
https://www.mindgarden.com/16-multifactor-leadership-
questionnaire#horizontalTab5
The ALQ was developed to extend the styles in the MLQ to
include morality and authenticity. For a partial list of
the rapidly growing body of research on the ALQ, go to:
https://www.mindgarden.com/69-authentic-leadership-
questionnaire#horizontalTab5
The two instruments together provide a comprehensive
evaluation of leadership styles. The chart above

conceptually integrates the MLQ + ALQ, though researchers
should note that this model has not had the extent of
empirical evidence as the version with just the MLQ scales.
Test Participant
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Transformational Leadership
Transformational leadership is a process of influencing in which
leaders change their associates' awareness of
what is important, and move these associates to see themselves
and the opportunities and challenges of their
environment in a new way. Transformational leaders are
proactive: they seek to optimize individual, group and
organizational development and innovation — not to merely
perform "at expectations." They convince their
associates to strive for higher levels of potential as well as
higher levels of moral and ethical standards.
Builds Trust
(Idealized Influence — Attributes)
These leaders are able to build trust in their followers. They
inspire power and pride in their followers by going

beyond their own individual interests and focusing on the
interests of the group.
Instill pride in others for being associated with them
Go beyond self-interest for the good of the group
Act in ways that build others' respect for them
Display a sense of power and confidence
Acts with Integrity
(Idealized Influence — Behaviors)
These leaders act with integrity. They talk about their most
important values and beliefs, they focus on a
desirable vision, and almost always consider the moral and
ethical consequences of their actions. They also
focus on building a commonly shared vision or mission for the
group.
Talk about their most important values and beliefs
Specify the importance of having a strong sense of purpose
Consider the moral and ethical consequences of decisions
Emphasize the importance of having a collective sense of
mission

Encourages Others
(Inspirational Motivation)
These leaders behave in ways that motivate those around them
by providing meaning and challenge to
their followers' work. Individual and team spirit is aroused;
enthusiasm and optimism are displayed. The
leader encourages followers to envision a better future for the
organization, as well as for themselves.
Talk optimistically about the future
Talk enthusiastically about what needs to be accomplished
Articulate a compelling vision of the future
Express confidence that goals will be achieved
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Encourages Innovative Thinking
(Intellectual Stimulation)
These leaders stimulate their followers' efforts to be innovative
and creative by questioning assumptions,
reframing problems, and approaching old situations in new

ways. There is no ridicule or public criticism of
individual members' mistakes. New ideas and creative solutions
to problems are solicited from followers,
who are included in the process of addressing problems and
finding solutions.
Re-examine critical assumptions to question whether they are
appropriate
Seek differing perspectives when solving problems
Get others to look at problems from many different angles
Suggest new ways of looking at how to complete assignments
Coaches & Develops People
(Individual Consideration)
These leaders pay attention to each individual's need for
achievement and growth by acting as a coach or
mentor. Followers are developed to higher levels of potential by
creating new learning opportunities in a
supportive climate. Individual differences in needs and desires
are recognized.
Spend time teaching and coaching
Treat others as individuals rather than just as a member of the
group

Consider each individual as having different needs, abilities,
and aspirations from others
Help others to develop their strengths
Transactional Leadership
Transactional leaders display behaviors associated with two
transaction styles: constructive (Rewards
Achievement) and corrective (Monitors Deviations & Mistakes).
Transactional leadership defines expectations
and promotes performance to achieve these levels. Providing
rewards for achievement and monitoring deviations
and mistakes are two core behaviors associated with
'management' functions in organizations. (Full-range
leaders use these styles when necessary but focus on using
Transformational styles whenever possible.)
Rewards Achievement
(Contingent Reward)
Leaders who frequently reward achievement tend to clarify
expectations and offer recognition when goals are
achieved. This should result in individuals and groups achieving
expected levels of performance.
Provide others with assistance in exchange for their efforts
Discuss in specific terms who is responsible for achieving

performance goals
Make clear what one can expect when performance goals are
achieved
Express satisfaction when others meet expectations
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Monitors Deviations & Mistakes
(Management-by-Exception: Active)
These leaders specify the standards for compliance, as well as
what constitutes ineffective performance, and
may punish followers for being out of compliance with those
standards. This style of leadership implies
close monitoring for deviations, mistakes, and errors, then
taking immediate corrective action.
Focus their attention on irregularities, mistakes, exceptions, and
deviations from standards
Concentrate their full attention on dealing with mistakes,
complaints, and failures
Keep track of all mistakes
Direct their attention toward failures to meet standards

Passive/Avoidant Behavior
Another form of leadership is more passive and reactive: this
leader does not respond to situations and problems
systematically. Passive leaders avoid specifying agreements,
clarifying expectations and providing goals and
standards. This style has a negative effect on desired outcomes.
In this regard it is similar to Laissez-Faire styles
— or "no leadership." Both types of behavior have negative
impacts on followers and associates. Accordingly,
both styles can be grouped together as Passive/Avoidant
Leadership.
Fights Fires
(Management-by-Exception: Passive)
These leaders fight fires in their team or organization — they
wait for a problem to appear before taking
corrective action. In this style, corrective action is most often
punitive.
Fail to interfere until problems become serious
Wait for things to go wrong before taking action
Show a firm belief in "if it ain't broken, don't fix it"
Demonstrate that problems must become chronic before taking

action
Avoids Involvement
(Laissez-Faire)
These leaders tend to avoid involvement. This leadership style
could be easily defined as 'non-leadership.'
These permissive leaders refuse to assume the responsibilities
that are part of their position as leaders: they do
not offer enough information to their followers, do not offer
feedback, and do not acknowledge or work towards
their followers' satisfaction.
Avoid getting involved when important issues arise
Are absent when needed
Avoid making decisions
Delay responding to urgent questions
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Outcomes of Leadership
Transformational and Transactional leadership are both related
to the success of the group. The following

outcomes (Generates Extra Effort, Is Productive, and Generates
Satisfaction) are desired results of leadership.
Numerous scientific studies have shown that these outcomes —
and many others such as productivity,
innovation and sales performance — are achieved at the highest
levels when Transformational leadership is
used.
Generates Extra Effort
(Extra Effort)
These leaders are able to generate extra effort in their
followers. Extra effort is defined as the wish of followers
to strive for superior performance by acting beyond their job
expectations.
Get others to do more than they are expected to do
Heighten others' desire to succeed
Increase others' willingness to try harder
Is Productive
(Effectiveness)
These leaders are able to be effective. Effective leaders
represent their group to higher organizational levels,

meet organizational objectives, and are productive in all the
domains with which they are involved.
Are effective in meeting others' job-related needs
Are effective in representing their group to higher authority
Are effective in meeting organizational requirements
Lead a group that is effective
Generates Satisfaction
(Satisfaction with the Leadership)
These leaders are able to generate satisfaction in their
followers. These leaders are warm, nurturing, open,
authentic, and honest, with good interpersonal and social skills.
They are capable of developing feelings of job
and organizational satisfaction in their followers.
Use methods of leadership that are satisfying
Work with others in a satisfactory way
Test Participant
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The bar chart below shows how you rated yourself on leadership

behaviors. Use the frequency measure below to
interpret the graphs.
Frequency
0 = Not at all
1 = Once in awhile
2 = Sometimes
3 = Fairly often
4 = Frequently, if not always
Builds Trust (IIA)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.8
Acts with Integrity (IIB)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5

