Developed by The Executive Coaching Forum

Third Edition April 2004

Copyright 2004 by The Executive Coaching Forum
All Rights Reserved
(See Copyright note below.)

Overarching Principles for Executive Coaching

Overarching principles are the values or aspirational goals that guide the coaching process. These principles provide a compass that the coach, the executive, and other members of the executive’s organization will use to set, maintain, and correct their course of action.

1. Systems Perspective

Executive coaching is one of many approaches or types of interventions that can be used to promote organizational and leadership development. The goal of developing a single leader must always be pursued within the larger objective of organizational success. Since executive coaching should be conducted as one of the components of an overall plan for organizational development, executive and coach must both be aware of the larger objectives.

Often the components of the executive coaching process are single, discrete activities in a larger organizational development initiative. These components include pre-coaching needs analysis and planning, contracting, data gathering, goal setting, coaching, measuring and reporting results, and transitioning to long-term development. Such coaching activities do not usually have the impact of full executive coaching unless they are conducted as part of the process described under Guidelines for Practice in this Handbook.

The coach must have enough expertise in organizational dynamics and business management to conduct the coaching with awareness and understanding of the systems issues. Approaching executive coaching from a systems perspective requires the coach to recognize and appreciate the complex organizational dynamics in which the executive operates. The coach ensures a systemic approach through continual awareness of the impact of the coaching process on everyone in the system and vice versa. Accordingly, the coach encourages a shift in the executive’s viewpoint, from seeing himself as separate to recognizing his interdependence with other people and processes in the organization. This approach encourages respect for the complexity of organizational life and an ability to penetrate beyond this complexity to the underlying structures. In effect, the coach helps the executive to see both “the forest and the trees.”

Coaching from a systems perspective helps coach and the executive assess development needs. By thinking in terms of the big picture and core issues, both partners will understand long- and short-term strategies and how all the pieces of the organization fit together into a whole. Systems thinking also encourages all partners to appreciate the impact of the executive’s behavioral change on other facets of the organization.

Executive’s Commitments

• Explore changes in vision, values, and behaviors.
• Examine how your own behaviors and actions affect the systems in which you operate.
• Work in open exploration with your coach; help your coach to understand the forces of the organizational system.
• During the coaching process, take responsibility for your actions and remain aware of the impact of your behavioral changes on others and the organization as a whole.

Coach’s Commitments

• See the executive, his position, and the organization through multiple lenses and perspectives.
• Maintain an objective and impartial perspective by resisting collusion with the executive or the organization.
• Recognize and appreciate the complexity of the organizational structure in which the executive functions.
• Encourage the executive to explore both long- and short-term views.
• Recognize the interaction of all parts in the whole—especially how change in one of the executive’s behaviors may affect other behaviors and other people.
• Help the executive distinguish between high- and low-leverage changes. Encourage commitment to the highest-leverage actions to achieve results.

Other Partners’ Commitments

• Identify and share organizational information that may help the coach and the executive recognize and understand the context, organizational forces, business-related issues, and financial constraints they must factor into the coaching.
• Guide the coach regarding organizational changes that may influence the coaching.

Be willing to examine and possibly change aspects of the organizational system in order to improve both the executive’s and the organization’s performance.

2. Results Orientation

Executive coaching is planned and executed with a focus on specific, desired results. The executive, her coach, and the organization begin by deciding the ultimate goals of the coaching. Then they agree on specific results for each goal. Key members of the coaching partnership sign off on a written coaching plan that specifies expected deadlines for accomplishing each goal. Appropriate measurements are applied to each goal, including follow-up and feedback reports. Actual activities, during the coaching sessions and in between, focus specifically on achieving the agreed-upon goals for the executive and her organization.

Executive’s Commitments

• Take responsibility for focusing the coaching on the results you care about most.
• Commit adequate time between coaching sessions to work on the results.
• Prepare well for each coaching session.
• Monitor your own results and communicate with coaching stakeholders about your accomplishments and the gaps that still exist.
• Enlist support to attain results.

