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Jason S. Wrench

About the Authors

Jason S. Wrench (EdD, West Virginia University) is an

associate professor and chair of the Department of

Communication at the State University of New York at

New Paltz. Dr. Wrench specializes in workplace learning

and performance, or the intersection of instructional

communication and organizational communication. His

varied research interests include communibiology,

computer-mediated communication, empirical research

methods, humor, risk/crisis communication, and supervisor-

subordinate interactions. Dr. Wrench regularly consults with individuals and

organizations on workplace communication and as a professional speech coach

for senior executives.

Dr. Wrench has published eight previous books: Intercultural Communication:

Power in Context, Communication, Affect, and Learning in the

Classroom (2000, Tapestry Press); Principles of Public Speaking (2003, The

College Network); Human Communication in Everyday Life: Explanations and

Applications (2008, Allyn & Bacon); Quantitative Research Methods for

Communication: A Hands-On Approach (3rd ed., 2016, Oxford University

Press); The Directory of Communication Related Mental Measures (Summer

2010, National Communication Association); Stand Up, Speak Out: The

Practice and Ethics of Public Speaking (2011, Flat World

Knowledge); Communication Apprehension, Avoidance, and

Effectiveness (2013, Allyn & Bacon); and Training & Development: The

Intersection of Communication & Talent Development in the Modern Workplace

(2014, Kendall Hunt). Dr. Wrench is also the editor of four books on the subject

of organizational communication: Casing Public Relations, (2014, Kendall

Hunt) Casing Organizational Communication (2011, Kendall Hunt), Workplace

Communication for the 21st Century: Tools and Strategies that Impact the

Bottom Line: Vol. 1. Internal Workplace Communication, and Vol. 2. External

Workplace Communication (2013, both with Praeger). Furthermore, Dr. Wrench

has published more than thirty research articles that have appeared in various

journals, including: Communication Quarterly, Communication Research

Reports, Education, Human Communication, Journal of Homosexuality, Journal

of Intercultural Communication, Southern Communication Journal, The Source:

A Journal of Education, and The NACADA Journal (National Association of

Campus Advising).

Narissra Maria Punyanunt-Carter (PhD, Kent State University, 2002) is an

associate professor in the department of communication studies at Texas Tech

University. Narissra teaches interpersonal communication, gender, nonverbal,

and romantic relationships. Dr. Punyanunt-Carter's research interests include

romantic relationships, computer-mediated communication, father-daughter

Narissra Maria

Punyanunt-Carter

communication, and mass media portrayals of romance.

She is a consultant for several book publishers, such as

Bedford St. Martin’s, Rowan & Littlefield, Oxford,

MCGraw-Hill, and Wadsworth. She has published many

articles, which have been featured in Southern

Communication Journal, Howard Journal of

Communication, Communication Research Reports, and

Communication Quarterly. She has devoted an

extraordinary amount of work towards her discipline,

department, the university, and the community of Lubbock.

She has served as a permanent or ad-hoc reviewer for ten different peer-reviewed

journals. She have been an advisor for more than five different Texas Tech

University student organizations and one national honor society. She was

awarded Advisor of the Year 2013 by the National Society of Collegiate

Scholars (honor society). She is the TTU advisor for Delta Phi Omega and Delta

Epsilon Psi (the first sorority and fraternity for Asian Americans). She has

published nine book chapters, forty-five journal articles, one book review, and

one book. She has been listed as a lead article writer many times. She has also

received a top paper award at a regional conference. She served as a mentor for

Mentor Tech (for ten years) as well as for the teaching, learning, professional,

and developmental center. She was recently elected as Vice-Chair Elect of the

Mass Communication division of the National Communication Association.

Recently, she was awarded by the Honors College as the “Faculty Member of the

Year.”

Mark Ward Sr.

Mark Ward Sr. (PhD, Clemson University) is an assistant

professor of communication at the University of Houston-

Victoria in Victoria, Texas, where he teaches organizational

and business communication, public relations, leadership,

conflict management, intercultural communication, and

communication theory. His recent book, Deadly Documents

(2014, Baywood Publishing), examines the organizational

culture of the Holocaust through analyses of everyday Nazi

bureaucratic documents, and his work on the subject has

appeared in the Journal of Business and Technical

Communication, Journal of Technical Writing and Communication, and

Holocaust Studies. Dr. Ward’s research interests include ethnography of religious

organizations and intersections of religion and media. He serves on the Editorial

Board of the Journal of Communication and Religion and Executive Council of

the Religious Communication Association, which named his ethnography of

religious media its 2014 Article of the Year. His work on religious organizations

and media has been published in Intercultural Communication Studies, Journal

of Communication and Religion, International Journal of Nonprofit and

Voluntary Organizations, Journal of Media and Religion, Journal of Radio and

Audio Media, and other venues. Author of two books on the history of religious

broadcasting, he is editor of the multivolume series, The Electronic Church in

the Digital Age: Cultural Impacts of Evangelical Mass Media (in press,

Praeger). Before entering academe, Dr. Ward was communications director and

journal editor for several national and international nonprofits and industry trade

associations. He continues to write regularly as an independent business

journalist.

Acknowledgments

The authors wish to thank their friends, family, and colleagues along with all of

those at Flat World Knowledge who have shepherded this book along the way.