Encourages Others (IM)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5
Encourages Innovative
Thinking (IS)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.3
Coaches & Develops
People (IC)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
2.3
Benchmark*
*According to the Research Validated Benchmark, the ideal
frequency of all five Transformational behaviors should be a

"Fairly Often" rating of 3
or greater.
Test Participant
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Rewards Achievement (CR)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3
Benchmark*
*According to the Research Validated Benchmark, the ideal
frequency of Rewards Achievement (CR) behaviors should be
between "Sometimes"
and "Fairly Often" (2.0 – 3.0).
Monitors Deviations &
Mistakes (MBEA)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating

1.3
Benchmark**
**According to the Research Validated Benchmark, the ideal
frequency of Monitors Deviations & Mistakes (MBEA)
behaviors should be between
"Once in awhile" and "Sometimes" (1.0 – 2.0).
Fights Fires (MBEP)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
0
Avoids Involvement (LF)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
1.3
Benchmark***
***According to the Research Validated Benchmark, the ideal
frequency of Passive/Avoidant behaviors should be between
"Not at all" and "Once in

awhile" (0 – 1.0).
Generates Extra Effort (EE)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
+ 4
Is Productive (EFF)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
+ 4
(SAT)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5
Benchmark*

*According to the Research Validated Benchmark, the strongest
leaders achieve rated frequencies for the above Outcomes of 3.5
or greater.
Test Participant
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Your self-rating scores for the MLQ Transformational scales are
shown below. Included for comparison:
●
Universal Norm scores from the MLQ Self assessments of 3,755
leaders.
●
Normative scores from your group, if you have so selected.
Use the frequency measure below to interpret the graphs.
Frequency
0 = Not at all
1 = Once in awhile
2 = Sometimes
3 = Fairly often

Builds Trust (IIA)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.8
Universal Norm
2.9
Acts with Integrity (IIB)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5
Universal Norm
2.8
Encourages Others (IM)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5
Universal Norm

2.9
Encourages Innovative
Thinking (IS)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.3
Universal Norm
2.8
Coaches & Develops
People (IC)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
2.3
Universal Norm
2.9
Test Participant

12
Rewards Achievement (CR)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3
Universal Norm
2.9
Monitors Deviations &
Mistakes (MBEA)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
1.3
Universal Norm
1.7
Fights Fires (MBEP)
0 0.5 1 1.5 2 2.5 3 3.5 4

Score
Self Rating
0
Universal Norm
0.7
Avoids Involvement (LF)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
1.3
Universal Norm
2.7
Test Participant
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Generates Extra Effort (EE)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating

+ 4
Universal Norm
3.1
Is Productive (EFF)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
+ 4
Universal Norm
3.1
(SAT)
0 0.5 1 1.5 2 2.5 3 3.5 4
Score
Self Rating
3.5
Universal Norm
1

Test Participant
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This section lists your perceived Transformational Leadership
strengths. You scored highest frequencies on
these ten leadership behaviors and they are sorted from the
highest to the lowest rated items.
Score Scale Item
4 IM I express confidence that goals will be achieved.
4 IIB I emphasize the importance of having a collective sense
of mission.
4 Intellectual Stimulation I suggest new ways of looking at how
to complete assignments.
4 IC I help others to develop their strengths.
4 Intellectual Stimulation I get others to look at problems from
many different angles.
4 IM I articulate a compelling vision of the future.
4 IIA I display a sense of power and confidence.
4 IIB I consider the moral and ethical consequences of
decisions.
4 IIA I act in ways that build others' respect for me.
4 IIB I specify the importance of having a strong sense of
purpose.

Test Participant
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This section lists your perceived Transformational Leadership
areas which could be further developed. You
scored lowest frequencies on these ten leadership behaviors, and
they are sorted from the lowest to the highest
rated item. You may wish to focus first on the lowest-score
items for your development.
Score Scale Item
0 IC
I consider each individual as having different needs, abilities,
and
aspirations from others.
2 Intellectual Stimulation
I re-examine critical assumptions to question whether they are
appropriate.
2 IIB I talk about my most important values and beliefs.
2 IC
I treat others as individuals rather than just as members of the

group.
3 Intellectual Stimulation I seek differing perspectives when
solving problems.
3 IM I talk optimistically about the future.
3 IM I talk enthusiastically about what needs to be
accomplished.
3 IC I spend time teaching and coaching.
3 IIA I go beyond self-interest for the good of the group.
4 IIA I instill pride in others for being associated with me.
Test Participant
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Descriptive words for authenticity include genuine, reliable,
trustworthy, real, and veritable. Authenticity can be
conceived as both owning personal experiences (thoughts,
emotions, or beliefs, "the real me inside"), and acting
in accord with one's true self (behaving and expressing what is
really thought and believed). The authentic leader
is confident, hopeful, optimistic, resilient, transparent,
moral/ethical, and future-oriented. The authentic leader is
true to him/herself and exhibits authenticity through behaviors

that — when positively modeled by followers —
transform and develop them into becoming authentic leaders
themselves. Authentic leaders are active and
positive in the way they behave and how they interact with
others.
First, authentic leaders are guided by values consistent with
doing what is right for those in their team, unit,
organization, or community. These values include a central
belief that each individual has something positive to
contribute.
Second, authentic leaders try to continually narrow or eliminate
any gap between their espoused values (one’s
true self) and the values they use every day. This requires a
deep understanding of one’s own core values in
order to communicate and consistently behave in accord with
these values.
Third, authentic leaders remain aware of their own
vulnerabilities and openly discuss them with associates. This
helps leaders ensure that they continue to head in the “right”
direction. They turn a high level of transparency
regarding their vulnerabilities into a strength based on people’s
respect for knowing what the leader can and
cannot do.