Coach’s Commitments

• Push the executive and her organization to be specific about desired accomplishments and how results will be measured.
• Structure each coaching session with a results-driven agenda, following up on previous meetings and the actions taken between sessions.
• Facilitate communication between the executive and the organization about what the executive is working on, her progress, and her support needs.
• Plan follow-up meetings to track progress toward coaching goals. Drive these meetings even in the face of the organization’s work demands.
• Continually check in with the executive to update coaching goals based on changes in her role, the business environment, and priorities.
• Focus coaching sessions on specific issues, executive development, and action items that contribute to the coaching goals.

Other Partners’ Commitments

• Communicate directly about what you most want and need the executive to do.
• Hold the executive and the coach accountable to the agreed-upon goals.
• Give constant feedback, both positive and negative, to help both the executive and coach stay on track.
• Demonstrate your trust in the executive.
• Follow through with the commitments you make as part of the coaching to provide support, attend meetings, communicate with others, and remove barriers.

3. Business Focus

Executive coaching is primarily concerned with the development of the executive in the context of organizational needs. The coaching objective is to maximize the executive’s effectiveness and his contribution to the organization. The coach develops an understanding of the broader business context in which the executive operates, with particular emphasis on key business initiatives directly relevant to the executive. The executive and coach then agree upon specific results that best reflect the organization’s business objectives. Successful executive coaching links a business focus with human processes by closely aligning the executive’s development with critical business needs.

Executive’s Commitments

• As soon as coaching begins, inform your coach of any relevant information about your company, its business strategy, your key initiatives, and how your role fits into the overall strategy.
• Regularly update your coach on any changes in business direction or outlook that might influence business strategy, your role, or your measures of success. Adapt your development needs as appropriate.
• Take ultimate responsibility for aligning your coaching with the organization’s business focus.

Coach’s Commitments

• Strive to maximize the executive’s contribution to the organization’s needs.
• Maintain an ongoing awareness of the executive’s business and leadership development objectives, market outlook, competition, products and services, and clients or customers.
• Understand the indicators of success and key business metrics that determine how the organization evaluates the executive’s performance and results.
• Be flexible in adapting the executive’s development needs to changing business priorities.

Other Partners’ Commitments

• Provide the coach with enough information to understand the context for the coaching. Such information may include an overview of the organization, strategic and business planning documents, organizational charts, and key business initiatives.

Whenever possible, inform the coach of changes in the organization that may affect the executive, including mergers and acquisitions, restructuring or downsizing, changes in leadership, key roles and relationships, and relevant business initiatives.

4. Partnership

Although executive coaching focuses primarily on individual work with an executive, it is ultimately an organizational intervention. The executive and her coach are obviously at the center of the process, but other stakeholders are also involved. They may include the executive’s manager, her direct reports, the Human Resources business partner or generalist, the individual responsible for executive development, training, or organizational development, and other executives or consultants. The time commitment and level of involvement will vary for each stakeholder. However, for the coaching outcome to be of the greatest benefit for the organization as a whole, all stakeholders must see themselves as partners in the coaching process.

Executive’s Commitments

• Assume ownership of your learning. Use your coach as a consultant to help you maximize your unique learning style.
• Be forthright about what is and isn’t working in coaching sessions.
• Engage wholeheartedly in the agreed-upon coaching assignments.
• Take required actions for learning, and reflect on those actions.

Coach’s Commitments

• Maintain the highest level of professionalism in serving both the executive and the organization as your clients.
• Communicate openly about the progress of the coaching with the executive and other stakeholders (within the limits of agreed-upon confidentiality).
• Invest in the professional and personal success of the executive and in the success of her organization.

Other Partners’ Commitments

• View the coach as a partner with the organization, working to increase both organizational and executive learning.
• Provide feedback, within the confines of confidentiality agreements, to both the coach and the executive in the initial data-gathering phase and throughout the coaching.
• Invest in a successful outcome by becoming familiar with and consistently applying the overarching principles and guidelines set out in this Handbook.
  