The authors would also like to thank the following colleagues who have

reviewed the text and provided comprehensive feedback and suggestions for

improving the material:

Janice W. Anderson, SUNY – New Paltz

Michael Bannon, University of Pittsburgh

Jaime Bochantin, Western Illinois University/DePaul University

Susan Easton, Rollins College

Francine Edwards, Delaware State University

Cerise Glenn, University of North Carolina at Greensboro

Sandy Hanson, The University of North Carolina at Charlotte

Stephanie Klatzke, Northern Kentucky University

Amber Messersmith, University of Nebraska-Kearney

Diane Monahan, Saint Leo University

Tracy Nichols, Austin Peay State University

Chad O’Connor, Northeastern University

Jennifer Ohs, Saint Louis University

James Parker, Austin Peay State University

Brian Richardson, University of North Texas

Sergei Samoilenko, George Mason University

Suchitra Shenoy, DePaul University

Preface

The face of business as we know it is rapidly changing, so to keep up with these

changes, organizations are forced to look for new strategies that are often

completely “outside the box.” As a necessity, many organizations are now forced

to compete in a global market. For example, one small business in Berlin, Ohio,

Memory Lane Magnets, the retail/wholesale division of the Catalpa Trading

Company, began by making and selling magnets out of an old-fashioned malt

shop. However, when the business decided to put itself on the Internet, the

business quickly found that many of their orders were international. In essence, a

small business went from being a very local establishment to an international

retailer very quickly because of the Internet. However, it’s not just small

businesses that have global presences.

Dr. John S. Pemberton of Atlanta, Georgia, created a formula for a new drink in

1886, which was a household staple starting in 1895. He created a sugary syrup

that when combined with carbonated water became what is widely known today

as Coca-Cola. Today, Coca-Cola has more than 400 beverage brands in more

than 200 countries. According to Shenkar and Lou, Coca-Cola “relied on

international markets for 73 percent of its gallon volume in 2005. At 29.4

percent of the total, net operating revenue was highest for the European Union in

the same year, followed by North America with 28.4 percent, and 19.5 percent

for North Asia, Eurasia, and the Middle East (combined).” [1] This process of

taking a corporation from one small community and making it a global

phenomenon is called globalization, or “the acceleration and extension of

interdependence of economic and business activities across national

boundaries.” [2] In fact, Kearney demonstrated that 62 countries accounted for 96

percent of the accumulated gross domestic product (GDP). [3] All 62 countries

have very active globalization among their corporate sectors. As a result of

globalization, the need for people skilled in international business has become a

necessity. According to Shenkar and Lou, international business refers to

“business activities that involve the transfer of resources, goods, services,

knowledge, skills, or information across national boundaries.” [4] According to

the IBM Global CEO study in 2008, one of the skills necessary for international

business is recognizing “the importance of social connections within and across

organizations.” [5] Specifically, “Social networking and real-time collaboration

tools improve communication and close the distance between people in different

locations. Good ideas develop and spread quicker, and problems are solved

faster.” [6] In essence, IBM’s study of more than 1,000 chief executive officers

(CEOs) in international businesses found that effective communication is one of

the most important parts of globalization.

Effective communication is not only important for international business, but

highly bankable as well. IBM’s 2008 study on global human capital related the

case of the Maybank Group, a leader in the banking industry in Malaysia. In

2007, Maybank instituted a corporate training program for mid-level managers

that emphasized skills in communication, coaching, and leadership. While the

initial group of trainees consisted of seventy-five midlevel managers, those

managers have subsequently trained more than three thousand individuals in

communication, coaching, and leadership. The Maybank Group estimates that as

a result of this skills training “an estimated US$20 million in business impact

has already been achieved.” [7]

Ultimately, understanding organizational communication is necessary for all

organizations. This book is titled Organizational Communication: Theory,

Research, and Practice. The subtitle of this book really explains the approach we

took when writing this book. Our goal was really examine the intersection

among organizational communication as an actual practice, the theoretical basis

within the field of organizational communication, and the wealth of research

related to organizational communication both within the field of communication

studies but also within closely related fields like industrial psychology, talent

development, organizational behavior, etc.

This book will explore the best in organizational communication theory,

research, and practice. Chapter 3 and Chapter 4 will introduce a wide range of

both historic and modern theories related to organizational communication.

Theories help organizational communication scholars understand how

communication within, between, and among organizational stakeholders occurs.

A theory is a well-substantiated system of scientific facts that explains a natural

phenomenon. In essence, theories stem from previous scientific research in an

effort to help scientists explain, predict, and control a natural phenomenon. We

will discuss more of the concept of the word theory and what it implies in

Chapter 3. While Chapter 3 and Chapter 4 will introduce you to the core theories

in organizational communication, a variety of other theories will be introduced

throughout the text when appropriate. Obviously, this book cannot introduce you

to every communication theory or even every organizational communication

theory, so please understand that the theories discussed in this book are just the

highlights of an ongoing body of research.

In addition to making sure that the book is full of theories to help organizations

explain, predict, and control organizational communication phenomena, this

book will examine the best of historical and modern research in organizational

communication. Obviously, the whole book is based on organizational

communication research, but we will periodically highlight individual

researchers who have made important contributions to the field and new avenues

of research being undertaken by organizational communication scholars. Our

goal with this text is to introduce you to both the classic research and the current

research that is shaping the field of organizational communication.