Fourth, authentic leaders consistently think about building
authenticity in their associates, helping to develop
each one’s psychological capacity and strength.
Finally, authentic leaders have developed the moral capacity to
judge “gray area” issues and dilemmas. They
have the credibility to explore such issues from all angles and
seek alternative approaches without being
perceived as disingenuous or shifting with popular opinion.
Authentic leaders can change their mind and still be
seen as acting consistently with their core values, and thus
staying authentic.
Test Participant
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Self Awareness
As a leader, are you aware of your strengths, limitations, how
others see you, and how you impact others?
Leaders with self-awareness demonstrate an understanding of
how one makes meaning of the world and
how that understanding process impacts one’s self-perception
over time. Leaders with self-awareness
understand their strengths and weaknesses, and the multifaceted
nature of the self, which includes gaining

self-insight through exposure to others and being aware of one’s
impact on other people.
With self-awareness, one is aware of, and trusts in, their own
motives, feelings, desires, personality
characteristics, emotions, and self-relevant thoughts.
The items rated on the Self Awareness scale are:
As a leader,
I accurately describe how others view my capabilities.
I seek feedback to improve interactions with others.
I know when it is time to reevaluate my position on important
issues.
I show I understand how specific actions impact others.
Test Participant
18
Transparency
As a leader, to what degree do you reinforce a level of openness
with others, providing them with an
opportunity to be forthcoming with their ideas, challenges, and
opinions?

Transparency is presenting one’s authentic self (not a fake or
distorted self) to others. This behavior
promotes trust through disclosures that include openly sharing
information and expressions of one’s true
thoughts and feelings.
In authentic relationships, you endorse the importance for
others to see the “real you” — both the positive
and negative aspects. Toward that end, authentic relationships
involve a selective process of self-disclosure
and the development of mutual intimacy and trust.
Authentic leaders communicate to others their true intentions
and desires. They say exactly what they mean.
The items rated on the Transparency scale are:
As a leader,
I say exactly what I mean.
I admit mistakes when they are made.
I encourage everyone to speak their mind.
I tell others the hard truth.
I display emotions exactly in line with feelings.
Test Participant

19
Ethical/Moral
As a leader, to what degree do you set a high standard for moral
and ethical conduct?
Moral perspective is an internalized and integrated form of self-
regulation. This sort of self-regulation is
guided by internal moral standards, versus externally derived
standards, e.g., from one’s social group, work
organization, or the current society. Ethical/moral behaviors
show decision-making and behavior that is
consistent with internalized values.
The items rated on the Ethical/Moral scale are:
As a leader,
I demonstrate beliefs that are consistent with actions.
I make decisions based on my core values.
I ask others to take positions that support their core values.
I make difficult decisions based on high standards of ethical
conduct.
Test Participant

20
Balanced Processing
As a leader, to what degree do you solicit enough opinions and
viewpoints from others before making
important decisions, to ensure that your process is viewed as
fair and just?
Leaders who use balanced processing demonstrate due diligence
and objectively analyze all relevant data
before coming to a decision. Such leaders also solicit views that
challenge their deeply held positions.
Leaders who use balanced processing take input from diverse
points of view. They consider how the diverse
views may fairly and objectively shape their interpretation and
decisions regarding a particular challenge or
opportunity.
The items rated on the Balanced Processing scale are:
As a leader,
I solicit views that challenge my deeply held positions.
I analyze relevant data before coming to a decision.
I listen carefully to different points of view before coming to
conclusions.

Test Participant
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Leadership
Why are authenticity and the authentic characteristics of Self
Awareness, Transparency, Ethical/Moral, and
Balanced Processing important to leadership and its
development? Think about working for someone who
exhibits a genuine desire to understand their own leadership in
order to serve others more effectively. They act in
accordance with their deep personal values and convictions to
build credibility and win the respect and trust of
their colleagues. They encourage diverse viewpoints and build
networks of collaborative relationships with their
colleagues. It is easy to understand the power of working with
someone like this and why striving for greater
levels of authenticity makes practical sense in any leadership
role or relationship with followers.
Direct Effects
Being aware of how one affects others, the balanced processing
of information, transparency in relationships,
and consistency between values, words, and deeds (i.e.,
internalized moral perspective and ethical behaviors) as

exhibited by authentic leaders instills in others elevated levels
of commitment, willingness to perform behaviors
outside the work role (e.g., good citizenship in the
organization), and higher satisfaction with the leader.
Indirect Effects
Authentic leaders lead by example (e.g., role modeling) as they
display high moral standards, honesty, and
integrity, thereby eliciting followers to personally identify with
them and to then model their style of leadership.
Personal identification is the process whereby one’s beliefs
about the leader become self-defining and
self-referential. Thus, as followers model authentic leaders,
they come to view themselves as honest persons of
high moral standards and integrity. Through this modeling, they
also begin to cascade the authenticity of their
leader to subsequent levels of leadership, in a sense operating as
surrogates of their leader.
Social identification is a process through which individuals
come to identify with a group, take pride in belonging,
and value group membership as an important part of their
identity. Authentic leaders increase followers’ social
identification by building a sense of moral values that
characterize their group and using honesty and integrity in
their dealings with followers. Authentic leaders don't encourage

identification with the leader as a particular
person but as a representative of the core values of their team,
unit or organization. Reinforcing social
identification elicits followers' commitment and satisfaction to
the ‘group’ and to achieving positive work outcomes
together. Authentic leaders become a role model for self
awareness, transparency, balanced processing and high
moral/ethical standards, which can become modeled throughout
the organization.
Test Participant
22
The graphs below display your scores for overall Authentic
Leadership and for each of the Authentic Leadership
scales. Use the frequency measure below to interpret the graphs.
Frequency
0 = Not at all
1 = Once in awhile
2 = Sometimes
3 = Fairly often

Overall ALQ
Overall ALQ
0 1 2 3 4
Score
Self Rating
3.8
Authentic Leadership Scales
Self Awareness
0 1 2 3 4
Score
Self Rating
4
Transparency
0 1 2 3 4
Score
Self Rating
3.6
Ethical/Moral
0 1 2 3 4

Score
Self Rating
4
Balanced Processing
0 1 2 3 4
Score
Self Rating
3.7
Test Participant
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Your self-rating scores for the Authentic Leadership scales are
shown below. Included for comparison:
●
Normative scores from several other groups, provided by the
authors. Details about these groups
are in Appendix E.
●
Normative scores from your group, if you have so selected.