5. Competence

Executive coaching requires the use of highly skilled and experienced professional coaches. These coaches maintain high standards of competence and exercise careful judgment in determining how best to serve their clients’ needs, choosing the most appropriate methods from their range of expertise.

We believe that competence of an executive coach is not determined by any arbitrary academic degree or coaching certification (although many such degrees or certifications may represent completion of education, training, and objective evaluation on some of the following relevant topics and capabilities). Rather, effective executive coaches are knowledgeable and competent in applying the following areas of expertise: Individual and leadership assessment; adult learning; organizational systems and development; change management; leadership development; business knowledge and expertise (e.g. strategic planning, finance, sales, marketing, the executive’s industry and business environment, etc.); and other special areas of expertise demanded by the needs and coaching goals of the executive they coach (e.g. career development, board relations, team building, organizational structure, conflict management, other specific business functions and specialties). They fully understand and adhere to the principles and guidelines in this Handbook. And finally, competent executive coaches are perceived by the executives they coach as capable, independent, practical, and interested in the executive and his/her business, flexible, and able to serve as a good role model.

Executive coaches recognize the limitations of their expertise and provide only those services for which they are qualified by education, training, or experience. They constantly strive to increase their competence through client interactions, continuing their education and staying up to date with best practices in coaching.

Executive’s Commitments

• Determine your own criteria for a coach, including style, training, and specific areas of competence, expertise, and experience. Apply these criteria to selecting the best coach for you.
• Take an active role in your own development by providing feedback to the coach on how the coaching is progressing and what gaps still exist.
• Communicate with stakeholders of your coaching about progress and results.
• Provide your organization and your coach with feedback, both positive and negative, about the effectiveness of the coach and the coaching process.

Coach’s Commitments

• Consistently operate at the highest level of competence.
• Accurately represent to clients your training, experience, areas of expertise, and limitations.
• Understand the requirements of each coaching engagement. Be objective and flexible in choosing methods to meet these requirements.
• Be aware of your limitations; decline assignments that are beyond your experience, knowledge, capability, or interest, or where there is not a good match between you and the executive.
• Maintain a network of contacts with other qualified professionals and refer clients when you are not the best possible resource.
• Update your knowledge of the client organization’s core business as well as best practices in coaching.
• Extend your knowledge and skills through continuing education and other professional development activities.
• Properly apply psychological and organizational assessment techniques, tests, or instruments. Use only those for which you are qualified or certified.

Other Partners’ Commitments

• Maintain high standards in screening and recommending executive coaches for assignments.
• If you are responsible for providing coaching referrals or information to your organization, keep current on the reputation of coaches and best coaching practices.
• Select coaches based on their competence and fit with the executive’s and the client organization’s needs.
• Monitor the effectiveness of coaching in the organization and provide feedback to both the coaches and the executives.
• Evaluate the competency of coaches and their results to determine their future use in your organization.
  

6. Integrity

Upon beginning executive coaching, the executive is placing significant trust in the coach and the organization. He is allowing himself to be vulnerable and open. To ensure that he remains receptive to feedback, new ideas, and learning, the organization, coach, and other stakeholders must establish and maintain a psychologically safe and respectful environment.

The relationship between the executive and his coach is sensitive and often private. To maintain this relationship, all stakeholders must be clear in their presentation of issues, organizational information, coaching goals, coaching activities, and ground rules for confidentiality. All partners must adhere to clearly articulated guidelines and rules of engagement. Breaches of trust or actions that run counter to agreements and guidelines are extremely serious, especially if the executive suffers negative consequences such as a loss of reputation, income, or relationships. All parties must therefore function at the highest levels of integrity and candor when involved in executive coaching activities.

Executive’s Commitments

• Trust your coach and the coaching process once you are assured of appropriate safeguards. Remain open, willing to learn, and appropriately vulnerable.
• Take an active role in establishing appropriate guidelines for your coaching.
• Adhere to agreements of confidentiality, anonymity, and information sharing not only about you, but also about everyone involved.
• Work within the coaching contract and its learning goals, unless all parties revise these goals. (For example, do not treat a developmental coaching contract as a job-search opportunity.)
• Be honest and candid with your coach about you and your situation.
• Follow up on your commitments.
• Provide your coach and the organization with forthright and constructive performance-improvement feedback.