Lastly, this book will introduce you to a series of “best practices” in

organizational communication. According to Webster’s New Millennium

Dictionary of English, a best practice is “a practice which is most appropriate

under the circumstances, esp. as considered acceptable or regulated in business;

a technique or methodology that, through experience and research, has reliably

led to a desired or optimum result.” [8] In essence, when we use the term “best

practice,” we are talking about how to implement the concepts discussed in this

book in a realistic manner in your organization. Some of the best practices

discussed in this book are from a subordinate’s perspective, and others are from

a supervisor’s perspective. Whether one is a low-level employee or a CEO, there

are practices that research has shown will increase both the quality and quantity

of communication within an organization.

Students Read This

According to the Microsoft Office Personal Productivity Challenge, which

surveyed 38,000 employees in 200 countries, the biggest challenges

organizations face are unclear objectives, lack of team communication, and

ineffective meetings. Furthermore, the study found that workers average only

three productive days out of a typical five-day work week. Whether reading

the numerous e-mails one gets every day (42 e-mails per day internationally;

56 e-mails per day in the United States) or spending an average of 5.6 hours

per week sitting in meetings that 69 percent of those surveyed say are useless,

people are bombarded by communication opportunities in modern

organizations. As a student taking your first or second course in

organizational communication, you will no doubt spend a huge portion of the

rest of your life working within, volunteering for, or utilizing organizations.

As such, understanding organizational communication is ultimately in your

best interest.

Even corporate America has come to the realization that organizational

communication is very important. Type the phrase “communication skills”

into any job-search database on the Internet, and you will find thousands of

potential employers realizing the necessity of good communication skills. For

example, we typed “communication skills” into Monster.com and found over

five thousand jobs that used the phrase. When we typed “organizational

communication” into Monster.com, we received over one thousand job

advertisements. We even found more than three hundred job advertisements

for the phrase “business communication.” This process could be done in any

online job search tool (e.g., monster.com, indeed.com).

Furthermore, in the business-book industry, communication is a frequently

addressed topic. Type the phrase “business communication” into a library or

book distributor’s search engine, and you are likely to find thousands of titles.

We typed “business communication” into Barnes & Noble’s website and

found more than fifteen thousand titles that address the subject. While some

of these books are textbooks, most are not. For example, Morrison and

Conaway’s book Kiss, Bow, or Shake Hands: The Bestselling Guide to Doing

Business in More than 60 Countries helps individuals navigate the world of

nonverbal communication in international business. [9] Crowley and Elster’s

book Working with You Is Killing Me: Freeing Yourself from Emotional Traps

at Work is all about how to communicate and interact with coworkers who are

driving you crazy. [10] There’s even a book that attempts to explain how to

understand all the double-talk and nonsense that one hears in modern

business: Why Business People Speak like Idiots: A Bullfighter’s Guide, by

Fugere, Hardaway, and Warshawsky. [11] In essence, there are a lot of people

out there saying they know a thing or two about effective communication in

organizations.

So, how is this book different from other books on the market? First, this book

is based in scientific evidence and not the authors’ experiences and opinions.

Although we do offer our experiences to help illustrate various concepts, we

do not recommend behaving in a specific way within an organization because

it has worked for us. Instead, the concepts and information within this book

have been researched by qualified social scientists in a variety of fields.

When there is conflicting information about a specific topic, we will let you

know that not everyone has found the same thing, which does happen.

Second, this book is designed to tell it like it is and not how we wish it was.

The fact is, organizations are often messy and do not follow “the guidelines.”

Organizations can be downright cruel and unethical places, and it is highly

likely that at some point you’ll find yourself in a less-than-perfect

organization. For this reason, we will discuss topics like bullying,

harassment, and discrimination. Lastly, we try to make this book as relevant

to your life as humanly possible. We realize that the information within this

book can have a real impact on your future. We often have students who are

able to take the information taught in organizational communication and

immediately start applying it to their own lives. However, there are also some

foundational concepts that may not be as clearly applicable. Often,

foundational concepts exist within textbooks as a way to prepare you for

more complicated material later in the book. For example, we take a

historical approach to various concepts in this book. We strongly believe that

understanding where something came from will help you understand how and

why it is used in modern business today. The simple fact is that concepts

often build on one another, so to understand a current concept you need to

understand where that concept came from in the first place. For example, in

Chapter 2 we will examine a number of theories of organizational

communication. Each new generation of theory came about to some extent

because of problems with the previous one, so to understand the most recent

organizational theories, you must understand the historic organizational

theories as well.

Overall, we hope that you find this book enriching both in your academic life

and in your professional life. The book contains various features that will

help you learn the content. Each chapter starts with a set of objectives and

ends with a series of brief case studies and discussion/review questions. The

objectives can help you see the major concepts in the chapter right up front.

You can also use the objectives after you’ve completed reading the chapter to

make sure you understand its major components. The case studies are

designed to help you see how content within the chapter is actually practiced

in the modern business world. Each case study is followed by a series of

questions designed to help you critically use the chapter’s content. Lastly,

each chapter has a set of discussion/review questions, which are also

designed to help you think more critically about the chapter’s content.

As for your professional life, we hope that the information contained within

this book will help you manage the organizational world. While one book

cannot save your life or guarantee you career success, money, or eternal

happiness, we can guarantee that this book will prove practical and useful.

Whatever kind of organization you become involved with in life, the

information within this book will help you navigate and understand

organizational communication.

Instructors Read This

We know that choosing the appropriate textbook for your classroom is always

a time-consuming process. If you’re considering adopting this book, thank

you for taking the time to look at this textbook and compare it to other books

on the market. If you’ve already adopted this book, thank you very much, and

we hope you find this book very useful in your own classroom.