Use the frequency measure below to interpret the graphs.
Frequency
0 = Not at all
1 = Once in awhile
2 = Sometimes
3 = Fairly often
Authentic Leadership Scales
Self Awareness
0 1 2 3 4
Score
Self Rating
4
Several normative groups (N = 892)
2.2
Transparency
0 1 2 3 4
Score
Self Rating

3.6
2.4
Ethical/Moral
0 1 2 3 4
Score
Self Rating
4
2.5
Balanced Processing
0 1 2 3 4
Score
Self Rating
3.7
2.2
Test Participant

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This section lists your perceived Authentic Leadership
behaviors sorted from Strengths, which are high-frequency
behaviors, to Development Opportunities, which are low-
frequency behaviors. Generally, one should have a goal
of 3.0 frequency (Fairly often) to 4.0 (Frequently, if not always)
for these behaviors.
Score Scale Item
4 Self Awareness I show I understand how specific actions
impact others.
4 Self Awareness
I know when it is time to reevaluate my position on important
issues.
4 Self Awareness I accurately describe how others view my
capabilities.
4 Self Awareness I seek feedback to improve interactions with
others.
4 Balanced Processing
I listen carefully to different points of view before coming to
conclusions.
4 Balanced Processing I analyze relevant data before coming to
a decision.

4 Moral/Ethical
I make difficult decisions based on high standards of ethical
conduct.
4 Moral/Ethical I ask others to take positions that support their
core values.
4 Moral/Ethical I make decisions based on my core values.
4 Moral/Ethical I demonstrate beliefs that are consistent with
actions.
Test Participant
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Score Scale Item
4 Transparency I tell others the hard truth.
4 Transparency I encourage everyone to speak their mind.
4 Transparency I admit mistakes when they are made.
4 Transparency I say exactly what I mean.
3 Balanced Processing I solicit views that challenge my deeply
held positions.
2 Transparency I display emotions exactly in line with feelings.

Test Participant
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Consider your results in three phases:
Phase I — What are your results? Review your scores and look
for trends, gaps, and summaries. Assume
these will be good starting points for your development.
Phase II — What do your results mean? Use this second,
interpretive step of the process to explore the
implications of your results. Compare your scores to norms and
research benchmarks: where are your strengths
and what areas need to be developed?
Phase III — What are your next steps? The third and most
important phase of your process is to build your
Individual Development Plan (IDP). Review your MLQ/ALQ
results with a trusted colleague or a leadership coach
to help you frame a set of objectives for your IDP.
Consider setting a time when you can review your progress by
repeating the MLQ/ALQ self-assessment.
Mind Garden also provides a full “360” MLQ/ALQ assessment
and report for reviewing your actual leadership
style as seen by raters/observers. You may wish to consider
taking the MLQ/ALQ 360:

https://www.mindgarden.com/multifactor-leadership-
questionnaire/608-mlq-ii-360-leaders-report-
with-authentic-leadership-styles.html
Test Participant
27
Use your MLQ/ALQ results to consider the following points as
you build your IDP:
●
What are some things you should start to do (because you
rarely, if ever, show them at work)?
●
What are some things you should continue to emphasize? Are
these strengths that could be
brought forward more often and leveraged for further benefit?
●
What are some things you could stop doing (perhaps because
you over-rely or overdo them)?
●
Did some aspect of this report challenge your thinking about
your leadership style?

Include some metrics in your IDP:
●
State the specific steps you will take in order to produce
consistent, lasting improvement.
●
Include a metric that is a clear and obvious way to measure your
progress.
●
With your new understanding of transformational leadership
with authentic styles, you can
brainstorm and discuss with others the behaviors and actions
you could take to become a more
effective leader.
●
Once you have selected the key actions to take, you should
measure and record the frequency of
these behaviors to track your leadership growth.
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Based on my MLQ/ALQ results, here are two or three specific
developmental goals:
Actions I will take to improve my effectiveness:
Action Expected Outcome
Timeframe
How I will monitor my progress?
Resources or support I need to achieve my development plan:
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Consider the four components of authentic leadership: Leader
Self Awareness, Moral/Ethical Perspective,
Transparency, and Balanced Processing. You can regularly
include the suggested actions for each component to
strengthen your authentic leadership.
Leader Self Awareness

Leaders with high self awareness are mindful of how they think
about, feel about, and choose to affect the people
they influence. This self awareness includes:
●
Thinking — being aware of your attitudes about interactions
with others on a particular issue or
topic. This includes your efforts to change their way of thinking
or behavior.
●
Emoting — being aware of how you come across from an
emotional perspective. Are you perceived
as more positive? More neutral? More negative?
●
Behaving — being aware of how you choose to act: what do you
want to display to others? Highly
authentic leaders have alignment between how they see
themselves, how they want to be seen, and
how others see them.
To boost your self awareness as a leader, practice self-
reflection. This can highlight your reactions to the
important moments that inform how you best influence others.
Think about your day as a series of episodes:

which moments informed how you were able to effectively
influence others? Keep a journal and note any
patterns.
Practice self-observation and mindfulness. Observe your
thoughts, feelings, and behaviors in the moment by
asking yourself, “What’s happening now?” You can ask yourself
this question in challenging, stressful,
exhilarating, or conflicting conditions. For example, what were
you thinking right before you began the challenge?
How did your thinking and emotions change once you were
engaged in the challenge?
Moral/Ethical Perspective
Moral/Ethical Perspective deals with issues of what is right,
wrong, and ethical. Authentic leaders possess a
strong internalized moral perspective or “compass” that enables
them to act in ways aligned with their core values
despite group, organizational or social pressures that could
otherwise steer them off course. People with a higher
level of moral reasoning and perspective-taking capacity can
see and understand difficult trade-offs where they
must make choices. The trade-off may be between one’s self-
interest and that of the collective. As leaders reach
higher levels of moral perspective, they weigh the costs and

consequences of their actions based on their own
internal judgment with the aspirational goal of doing what’s
best for all, even if compromises have to be made.
Someone who is incapable of seeing another person’s
perspective or who doesn’t care, and is completely
self-interested, has a lower level of moral/ethical perspective.
But a leader with a high level of moral/ethical
perspective stays true to their principles even under extreme
circumstances. For example, a leader may feel
pressured to make a decision because it’s practical, makes sense
to stakeholders, and supports people who
matter to the leader. But when this leader uses an internal
standard to make a different decision focused on
doing the right thing, rather than doing what others prefer or
what is easiest, she demonstrates a high level of
moral/ethical perspective. Such behavior engenders greater trust
among followers who feel they can follow the
leader and trust her to act in accord with their values.
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To enhance your moral/ethical perspective, identify your core
values and principles. Periodically review your