Coach’s Commitments

• Develop and adhere to a set of professional guidelines, especially in the areas of confidentiality, conflict of interest, and expertise.
• Abide by the organization’s existing values, ethical practices, confidentiality and proprietary agreements, business practices, and Human Resource policies.
• Honor the relationship you have established with both the executive and the organization, seeking resolution when conflicts arise.
• Help the organization to develop guidelines on how its managers and employees will learn in their jobs. Follow and embellish an organization’s learning contract. Strictly apply existing standards for dealing with personal data, or provide such standards if the organization does not have any.
• Discuss with the executive organizational requests for information about him and his coaching, including status updates, feedback data, and input for reviews.
• Act in the executive’s best interests and well-being.

Other Partners’ Commitments

• Provide coaching guidelines, standards, and business practices that meet the needs of all parties.
• Present your perspective on the need for coaching, the executive’s situation, the organizational context, performance concerns, and organizational goals for coaching in a realistic and forthright manner.
• Inform all parties if the goals or information you have provided change significantly during the course of the coaching.
• Establish and adhere to standards for the learning contract, including purpose and objectives, timelines, scope and types of assessment, measures of success, identification and roles of stakeholders, confidentiality agreements, use of personal and coaching information, and distribution of information.
• Establish a problem-resolution process for coaching issues, especially ethical practices.
• Provide both executive and coach with ongoing feedback and support.
• Function within the learning and business agreements. Avoid putting the coach or executive in difficult positions by requesting feedback or personal data, input for performance reviews, or promotion discussions.
  

7. Judgment

Executive coaching is a balance of science, art, and expert improvisation. No matter how many guidelines are developed and followed, successful coaching requires that you continually step back, evaluate the situation, weigh the options, and apply good judgment for well-balanced decisions. An executive’s influence is determined not only by her attributes and skills, but also by how others perceive her, plus her match to the needs, circumstances, and culture of the organization. All coaching partners offer different perspectives which, combined with good judgment, provide the executive with a dynamic learning experience.

There is no recipe for the perfect coaching experience. Along the way, unpredictable challenges, conflicts, and opportunities arise. Whether these situations help or hinder the executive’s development depends upon the judgment stakeholders’ exercise in an ever-changing work environment.

Executive’s Commitments

• Maintain an open mind and be willing to change it.
• Focus on the greater good.
• Weigh all perspectives.
• Ask for help.
• Be flexible.
• Try new approaches.
• Accept the credit and blame when they are yours. Admit your strengths and weaknesses to be able to deal with them effectively.
• Make decisions by balancing hard data with intuition.
• Be honest and direct.
• Take reasonable risks.

Coach’s Commitments

• Always maintain a high level of professionalism.
• Do not mix personal and professional relationships that could bias your judgment in a coaching situation.
• Avoid any activities that could result in a conflict of interest.
• Build and maintain a communication network with all coaching partners.
• Listen attentively, with an open mind.
• Be honest and direct about your intentions and points of view.
• Prevent misunderstandings by explaining your activities beforehand whenever they could be misunderstood.
• Do nothing that could be misinterpreted as an impropriety within the standards of the executive’s organization.
• Tailor your approach to the priorities and preferences of the executive and the coaching partnership.
• Bring the members of the partnership together to facilitate decision-making.
• Hear all relevant perspectives and mediate conflicts.

Other Partners’ Commitments

• Focus on the development and success of the organization and the executive.
• Be honest and direct about your goals and perspectives on the organization and the executive.
• Consider all available information before making a judgment.
• Be open-minded.
• Be flexible.
• Support the executive and coach in following through with the judgments they make about the coaching.
• Be balanced in your judgments regarding the coaching: short vs. long term, work vs. personal life, data vs. intuition, and individual vs. organizational good.
  

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