Organizational Communication: Theory, Research, and Practice has a lot of

content that is available in other books while including content not available

in other organizational communication books on the market. We’ve also

included a number of pedagogical features in the book to make the reading

experience more meaningful.

The field of organizational communication has undergone an interesting

history over the past century. Starting out as simple how-to manuals for

business speaking and developing into the full-fledged discipline that it is

today, organizational communication is a unique area of study with its own

history, trends, and research methodologies. When selecting an organizational

communication textbook, many professors struggle with finding a book that

is theoretically strong, current, and relevant to their students. First, this book

examines both the historical and modern theories of organizational

communication. While there are clear theory chapters (Chapter 2 and Chapter

3), the book also incorporates other theories throughout the book when

examining various issues. To make this book theoretically strong, we have

included one chapter that examines the historic theories of organizational

communication and one that examines modern theories of organizational

communication. We believe a strong theoretical foundation is important for

any student studying organizational communication.

Second, this book contains information about the history of the field, while

demonstrating the new ideas and avenues of research currently being

undertaken. We believe students should have a firm grasp of this history of

the field, but they also need to know the current state of the field. Throughout

the book, we examine the history behind concepts and then show how those

concepts are currently being used in research.

Lastly, we wanted our book to be relevant to your students. One of the

greatest challenges current professors have is teaching a generation of

students more concerned with how knowledge will impact their lives than

with the process of learning. For this reason, we incorporated our own

personal anecdotes from working in various professions and used a variety of

case studies from real organizations to help students see how the information

contained within the book is actually exhibited within the real working

environment. Furthermore, each chapter ends with a set of discussion/review

questions that ask students to relate and apply the content of the chapter.

In addition to being theoretically strong, current, and relevant to students, we

incorporated three clear directions within this book: an international focus,

communication ethics, and the interdisciplinary tradition of organizational

communication. In a world where multinational corporations and

globalization are commonplace, preparing individuals for interacting with

others in organizations around the world is increasingly important. All three

of the authors of this book have extensive international experience that

includes living abroad and studying international business. Many of the

anecdotes and case studies included in this book use a very specific

international focus to demonstrate how the book’s concepts can be applied to

international organizational communication.

Second, we strongly believe that ethics is an extremely important part of the

modern landscape of organizations. While some books include specific

chapters examining ethics, we’ve decided to include issues of ethics at every

turn in this book. Understanding how to be an ethical communicator in a

modern organization is an extremely important reality in today’s business.

Lastly, our book embraces the interdisciplinary tradition of organizational

communication. While we strongly believe that communication scholars add

a unique perspective to the discussion of organizational communication, we

also realize that there are many scholars in industrial/organizational

psychology, organizational behavior, and organizational sociology who have

strongly impacted our view of organizational communication and continue to

add to the discussion of organizational communication. While this is a book

that first and foremost examines organizational communication, we believe it

is necessary to include numerous variables that appear in modern

organizational communication research but have not made their way into

other organizational communication textbooks (e.g., organizational justice,

organizational citizenship, organizational charlatanism).

In addition to being theoretically strong, current, and relevant to students, we

incorporated three clear directions within this book: an international focus,

communication ethics, and the interdisciplinary tradition of organizational

communication. In a world where multinational corporations and

globalization are commonplace, preparing individuals for interacting with

others in organizations around the world is increasingly important. All three

of the authors of this book have extensive international experience that

includes living abroad and studying international business. Many of the

anecdotes and case studies included in this book use a very specific

international focus to demonstrate how the book’s concepts can be applied to

international organizational communication.

Second, we strongly believe that ethics is an extremely important part of the

modern landscape of organizations. While some books include specific

chapters examining ethics, we’ve decided to include issues of ethics at every

turn in this book. Understanding how to be an ethical communicator in a

modern organization is an extremely important reality in today’s business.

Structure of the Book

Chapter 1 is designed to introduce the world of organizational

communication. Specifically, this chapter provides definitions for both

“organization” and “communication,” followed by a history of the field and

an explanation of the three research traditions used in organizational

communication.

Chapter 1 introduces you to some of the major terms necessary for

understanding organizational communication. The chapter also explores the

history of organizational communication and the major methodological tools

organizational communication scholars have at their disposal to understand

organizational communication.

Chapter 2 specifically delves into the world or organizational communication

ethics. The chapter is broken into three distinct sections: business ethics,

communication ethics, and organizational communication ethics. Ethics is a

very important part of the organizational communication landscape today.

Chapter 3 and Chapter 4 respectively introduce classical and modern theories

of organizational communication. These two chapters demonstrate how the

field has progressed historically in terms of perspectives on organizational

structure and management.

Chapter 5 examines how communication formally and informally occurs

within organizations. Additionally, this chapter provides a brief introduction

to the research practice of communication network analysis.

Chapter 6 delves into the area organizational climate, culture, and

globalization. It’s important in today’s world to understand the importance

that both an organizations climate and culture have on organizational

members. Furthermore, the days when organizations existed in isolation

within specific nation-states are rapidly disappearing. The book looks at both

the nature of globalization and its impact around the world.

Chapter 7 introduces the concept of the importance of leadership within an

organization and its various practices. Furthermore, the chapter delves into

the importance of followership. Too often, leadership discussions focus on

the leader without really investigating the importance of followership.

