Principles and Values

Principles and Values are an aspect of leadership that tends to be omitted or overlooked in leadership development and business, and yet one of the most impactful. On several levels, this explains why there can be so much misalignment and friction in organisations, which then leads to a lack of efficiency, productivity and results. This is an important chapter in the leadership book, but won’t be everyone’s cup of tea. Whether it resonates is likely to depend on the stage of your journey you are at and your principles themselves.

The clearer you are on your own principles and values, the more effective you can be as a leader. The more visible and impactful a leader you are, the more important this is.?

Using principles and values to understand organisational cultures

A fascinating and very useful model to explore how the principles and values of human groups can differ was outlined by Clare Graves[1] and then coloured in by Spiral Dynamics[2], with further deep insights added by many including Tad James[3].?

The model defines eight levels of values-based operation and can be applied to groups, teams, organisations and other larger cultures. The analogies and colours added since make the model easy to understand and remember, while some of the deeper insights in the model come from the two character mnemonics, which relate to the existential problems and challenges (system outside) faced by groups operating at these levels and the coping strategies (thinking inside) they would typically deploy.

Graves ECLET (emergent cyclical levels of existence) model levels:

1. AN (Beige) Survival oriented - Individualistic: Think lone wolf, behaviour driven by instinct and physiological needs. System outside: Raw nature, Thinking inside: Animalistic.

2. BO (Purple) Tribal oriented - Tribal: Tribal collective identity, rituals and magic. System outside: Scary and mysterious, Thinking inside: Rituals; huddle for safety.

3. CP (Red) Aggression and power oriented - Empiric: Power, assertiveness, individual expression and domination; loyalty to power.? System outside: Dangerous and violent, Thinking inside: Fight to survive.

4. DQ (Blue) System, order and control oriented -? Army or Church: Structure, order, authority, control, rules and systems; passive hierarchy, loyalty to status, cause or higher meaning.? System outside: Divine power, authority and guilt, Thinking inside: Obey righteous higher powers.

5. ER (Orange) Achievement and success - Entrepreneurial: Progress, competition and individual success; active hierarchy, innovation and strategy.? System outside: Wealth, power and opportunity, Thinking inside: Test, experiment, compete, play to win.

6. FS (Green) Group and cause oriented - Community: Harmony, equality, social responsibility; consensus, sharing, inclusion and nurturing. System outside: Humanity as a whole, Thinking inside: Form communities, seek consensus.

7. GT (Yellow) Integration and adaptability oriented - Integrated self: Systemic-existential, functional, cognitive, understanding complexity, interrelation and the big picture, systems thinking, flexibility to operate at any of the levels below. A significant evolution from level 5 with a deeper appreciation of complexity and the nature of things, and without selfishness and ego.? System outside: Complexity and fragility of humanity and nature, Thinking inside: Freedom, flexibility, questioning and understanding.

8. HU (Turquoise) Holistic and unity oriented - Holistic Us: Intuitive-existential, embracing a holistic view of existence, uniting and knowledge. Well-being of the people, planet and universe. System outside: The interconnectedness of everything, Thinking inside: Seeking greater purpose and understanding.

A fascinating pattern of this model is that all the odd numbered levels (left) are fairly individually oriented (express self), while the even numbered levels (right) are group and community oriented (sacrifice self), and this led to the alternating double helix style shape the model is often perceived in. There is a lot more to this model if you are interested in exploring more; particularly the characterisation of the problems and strategies for each level and how this relates at team, group, community, organisation and even macro conceptual levels.

This model is not to imply that a group or organisation will progress through these levels, or will align to one level in its entirety, but that the principles, values and behaviours that people in the group demonstrate and that drive the organisation will tend to align with one or more levels. The model can really help us understand how conflict occurs between an individual and the group or organisation they are part of. Note that principles and values conflict is similar yet different to value conflict from Value dimension 1-1. There can be similar misalignment between individuals and individuals and groups, but principles and values are related to much deeper and more nebulous beliefs and principles by which we operate mostly unconsciously, rather than what we value and find important closer to the surface.?

If there is a misalignment between the values levels an individual prefers to and is willing to operate at and the organisation around it, this can create a strong feeling of disharmony and conflict in the person and the people around them. Overlaying the communication issues we explore in 2-1 Communicating over such an ambiguous and unscientific concept as principles and values and increasing the dial on the organisation size magnifies the friction further. You are likely to observe different areas of the organisation will operate with more prevalence of differing levels, a classic example being Sales (level 5) and HR (level 6), but let me reiterate; do not assign levels as an identity to a group, or assume any group only operates at this level. It is also worth considering that the values level that an organisation may use to define its core values and mission statement might not align with the way it actually operates. This can further magnify the values conflict.

To apply this practically and effectively, you can consider which values levels you have experienced in the past and which you feel most comfortable operating at, and then look for signals for which levels are most familiar in the organisation(s) you are involved in and operate in. More on this later.

Applying principles and values to your self development

A very useful model for exploring principles in your personal development is the Barrett values model[4], which is an extension of Maslow’s hierarchy of needs [5].

This defines seven values levels which many people experience themselves moving through steadily through the course of their life and career. This is not always linear and in practice people will often still feel some aspects of previous levels not completely fulfilled, but if there are significant aspects of previous levels that are unfulfilled then this will limit the ability to perceive, relate to, understand, explore and fulfil subsequent levels.

Barrett values model levels:

1: Viability / Survival (Maslow’s Physiological Needs): Basic survival, security, and financial stability.

2: Relationships (Maslow’s Safety Needs): Building relationships, safety, and a sense of belonging.