actions against your core values. Take a difficult moral dilemma
and explore the principles you would use to
guide your decisions and actions. Ask your colleagues to do the
same and explore similarities, differences, and
the sources of your moral principles. Read about world-class
leaders with admirable moral values and principles.
Describe how those leaders’ values align with your own values.
Transparency
Authentic leaders show transparency by openly sharing their
true thoughts and feelings in the interest of
exploring the right course of action rather than simply
conceding to popular opinion. These leaders are up-front
about their motives and the reasoning behind their preferences
or decisions. When a leader is seen as
transparent, followers do not perceive any hidden motives or
filtering by this leader. What they hear from the
leader is considered to be unbiased and in line with what they
believe the leader knows. Followers can trust what
they’ve been told by the leader, and that the leader conveys
what he knows when he knows it. This leads to
higher levels of trust, increasing the likelihood that people will
express things that aren’t easy to talk about and
share a mindset within the team that it is safe to speak candidly.

To enhance leader transparency:
●
Share relevant information freely.
●
Regularly request feedback and give feedback, especially
positive feedback.
●
Ask people what they don’t know and how you can better
inform them.
●
Share your motives and the reasoning behind your decisions.
●
Review your important events to see if your words and actions
were aligned.
●
Ask colleagues for feedback on the alignment of your words and
actions.
Balanced Processing
Authentic leaders show balanced processing by accurately and
objectively analyzing all relevant data and

stakeholder views before coming to a decision. They solicit
views that challenge their own positions on issues.
These leaders recognize that a diversity of views and healthy
debate lead to more adaptive, innovative, and
sustainable solutions.
Leaders who show a high level of balanced processing go
beyond simply looking at competing interests and
issues; they come up with solutions that balance the different
options. These leaders exercise and inspire
patience and will delay judgment for a period of time while they
actively seek and wait for others’ input in order to
objectively assess an opportunity or challenge.
Authentic leaders are capable of being decisive when immediate
action is needed, but are also comfortable
suspending judgment and using the time available to stay open-
minded while gathering facts, testing
assumptions, and weighing different options. They stay focused
on solutions that uphold core beliefs rather than
slipping into self-protective responses, even if there is tension
between competing interests.
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A leader’s deliberate consideration of the bigger picture
(balanced processing) builds their followers’ trust in the
leader’s decision-making. If a leader is leaning in one of several
possible directions and consistently takes that
direction, such action may indicate bias and may not be
balanced. Leaders who show a high degree of balanced
processing see and take other avenues for action over time to
ensure fairness.
To enhance balanced processing:
●
Seek out conflicting perspectives when making important
decisions.
●
Pay attention to your personal biases and tendencies to
stereotype people or situations that might
interfere with openness to important input.
●
Uncover and understand the assumptions embedded in your
decisions.
●
Listen carefully to different points of view before coming to
conclusions.

●
Create diverse teams by including members with a range of
backgrounds and beliefs. Explore how
that diversity can and does influence decisions.
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You may wish to practice your authentic leadership
development in your organization by using the two-phase
framework of Exploration and Integration developed by Baron
and Parent (2015).
Exploration Phase
Use the 3-step Exploration Phase to select new behaviors to
help achieve your goals.
A. Developing self awareness
Self awareness comprises numerous reference points:
●
Recognizing one’s daily or automatic behaviors and attitudes
●
Awareness and understanding of one’s emotions

●
Awareness and understanding of one’s needs and values
●
Identifying past dynamics and how they shape or trigger current
behaviors
●
Awareness of personal influence with others
●
Awareness of others’ emotions and behaviors
●
Awareness of one’s effect on others
B. Identifying possible behaviors to adopt
After gaining new insights and self awareness, you can identify
behavioral areas where you feel you need
improvement. You can then set development goals to achieve
positive change.
C. Trying out new behaviors
In the final Exploration step, you can try out new behaviors and
see if they are effective. New insights from these
tests may lead to further behavior adjustments and continued

testing.
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Integration Phase
The Integration Phase involves recognizing the new positive
changes and integrating the new behaviors into the
organizational context.
A. The Trigger: Recognizing the Benefits of Change
As you see the positive changes generated by your new
behaviors, you may be encouraged and more willing to
adopt the new behaviors. The positive changes are reflected in
states of well-being: increased enjoyment of your
work, decreased stress, increased sense of pride, and increased
feeling of balance. The beneficial effects of
authentic leadership on the organization as a whole include
increased effectiveness of team members, increased
involvement by team members, and improved working
environment.
B. Transferring Behaviors and Attitudes to the Workplace
As you adopt new workplace behaviors, you may find that a
flexible workplace with supportive colleagues can

ease this transition. Leaders in a more challenging work
environment may need to adopt a more gradual
approach or even accept a new position in the organization from
which to put their new behaviors into practice.
Reference:
Baron, L. & Parent, E. (2015). Developing Authentic
Leadership within a Training Context. Journal of Leadership
& Organizational Studies. doi: 10.1177/1548051813519501
Test Participant
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Books:
Avolio, B. J. (2011). Full range leadership development. CA:
Sage.
Avolio, B.J. (2005). Leadership Development in Balance:
Made/Born. NJ: Erlbaum & Associates.
Avolio, B.J., & Luthans, F. (2006). High Impact Leader:
Moments matter in authentic leadership development.
NY: McGraw-Hill.
Avolio, B. J., Walumbwa, F. O., & Zimmerman, C. (2014).
Authentic leadership theory, research and practice:

Steps taken and steps that remain. Oxford Handbook of
Leadership and Organizations. Oxford: Oxford University
Press.
Avolio, B.J., & Wernsing, T. S. (2008). Practicing authentic
leadership. In Lopez, S. J. (Ed.). Positive psychology:
Exploring the best in people. Westport, CT: Greenwood
Publishing Company, pp. 147-165.
Bass, B. M. & Riggio, R. E. (2005). Transformational
leadership (2nd ed.). Mahwah, NJ: Lawrence Erlbaum
Associates.
Gardner, W.L., Avolio, B.J., & Walumbwa, F. (2006). Authentic
Leadership Theory and Practice: Origins, effects
and development. Amsterdam: Elsevier JAI Press.
Sosik, J. J. (2015). Leading with character: Stories of valor and
virtue and the principles they teach (2nd ed.).
Charlotte, NC: Information Age Publishing.
Sosik, J. J. & Jung, D. I. (2018). Full range leadership
development: Pathways for people, profit and planet (2nd
ed.). New York: Routledge.
Articles:
Antonakis, J., Avolio B. J., & Sivasubramaniam, N. (2003).
Context and leadership: an examination of the

nine-factor full-range leadership theory using the Multifactor
Leadership Questionnaire. The Leadership
Quarterly, 14(3), 261-295.
Avolio, B.J., & Chan, A. (2008). The dawning of a new era for
genuine leadership development.
Hodgkinson, G., & Ford, K. (eds.). International Review of
Industrial and Organizational Psychology, 23,
197–238.
Avolio, B.J., & Gardner, W.L. (2005). Authentic leadership
development: Getting to the root of positive forms of
leadership. Leadership Quarterly, 16, 315-338.
Avolio, B.J., Gardner, W.L., Walumbwa, F.O., Luthans, F., &
May, D. (2004). Unlocking the mask: A look at the
process by which authentic leaders’ impact follower attitudes
and behaviors. Leadership Quarterly, 15, 801-823.
Avolio, B. J., Griffith, J., Walumbwa, F. O., & Wernsing, T. S.
(2010). What is authentic leadership development?
In P. A. Linley, S. Harrington, & N. Garcea (Eds.), Handbook
of Positive Psychology and Work (39-52). Oxford:
Oxford University Press.
Avolio, B. J., Wernsing, T., & Gardner, W. L. (2018) Revisiting
the development and validation of the Authentic
Leadership Questionnaire: Analytical considerations. Journal of

Management, 44(2), 399-411.
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Gardner, W.L., Avolio, B.J., Luthans, F., May, D.R., &
Walumbwa, F.O. (2005). Can you see the real me? A
self-based model of authentic leader and follower development.
Leadership Quarterly, 16, 434-372.
Walumbwa, F. O., Avolio, B.J., Gardner, W.L., Wernsing, T.S.,
Peterson, S.J. (2008). Authentic
leadership: Development and validation of a theory-based
measure. Journal of Management, 34(1), 89-126.
Zhu, W., Avolio, B. J., Riggio, R. E., Sosik, J. J. (2011). The
effects of transformational leadership on follower and
group ethics. The Leadership Quarterly,10, 801-817.
Test Participant
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A note from MLQ/ALQ co-author Bruce Avolio
Occasionally it may be appropriate to have a leader do a self-
rating only, with no rater/observer

feedback. However, there are many reasons to have others rate
the leader's style and behaviors. Here
are some important points to consider:
1. The choice of which rater source to use should be tied to the
research or developmental
question. If you are interested only in how leaders think about
or perceive their own
leadership behavior, then collect only self ratings. In every
other instance, why not collect
observation data from other sources?
2. Leaders can have unique relationships with peers, followers
and other leaders, and the
ratings will differ as a consequence of the unique nature of
these relationships.
3. Since leadership is in the 'eye of the beholder', why collect
data from only the 'self
beholder'?
4. There is considerable evidence indicating that self and other
ratings often do not agree, for
reasons mentioned above.
5. The Self form does not measure actual leadership behavior,
rather it measures only the
self-perception of leadership.
This is an important point: at core, leadership is in the eye of
the beholder. Thus, to the degree that
one has only one source, the validity of that source is in

question. This is true of every type of research
or assessment instrument, including personality instruments. If
a leader has 10 followers and you get a
rating from just one, it is unlikely that that rating will represent
the 9 other views — especially if that
rater has worked for the leader for one month or less. If we get
ratings from peers, that may not
generalize to followers. If we get ratings from the leader
him/herself, one must ask, how representative
are those ratings of all other sources? If your interest is to
understand or change the self-perceptions
of a leader, then measuring only self ratings is appropriate. If
the goal is to measure leadership
behavior, then measuring raters'/observers' perceptions of that
leader is the most appropriate.
Test Participant
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Three normative groups are included in what is referred to as
"several norms" for the authentic leadership scales.
All three sample norms are from Walumbwa et al. 2008.
Sample 1 was 178 working MBA and evening adult students.
The average age of participants was 26 years (SD

= 7.23), with 3.44 mean years (SD = 3.17) of work experience;
56% of the participants were female.
Sample 2 was 236 adult evening students with full-time jobs.
The average age of the participants was 24.49
years (SD = 5.92), with 3.28 years (SD =2.55) of work
experience; 48% were female.
Sample 3 was 478 working adults drawn from 11 diverse U.S.
multinational companies operating in Kenya,
Africa. Approximately 98% of respondents indicated they were
Africans.
Leadership Maturity Framework
Stage Descriptions
By Dr Susanne Cook-Greuter
The Opportunist (Self-protective) Stage of Development
The person acting from this frame of reference understands the
world as a “what-you-see-is what-
you-get” place, a view of the world which looks only at the
surface of things and at action. When an
opportunity arises, it must be grasped. “Opportunity” simply
means finding ways to get the things
one wants.
Opportunist managers have a nose for opportunities and grab
them. They are not concerned with

how things have been done in the past nor with what unintended
effects their action might have.
They have an entrepreneurial bent. At the same time, by
jumping at every chance, they can make
bad decisions. Opportunist mottos are: “Might makes right, the
early bird catches the worm, he
who hesitates loses, it’s a jungle out there.” Opportunists see
the world only from their own, ‘me-
first’ perspective, What is good for me is also ‘right’. They
react upon their urgent needs and
desires without reflection. They seek visible gratification in
financial and status returns.
We have found few Opportunist managers in this part of the
world [US] because their unilateral,
dictatorial style does not fit well with complex, modern
organizations. Opportunistic behaviour can
occur with people at later action logics as an occasional lapse in
judgment or as a deliberate and
effective choice tailored to the circumstances or the people
involved.
Characteristics of the Opportunist Manager
Opportunists:
permissible.
principles.

ons, and are not guided by precedent.
them.
f themselves and negatively
stereotype others.
luck.
Leadership Maturity Framework |Stage Descriptions Page 2
The Diplomat (Conformist) Stage of Development
Moving away from the ‘anything goes that serves me’
framework of the Opportunist, Diplomats are
aware of the group strength over individual power. Thus, they
seek to belong to established groups
(kinship, club, church, professional). Since one’s power comes
from one’s ‘affiliation’ with others,
rules and social norms are followed to seek approval and
safeguard one’s status as a group
member. Any tension in the relationship is experienced as a
threat to one’s survival. One is either
in or out. Thus, Diplomats keep relationships friendly and
smooth, conform to group norms and
avoid “bad” feelings and discord.