Chapter 8 delves into the issues of both identity and diversity. The chapter

starts by investigating different approaches that have been applied to

understand individual identities within organizations. The chapter then ends

with a discussion of diversity within the modern organization. As the

demographics within the United States are changing, it’s important for

organizations to celebrate difference.

Chapters 9, 10, 11, and 12 examine how communication actually occurs

within an organization. A variety of different facets related to organizational

communication are examined in these chapters including team/group

communication; organizational socialization; technology; and stress, conflict,

and negotiation.

Chapter 13 is a chapter not normally found in introductory textbooks in

organizational communication – the dark side. Organizations are often

cauldrons of politics, backstabbing, bullying, discrimination, and a range of

other dysfunctional behaviors. Ultimately, we believe that it is important to

look at both the good and the bad aspects of organizational life.

Chapter 14 examines how organizations interact and communicate with

external stakeholders. Specifically, the chapter examines the processes related

to the field of corporate communications (public relations, marketing, sales,

etc.) and the importance of strategic communication (issue management, risk

communication, and crisis communication).

Chapter 15 is designed to introduce students to the professional side of

organizational communication. The chapter examines everything from

organizational development and communication audits to corporate training

and human performance improvement. The goal of this chapter is to show

students some of the possibilities that exist in the professional side of

organizational communication.

The final chapter in this book is designed to help students think about how

Best Practices:

Stakeholders:

they can apply everything within the book to their own professional lives.

The chapter discusses how to sell a degree in organizational communication

to potential employers while also examining basic competencies necessary

for professional corporate communicators. Furthermore, the chapter discusses

more basic issues like resume writing and interviewing for a job.

Overall, these sixteen chapters are designed to give you an overview of the

field of organizational communication. We sincerely hope that this book will

be the first step you take in your journey into the world of organizational

communication. We hope that you are able to avoid ethical pitfalls and strive

for organizational communication that edifies individuals in the workplace

instead of tearing them down. Remember, no organization is perfect because

the people within an organization are never perfect. We cannot expect

organizations to be perfect, but there’s nothing wrong with striving for

perfection.

KEY TERMS AND DEFINITIONS

A practice which is most appropriate under the circumstances, esp. as considered acceptable or regulated in business; a technique or methodology that, through experience and research, has reliably led to a desired or optimum result.

Any party that has an interest in an organization. Stakeholders of a company include stockholders, bondholders, customers, suppliers, employees, and so forth.

[1] Shenkar, O., & Lou, Y. (2007). International business (2nd ed.).

Thousand Oaks, CA: Sage, p. 1.

[2] Shenkar, O., & Lou, Y. (2007). International business (2nd ed.).

Thousand Oaks, CA: Sage, p. 2.

[3] Kearney, A. T. (2005, January/February). Globalization’s last hurrah?

Foreign Policy, 128, p. 39.

[4] Shenkar, O., & Lou, Y. (2007). International business (2nd ed.).

Thousand Oaks, CA: Sage, p. 9.

[5] IBM. (2008). The enterprise of the future: IBM global CEO study.

Somers, NY: IBM Global Business Services, p. 43.

[6] IBM. (2008). The enterprise of the future: IBM global CEO study.

Somers, NY: IBM Global Business Services, p. 43.

[7] IBM. (2008). Unlocking the DNA of the adaptable workforce: The

global human capital study 2008. Somers, NY: IBM Global Business

Services, p. 24.

[8] Best practice. Webster’s new millennium dictionary of English,

preview edition (v 0.9.7). Dictionary.com. Retrieved from

http://dictionary.reference.com/browse/best practice

[9] Morrison, T., & Conaway, W. A. (2006). Kiss, bow, or shake hands:

The bestselling guide to doing business in more than 60 countries (2nd

ed.). Cincinnati, OH: Adams Media.

[10] Crowley, K., & Elster, K. (2006). Working with you is killing me:

Freeing yourself from emotional traps at work. New York, NY: Business

Plus.

[11] Fugere, B., Hardaway, C., & Warshawsky, J. (2005). Why business

people speak like idiots: A bullfighter’s guide. New York, NY: Free Press.

Chapter 1

Introduction to Organizational Communication: Why Communication Matters

© Thinkstock/iStock

We welcome you to the study of organizational communication. In writing this

book, we assume that you have some background in the field of human

communication and probably some exposure to the world of organizations. In

the preface of this book, which we strongly encourage you to read, we discussed

reasons why studying organizational communication matters in the twenty-first

century.

The average employed person in the United States works 7.5 hours per day (7.9

hours per day during the week, 5.5 hours per day on the weekend). [1] The US

Department of Labor further noted that these are just the hours a person spends

in a traditional working environment. People further spend on average about 36

minutes a week interacting with an educational organization, about 43 minutes

shopping, and about 16 minutes attending religious services or volunteering.

When people traditionally hear the word organization, they most often jump

right to the idea of a workplace. However, organization is a much broader term

and covers a lot more ground than just someone’s workplace. As such, hours

spent in an educational environment, shopping, attending religious services, and

volunteering are also examples of someone interacting with or in an

organization.

This book looks at organizational communication as a broad term that

encompasses a wide array of organizational types, which we’ll explore in more

detail elsewhere in this chapter. Even if you take just the average of 7.5 hours

per day that an individual spends “working” in an organization, you will end up

in an organizational environment a little over 111 days per year. If you work for

forty years, you’ll basically spend four of those years at work. We don’t tell you

this to scare you, but to help you understand the importance of knowing how to

interact and behave in organizations. So let’s get started.