3: Performance / Self-Esteem (Maslow’s Belonging and Esteem Needs): Self-worth, recognition, and social status.

4: Evolution / Transformation (Bridging Level): Shift from self-interest to self-actualisation, involving personal growth and adaptability.

5: Alignment / Internal Cohesion (Maslow’s Self-Actualisation): Purpose, integrity, and internal alignment.

6: Collaboration / Making a Difference (Beyond Maslow’s Hierarchy): Service to others and creating a positive impact.

7: Contribution / Service (Beyond Maslow’s Hierarchy): The greater good, long-term sustainability, and leaving a legacy.

Continuing the use of shape to provide understanding, Richard Barrett and the Barrett Values Centre describe the model in an hourglass-like shape, with a lower foundation cone of the first three levels, transformation level for an evolution in the middle and an expanding cone of impact above for the latter three levels.?

Some of the real power in this model is that from using it to unlock progress of personal and emotional development; in yourself and others. From the levels you can see how unmet needs or even just unresolved feelings or limiting beliefs created from events in prior stages of life can significantly prevent people from progressing in experiencing the later levels and furthering their success and happiness in life.??

Your leadership principles and the spheres of scope

I imagine you can see how powerful it can be for a leader to know and understand their own principles and values, and be aware of how they align or conflict with others they work with.?

A third powerful model that you can use to practically unlock your leadership capabilities through principles is Covey’s Principle-centred leadership[6].?

Some people like to think at very high levels of abstraction (Global, in the chunk size filter) will relish sitting down and defining their principles and values at an esoteric level, but others will not. Covey’s model outlines six principles that are a useful starting point if you aren’t in the market for or find it hard to define your own:

Covey's principles

Integrity: Aligning actions with values and ensuring consistency between words and behaviours.

Trust: Building relationships through reliability, openness, and competence.

Responsibility: Taking ownership and accountability for one's actions.

Mutual Respect: Treating everyone with dignity, recognising others' worth and potential.

Fairness: Operating with a mindset of justice, inclusion and impartiality in all decisions.

Growth: Focusing on personal and collective development and growth.

Covey’s model also identifies four levels of leadership, each focusing on a different sphere of influence the principles are used across:

Covey's levels of scope

Personal: Personal Leadership; Leading oneself through self-discipline, character, and integrity. Involves identifying and living by core principles, managing oneself, and maintaining emotional balance.

Interpersonal: Interpersonal Leadership; Building trust-based relationships with others. Emphasises effective communication, active listening, empathy, and fostering mutual respect.

Team: Managerial Leadership; Leading teams by creating effective work environments and nurturing others. Focuses on team building, delegating, mentoring, and cultivating a shared vision.

Organisation: Organisational Leadership; Encompassing vision-setting, aligning systems and structures with core values, and promoting an empowering culture.

These levels (simplified by this author) are very handy for you to use to consider the spheres of connection that principles and values can exist in, be demonstrated, aligned and can conflict across. You can apply a lens of Graves’ values levels, Covey’s principles or your own set of principles across any of these four succinct levels of scope, and also in comparing across scopes (say between teams, between organisations, or between a team or an organisation.

Practically applying principles and values to your leadership style

Lots of useful models; how do we use them together practically??

Use the Barrett values model to understand yourself, what needs are being met and what stage on the development journey you are. I’d encourage you not to think of the levels as linear and in a binary met or not sense. It is more useful to think about what percentage or how complete you feel your needs are met at each level, what is preventing you from meeting these needs and experiencing this level successfully, and what you can do to improve or develop this further.?

Use the Graves ECLET model to increase your awareness of yourself, how you prefer to operate, and all the teams, groups, organisations, entities and cultures you interact with, influence and are influenced by. Again these levels are not directly relatable on their own. A team, organisation or culture may seem to relate predominantly to a given level, but there are nuances within each that grow in relation to the scale of the group. Spotting patterns, understanding what problems are being experienced and what internal strategies are being used can help you navigate, work with and develop these groups and cultures.

Create your own definition on your core principles and values if you are minded to, or use Covey’s principles or an adaptation of them if you feel these resonate. Being clear on your own principles and values really helps you with decision making and action on the conscious and subconscious levels, and will greatly improve your ability to identify and understand values conflicts between you and the groups, organisations and cultures you interact with.

Use Covey’s scope levels to practically apply these insights from the Graves model, your own evolution through the Barrett values levels, and your principles and values across different scopes across and within organisations. The alignment, conflict, and comparisons of the different models can really help to understand why things happen and how to operate more effectively.

The clearer you are on your own principles and values, and the principles and values of the groups, teams, organisations and cultures you operate with, the more effective you can be as a leader.?

This article ended up being too long to include fictional story elements of how to practically apply these models, but DM me if you’re interested in how Josh and Chloe experienced this.

[1] Graves, Clare W. (1970). Levels of Human Existence.?

[2] Beck, Don E., & Cowan, Christopher C. (1996). Spiral Dynamics: Mastering Values, Leadership, and Change. Malden, MA: Blackwell Publishing.

[3] James, Tad, & Woodsmall, Wyatt (1988). Time Line Therapy and the Basis of Personality. Cupertino, CA: Meta Publications.

[4] Barrett, Richard (1998). Liberating the Corporate Soul: Building a Visionary Organization. Boston, MA: Butterworth-Heinemann.

[5] Maslow, Abraham H. (1943). A Theory of Human Motivation. Psychological Review, 50, 370-396.

[6] Covey, Stephen R. (1991). Principle-Centered Leadership. New York, NY: Simon & Schuster.

This content by James Carter is licensed under CC BY 4.0