On the positive side, Diplomats provide group cohesion by
creating a sense of shared community.
They are willing team players and loyal to their groups and
organizations. They will maintain
positive group relationships and attend to the sort of day-to-day
activities (such as remembering
birthdays) which create a pleasant work atmosphere.
As managers, Diplomats tend to be overly agreeable, unable to
criticize or reprimand others. They
protect the status quo, avoid rocking the boat, and defend the
group as well as themselves from
any outside influences or attacks. They adhere to the rule of
command, do not question authority,
and accept group norms and ideas without examination. They
keep doing what they do well, but
feel embarrassed and puzzled when they are found wanting in
any way. A great deal of their energy
is spent on ‘saving face’, and creating positive appearances. In
return for their loyalty, Diplomats
expect to be rewarded with visible signs of approval - status
symbols, appreciation certificates
badges, etc. and money.
As a subordinate, a Diplomat will tend to feel that
organizational norms prescribe every possible
action, and that there is no room for creative risk-taking. As
superiors, a Diplomat will in effect
often subordinate themselves to their own subordinates. They
will not confront their own superiors
on their employees’ or their own behalf, or on behalf of team
projects. Diplomats are keenly aware
of group differences and readily denigrate and dismiss those
that do not belong to their group or
believe in the same things they do. The split now is between

‘them’ and ‘us’ (in that order) while it
was between ‘me’ and ‘them’ at the Opportunist action logic.
Because Diplomats do not feel empowered by themselves and
need approval for their wellbeing,
they preserve the group and existing ties at all costs. Later stage
leaders understand team
cohesion as one aspect of larger organizational concerns and
will foster it where it is productive.
Characteristics of a Diplomat manager/leader
Diplomats:
of them.
more senior to them.
‘homey’ work environment.
feathers.
call for independent action.
noticed for being good ‘guys’ or
‘girls’.

demonstrate their membership.
distant organization or
principles.
critical of them and may feel uneasy
evaluating others, especially peers or superiors.
The Expert (Self-conscious) Stage of Development
In moving from the Diplomat Stage to the Expert Stage,
individuals trade emotional conformity to
group norms for a willingness to actively experiment and seek
more independent, but rational ways
of doing things. Still needy of approval and beholden to
traditional values, they do so, however,
looking back over their shoulders to their reference groups.
Unlike Diplomats, Experts no longer
identify with what makes them the same as others in a group,
but rather with what makes them
stand out and be unique.
Experts (also called Technicians) admire ‘craft logic’. They
focus on the specific procedures and
knowledge in their area of interest or expertise (i.e. ‘craft’). A
belief in the superiority of their ‘craft’
and their know-how becomes central to their lives. Problems
and dilemmas have one logical
answer that can be gained from authoritative sources (manuals,
laws, spec books and authorities
in the field). Experts often seek perfectionist standards in this
area and are very critical of
unfamiliar ways of handling a situation or approaching a
problem. They rely on established

explanations and procedures and defend against having their
professional knowledge questioned.
On the positive side, managers and leaders at the Expert stage
may be excellent in their
specialization, are sticklers for detail, and take great pride in
doing their jobs well. They would say
‘a job worth doing is a job worth doing well’. They have a
strong desire to seek incremental
improvements and to find perfection. Thus, they play a vital
role in the development of products,
techniques and services. No society or organization could run
without Experts, Technicians and
Bureaucrats handling the day to day running of its affairs.
On the less positive side, Expert managers may be more
impressed with efficiency and technical
wizardry than with effectiveness, (e.g. they will write a report
extensively and well, but will not
consider the relative value of doing the report at all; they will
perfect a product from an engineering
point of view, while the competition brings a less perfect, but
functional model to market). Experts
will operate within the framework as defined by their craft
culture, rather than by self-generated
goals. A manager/leader at this stage is likely to be over
involved with detail, unable to prioritize
among competing efforts or to grasp the bigger picture.
Paradoxically, people at the Expert stage maybe be highly
critical of their performance within their
specialization, yet they resent feedback in general, especially
from those not of a higher craft
status than themselves. They are also hypercritical of others in
their field of expertise. One-
upmanship is common, as is the ‘yes-but’ syndrome, providing

endless alternative solutions or
arguments. Moreover, they tend to overstep the boundaries of
what they know and give unsolicited
advice.
Characteristics of an Expert manager
Experts:
tention to details and seek perfection in their
work.
well, because only they can do it
right.
preference or knowledge.
tness based on authority (technical knowledge, a
famous professor etc.).
context and other
contingencies.
implications of their actions within
the whole system.
masters or take it

personally, not just as a criticism of a narrowly defined aspect
of themselves.
must do to improve or be
respected.
their own mental framework.
norms or may experiment with
different ways of doing the job in order to do it better.
badly.
with others.
The Achiever (Conscientious) Stage of Development
In most organizations, Experts and Achievers are responsible
for the day to day business success.
While Experts focus on the exacting detail of getting a job done
well, Achievers are concerned with
successful plans and outcomes. They focus on output measured
in terms of turnover, volume,
profit, return on investment, market share, and personal career
satisfaction.
Achievers share the Expert’s interest in experimenting. Unlike
Experts, however, who work on
improving given procedures, Achievers design whole new
methods and approaches to solving a
problem and streamlining processes. The greatest strength of

Achievers is also their greatest
weakness: a singularity of purpose, focus and drive. In pursuit
of their personal favourite goals,
Achievers will disregard other important areas of business
and/or personal life. For example, an
Achiever coordinator of an international aid charity was so
dedicated to raising funds for the needy
that he did not see how hard he pushed himself and his own
staff and at what costs to himself and
the organization. Neither did he see how this ‘driving’
behaviour negatively affected his home life.
Achievers apply energy in a consistent direction to solve
problems and use the tools of their trade
creatively. They initiate change and seek to move mountains.
Their determination and energy is
often inspiring to others. Achievers are open to learning and
discovering – they welcome
behavioural and tactical feedback, especially if it can bring
them closer to their envisioned goals.
They will resist feedback which questions the very framework
within which they operate. Achievers
believe deeply in linear cause and effect and objective
rationality. From their point of view, the
natural world, including the behaviour of people, is governed by
predictable patterns and laws.
These can be researched, made explicit and applied to influence
and control outcomes. Thus,
results are secured by relying on an objective ‘scientific’
approach and by applying one’s personal
conviction and energy to refining the knowledge base.