[1] US Department of Labor. (2010). American time-use survey—2010

results [Press release]. Retrieved from

http://www.bls.gov/news.release/pdf/atus.pdf.

1.1 What is an Organization?

LEARNING OBJECTIVES

1. Understand the three common components of the various

definitions of the term organization.

2. Differentiate among the four types of organizations: mutual

benefit, business concerns, service, and commonweal.

As with any academic endeavor, you must understand what you are studying

before you can delve into the specifics and intricacies of the subject. For this

reason, we are going to start you with a basic definition for the term

organization. Later, in Chapter 4, we will explore alternative definitions. But for

now, let’s begin with a traditional conception of organization and then look at

three ways to categorize organizational types. These concepts will provide you a

natural bridge to the classical theories of organizational communication

discussed in Chapter 3.

Defining Organization

Many people have attempted to define what is meant by the word organization.

The Defining Organization sidebar contains a partial list taken from common

dictionary definitions and definitions proposed by business, psychology,

economics, and communication scholars.

Dictionary Definition

(1) the act of organizing or the state of being organized; (2) an organized

structure or whole; (3) a business or administrative concern united and

constructed for a particular end; (4) a body of administrative officials, as of a

political party, a government department, etc.; (5) order or system; method. [1]

General Business Definitions

“A system of consciously coordinated activities of two or more persons.” [2]

“The accomplishment of an objective requires collective effort, men set up an

organization designed to coordinate the activities of many persons and to

furnish incentives for others to join them for this purpose.” [3]

“A social unit of people, systematically structured and managed to meet a

need or to pursue collective goals on a continuing basis. All organizations

have a management structure that determines relationships between functions

and positions, and subdivides and delegates roles, responsibilities, and

authority to carry out defined tasks. Organizations are open systems in that

they affect and are affected by the environment beyond their boundaries.” [4]

“A Body of individuals working under a defined system of rules,

assignments, procedures, and relationships designed to achieve identifiable

objectives and goals.” [5]

Organizational Behavior Definitions

“A social unit within which people have achieved somewhat stable relations

(not necessarily face-to-face) among themselves in order to facilitate

obtaining a set of objectives or goals.” [6]

“An organization is a complex system, which includes as subsystems: (1)

management, to interrelate and integrate through appropriate linking

processes all the elements of the system in a manner designed to achieve the

organizational objectives, and (2) a sufficient number of people so that

constant face-to-face interaction is impossible.” [7]

Economics Definition

A shorthand expression for the integrated aggregation of those persons who

are primarily involved in “(1) the undertaking or managing of risk and the

handling of economic uncertainty; (2) planning and innovation; (3)

coordination, administration and control; (4) and routine supervision” of an

enterprise. [8]

Industrial/Organizational Psychology Definition

“Work consists of patterned human behavior and the ‘equipment’ consists of

the human beings.” [9]

“Lively sets of interrelated systems [task, structure, technology, people, and

the environment] designed to perform complicated tasks.” [10]

Organizational Communication Definitions

“Social collectives in which people develop ritualized patterns of interaction

in an attempt to coordinate their activities and efforts in the ongoing

accomplishment of personal and group goals.” [11]

“Including five critical features—namely, the existence of a social

collectivity, organizational and individual goals, coordinated activity,

organizational structure, and the embedding of the organization with an

environment of other organizations.” [12]

“Communicative structures of control.” [13]

“An organized collection of individuals working interdependently within a

relatively structured, organized, open system to achieve common goals.” [14]

“An aggregate of persons, arranged in predetermined patterns of

relationships, in order to accomplish stated objectives.” [15]

After reading this laundry list of definitions for the word organization, you may

wonder which is best. To be honest, we think they all have something to offer.

When you look at the various definitions for the word organization, you will

start to see a certain pattern of consistent themes. Jason Wrench [16] examined a

similar list of definitions and concluded that three primary features run through

all definitions of the term organization: structures, goals, and people. Let’s look

now at each of these features.

Organizational Structures

The first major theme commonly seen in the various definitions of the word

organization has to do with structure. When we talk about how organizations

are structured, we are talking primarily about how they function in terms of both

what happens within an organization and how an organization functions within

its external environment. For our purposes, we will look at structure in terms of

four basic processes: external environment, input, throughput, and output (Figure

1.1).

Figure 1.1 Organizational Structures

External Environment

The first factor to consider in thinking about an organization is the external

environment in which it exists. The external environment consists of all

vendors, competitors, customers, and other stakeholders who can have an impact

on the organization itself but exist outside the boundaries of the organization.

Changes in the external environment where an organization exists will have an

effect on the organization itself. For example, the government might impose new

regulations on your industry, and these new regulations will affect how your

organization must function. When it comes to how an organization interacts with

its external environment, we often refer to two different types of boundaries. An

organization with open boundaries allows for the free flow of information to

the organization and is more likely able to adapt to changes that occur within the

environment. Closed boundaries, on the other hand, occur when an organization

tries to insulate itself from what is occurring within its environment. When an

organization has closed boundaries, the organization ends up being less aware of

what is going on within the external environment and sets itself up for major

problems or even becoming obsolete. For most organizations, closed boundaries

simply are not realistic or possible, which is why most organizations have open

boundaries. At the same time, there are a couple of real reasons why some

organizations may need to have tightly controlled boundaries that are pretty

closed. If you are in the information world with lots of proprietary or sensitive

information (e.g., the Federal Bureau of Investigation, Central Intelligence

Agency, National Security Agency), you may have real, legitimate reasons to

keep the boundaries as closed as humanly possible to prevent leaks. Other

organizations may need to clamp down on some facets of communication

because opening themselves up to information flow (especially technologically)

could make the organization vulnerable to computer viruses or electronic

intrusions. In the past few years, many organizations have been hacked and had

sensitive and proprietary information stolen (e.g., Adobe, JetBlue, JCPenney,

Target, Visa). As information security becomes increasingly important,

organizations are forced to develop new rules and protocols for how information

is or is not accessible.

Input

The next major aspect of an organization’s environment involves inputs. Inputs

are those resources that an organization brings in from the external environment

in order for the organization to accomplish its goals. Typically, resources can be

discussed in three general categories: physical materials, people, and

information. First, an organization brings in physical materials that it needs to

accomplish its goals. Whether it is computers, desks, light fixtures, or supplies

necessary to build silicon microchips, organizations rely on a variety of vendors

in the external environment to provide physical materials.

The second type of input necessary from the external environment involves

people. An organization relies on skilled workers to accomplish its goals. One of

the biggest complaints of many organizations is a lack of skilled or qualified

workers. Depending on the organization, skills or qualifications can run from

specific college degrees, to specific industry experience, to specific technical

knowhow. According to Julian Alssid, executive director of the Workforce

Strategy Center in New York, “Employers seem to be less willing to invest in

training in this economy. Again, it is the combination of the right credential and

practical experience they look for.” [17]

The final type of input an organization needs is information. Information refers

to any data that is necessary for an organization to possess in order to create

knowledge. [18] According to the American Society for Training and

Development (ASTD), data “is raw and without context and can exist in any

form, usable or not.” [19] Often organizations end up with piles of data, including

customer service reports, market trends, and other material typically in the raw,

numerical form. Organizations then turn this data into information by giving the

data meaning through some kind of interpretation. While most people think of

data as purely numerical, there are other nonnumerical types of data that can be

important to turn into information. For example, if the US Congress passes a

new law that impacts how your organization must handle customer records, the

law may not specifically say how your organization must comply with the law.

In this case, the new law is data and your organization must turn that law into

usable information in the form of its own policies and procedures. When you

combine information with understanding that leads to action, information is

transformed into knowledge.

How do organizations go about acquiring data that can lead to action? ASTD

discusses two types of external environment scanning processes that

organizations can employ: proactive and reactive. [20] First, proactive scanning

occurs when an organization actively looks for data or existing information that

could be transformed into usable knowledge. For example, doing research on

your competitors in an effort to stay on top of your market is an example of

proactive scanning. Second, reactive scanning occurs when an organization

faces a specific problem and then makes sense out of the data/information that

arises from the problem, or searches the external environment for

data/information that could be useful in addressing the problem. Ideally, if an

organization does a good job with proactive scanning, reactive scanning will not

be necessary very often. When an organization is forced to use reactive

scanning, time is wasted in the attempts to find data/information and turn it into

actionable knowledge.

Throughput

Throughput is what an organization ultimately does, within its own confines,

with the inputs it receives. Throughput can range from the use of physical

materials, people, and information, to how organizations internally structure

themselves to create goal-oriented throughput. While we cannot discuss every

possible way an organization can utilize inputs, we should note that the issue of

internal organizational structure is very important at this level of an organization.

For this reason, we must discuss two ways that organizations commonly

structure themselves.

A hierarchy is a categorization system in which individuals/departments are

ranked over other individuals/departments based on their respective skills,

Figure 1.2

Hierarchies

centrality, and status. First, organizations can place people/departments over

others because of specific skill sets. For example, managers are placed over

workers because of their skills in managing people. While we know this isn’t

always why people get promoted, the general idea of a management class of

people is because managers can help organize employees toward the

organization’s goals. Second, people can be ranked over others because of their

centrality to the organization’s goals. For example, if your organization is a tech

company, the product developers may be ranged structurally over people in

customer support or marketing, because without the product developers there is

no need for customer support or marketing. Lastly, organizations can be

organized based on status—an individual’s relative position to others as a result

of esteem, privilege, or responsibility. When someone gets promoted to a higher

position, her or his status increases in terms of a formal hierarchy. Whether that

promotion is a result of esteem, privilege, or responsibility doesn’t matter at this

point; only the elevation within the hierarchy matters.

Now that we’ve discussed what hierarchy is, let’s talk about the two common

ways that organizations are typically patterned—flat versus tall hierarchies

(Figure 1.2).

Image A in Figure 1.2 represents a tall hierarchy, so called

because it has many hierarchical layers between those at

the bottom and those at the top. Two commonly discussed

tall hierarchies are the Catholic Church and the US military.

Within the Catholic Church, you have the average

parishioner at the bottom of the hierarchy and the Pope at

the top. In the US military, you have the average enlisted

soldier at the bottom of the hierarchy and the president of

the United States, as commander in chief, at the top. In both

cases, the people at the bottom have little or no

communication with those at the top.

Image B in Figure 1.2 represents flat hierarchies where only a couple of layers

separate those at the bottom and those at the top. Think of organizations like

mom-and-pop restaurants. In a typical small restaurant, the owner may also

serve as the chef and may have only a handful of waitstaff, table busers, and dish

cleaners as employees. In these hierarchies, it is very easy for those at the bottom

of the hierarchy to communicate with those at the top.