As managers/leaders they tend to be matter of fact, concerned
with getting things done, but also
fair and perceptive in engaging others. They will listen to
others’ reasons. Achievers can prioritize
among competing projects and tasks, cooperate around mutual
goals and delegate work in a way
that the Expert cannot. Sometimes, they anticipate unintended
outcomes or side effects. They
perceive multiple causes for human behaviour and may want to
counsel others who have difficulty.
Characteristics of Achiever managers/leaders
Achievers:
destiny. They make their
choices.
Define specific medium and long term goals and strive for
maximum impact and/or
benefit.
even though individual
differences may be irritating.
their goals and to improve.

aspects of good management.
end to believe that they know themselves and others well,
and are in control of their
emotions.
necessary.
wrong) and manners (social
conventions of what is right or wrong).
critics when they do not
measure up to these standards.
The Higher, Rarer Stages of Development
The Achiever is the highest stage in conventional adult
development. It is the model adult stage of
modern times. As an ‘adult’ one is expected to pursue goals
defined in output terms (professional
leader role, personal income, market share, status, consistent
effort etc). The Achiever is the
highest stage fully supported by western culture and society and
encompasses the traditional
scientific mindset. Culturally it forms a kind of ceiling in
development, overcome by less than 10%
of the general population. Those individuals who do develop

beyond the ‘conventional’ stages (of
which Achiever is the last) move into what we describe as
‘post-conventional’ stages of
development. The LMF identifies a sequence of four distinct
post-conventional stages of adult
meaning making. We call these the Individualist, the
Transforming, the Alchemist/Magician, and
the Unitive (Ironist) stages.
Redefining/Individualist (Pluralist) Stage of Development
The psychological and cognitive energy of the Individualist
stage is directed towards the limitations
and unexamined assumptions of the Achiever stage. It is the
first stage which explores not only
what one believes, but how one comes to believe what one does.
Individualists are motivated to
expose the reductionism of the traditional scientific approach,
to unearth hidden social and
cultural assumptions and to make these visible to themselves
and to others.
The key discoveries of Individualists are:
what is being observed. Variables
can not be isolated and boundaries between self and other,
subject and object are socially
constructed and interdependent.
own right and part of a bigger
system--ad infinitum.
personal experience in which

they were formed.
They also look at their own beliefs and - finding the centre does
not hold - turn to the here and now
and enjoy a newly discovered cultural independence. Rekindled
creativity and imagination are
often visible signs of people who are at this stage. Sometimes
Individualists despair about ever
finding a new foothold. Relativism is everywhere. ‘Is this it
then?’ may emerge as an unsettling
question. Some may become cynical. Others are given to
constantly deconstructing orthodoxy, but
without having something better to offer in return.
However, in an environment where Individualists are supported
and challenged by likeminded
people or more mature role models (Transforming leaders), they
may learn to apply their critical
energy in new, more constructive directions. Part of their
developmental challenge is to find a more
integrated position from which to act and evaluate experience.
One type of individualists can be
fun to have around: they relish their individuality & pursue
whatever appeals to them with gusto.
While aware of conventional social norms, they are not
constrained by them. At the same time,
they truly appreciate others for their uniqueness and different
perspectives & like to play
counselling roles in helping them become more fully
themselves.
Another type values others’ insights and views so much that as

managers and leaders, they may
tend to want everyone’s input and perspective. In order to not
harm anyone, they may rely on
consensus decisions and endless explorations of possibilities.
Individualists are attuned to political
correctness.
Characteristics of a Redefining/Individualist leader
Redefining/ Individualists:
moment and themselves as
experiencers while their interest in leadership as a way to
achieve results may diminish. If
this happens at a time in people’s careers when they are already
responsible for leading
many people, they may withdraw from the leadership role to
some degree. Instead, they
explore the complexities of leading people and take a ‘let live
and see what happens’
attitude towards them.
main relational mode. They would
rather associate with others who are less driven and more
thoughtful.
r
single causes is replaced by
thinking about the system as a whole) and, as managers and
leaders, can contribute to this
broader view.
circumstances and at

different times. They themselves may experiment with different
kinds of relationships and
with using power differently in different contexts.
‘outside of the box’ as they
liberate themselves from the driving of Achievers. They are
interested in development
(particularly their own) as an innate human possibility and a
goal in and of itself rather than
as a means towards the end of greater achievement and success.
extending their roles (or contracting
more routine parts of it), experimenting with working in
different ways and habitats, or they
may choose to ‘follow their bliss’.
From the point of view of the Achiever employee, Individualist
superiors cannot be counted on to
be consistent and to engage fully with them on their terms. “I
don’t know where she’s coming
from” might be said of an Individualist manager or leader.
Individualists tend to provide less
certainty and firm leadership because they realize the layers
upon layers of assumptions,
interpretations and fundamental uncertainty.
Paradoxically, all of this prepares the groundwork for the
development of a more strategic
leadership style based on a deepening of relationships with
others. Beginning with the Individualist
stage, there is increasing appreciation for complexity, a growing
appreciation for individual
differences, and an ability to think in terms of how complexities
and paradox can be integrated into

larger, coherent wholes or systems (=systems thinking).
The Transforming (Autonomous) Stage of Development
Moving from Achiever to Individualist and on to Transforming
involves a major shift in one’s frame
of reference. The Diplomat’s desire to stay in touch, the
Technician’s penchant for craft logic, the
Achiever’s focus on conventional results are replaced by self-
generated and individual ways of
viewing and interpreting the world.
The Individualist stage is the first post-conventional stage
because Individualists no longer
automatically conform to the reality view and to the behaviour
scripts offered by their culture. With
this comes a shift in perspective about the objective nature of
reality. Having found no position to
stand on as final truth and no way to prioritize among
competing perspectives and positions, the
Individualist is an absolute relativist. All views are equally
acceptable or unacceptable.
Transforming leaders, in contrast, are able to adjudicate among
rivalling opinions and beliefs
based on the quality of the arguments and ideas given. They
tend to value those perspectives that
are constructive, people-oriented, inclusive, dynamic, and
which foster continuous learning over
those perspectives that are critical or judgmental, single
constituency, exclusive, static, and merely
fact-oriented, or ‘objective’.

BSA505 v4Gail Industries Case StudyBSA505 v4Page 2 of 14.docx

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