Output

The final aspect related to organizational structure is output, which is the

ultimate product or service that an organization puts back into the external

environment. One organization may create the components that go into a TV

remote, while another may send to your home the technician who hooks up your

cable or satellite. Every organization is designed to produce some kind of service

or product for the external environment. Even nonprofit organizations like the

American Red Cross are producing a range of both products and services for the

external environment.

Organizational Goals

Organizations have many goals, but it helps clarify those goals into a simple

typology (i.e., a classification into ordered categories). Edward Gross examined

the various types of organizational goals and created a simple typology

consisting of five distinct goals: output goals, adaptation goals, management

goals, motivation goals, and positional goals. [21]

Output

The first common type of organizational goal is called an output goal, or an

organizational goal that is “reflected, immediately or in the future, in some

product, service, skill or orientation which will affect (and is intended to affect)

that society.” [22] While Gross was initially discussing goals in terms of

educational organizations, the goals also apply to other organizational types as

well. In essence, every organization has some type of output goal that will be

released back into the external environment. For a pizza chain, the output goal

could be the pizza it delivers to your house (product), the customer service it

gives customers (service), or the expertise in pizza making that the chain brings

to the enterprise (skill).

Adaptation

The second type of organizational goal is what Gross called adaptation goals, or

goals for adapting to the external environment. [23] All organizations exist in

environments that change, and successful organizations will change and adapt to

that external environment. One of the biggest risks many organizations face if

they do not adapt to the external environment is obsolescence, which “occurs

when there is a significant decline in customer desire for an organization’s

products or services.” [24] Many organizations become so focused on making a

specific product that the product eventually is no longer wanted or needed by

customers, which will lead to the eventual death of an organization.

Management

Management goals are the next type discussed by Gross. These goals involve

three decisions: (1) who will manage the organization, (2) how conflict will be

managed, and (3) what output goals have priority. [25] First, organizations need

to decide on the organization’s formal structure and who will exist at various

rungs of the hierarchy. In addition to determining the formal structure, these

goals also determine the type of organizational hierarchy and who holds power

within it. Second, managerial goals focus on how conflicts within the

organization will be handled. Organizations have a vested interest in keeping the

organization running smoothly, so too much conflict can lead to interpersonal or

interdepartmental bickering that has negative consequences for the organization.

Lastly, management goals determine the overarching direction of the

organization itself. As the saying goes, someone has to steer the ship. We’ll

discuss different types of leaders in Chapter 7. But for now, we’ll just note that

having a clear direction and clear priorities is vital to the health of an

organization. If an organization tries to do too much, the organization may end

up scatterbrained and not function as a cohesive whole. If the organization tries

to do one and only one thing, the organization may become obsolete. Overall,

prioritizing output goals must by high on management’s to-do list.

Motivation

The fourth common goal for organizations is ensuring that employees are

satisfied with and loyal to the organization. [26] Gross called these motivational

goals. A wealth of research demonstrates the link between employee motivation,

job satisfaction, and worker productivity. [27] Whitman, Van Rooy, and

Viswesvaran surveyed seventy-three studies that affirm that satisfied employees

are more productive. [28] In addition, motivated employees are more likely to

remain loyal. According to Hart and Thompson, employee loyalty is “an

individual’s perception that both parties to a relationship [employee and

organization] have fulfilled reciprocal expectations that (1) denote enduring

attachment between two parties, (2) involve self-sacrifice in the face of

alternatives, and (3) are laden with obligations of duty.” [29] By this definition,

employees are loyal because they knowingly enter into a relationship with an

organization, sacrifice part of themselves to the organization (and vice versa),

and thus feel a sense of obligation or duty to the organization (a phenomenon we

explore fully in Chapter 8). Of course, loyalty only works when an employee

feels that the organization is standing up to its end of the reciprocal expectations.

If an employee feels that an organization is not meeting its basic obligations,

then the employee will view that organization unkindly and loyalty will diminish

over time. [30] As such, an organization must meet its basic obligations to

employees in order to foster loyalty.

Positional

The final type of organizational goal is positional goals. According to Gross,

these goals attempt to position an organization vis-à-vis other organizations in

the same market. [31] For example, an automotive tool manufacturer will attempt

to position itself against other automotive tool manufacturers. There are two

common ways to position an organization within a specific market: (1) higher

volume at a lower price or (2) higher quality at a higher price. The first strategy

offers more products or faster services at a cheaper cost, while the second offers

a luxury product or service for which people are willing to pay more. This

difference was illustrated in a 2011 report by PCWorld, which found that 56

percent of new cell phone users purchased Android devices and 28 percent

bought iPhones. [32] Androids are cheaper and sold in more versions, while

iPhones are made by Apple, which historically positions itself as a luxury brand.

Thus, while iPhones accounted for only 4 percent of the overall cell phone

market, their products accounted for 52 percent of industry profits. [33] Though

iPhones were not capturing a large percentage of the market, they were still

beating the competition.

Organizational People

After structures and goals, people are the final characteristic common to various

definitions of the word “organization.” In Jason Wrench’s original discussion of

the three common themes related to people, he discussed interdependency,

interaction, and leadership. [34] For our purposes, we also list a fourth notion—

control—as an important factor related to the people in an organization.

Interdependency

The first term associated with people in organizations is interdependency,

which means mutual dependence, or depending on one another. In organizations,

this means people depend on one another to achieve the organization’s goals. If

one part of the organization stops functioning properly, it will affect the other

parts. For example, imagine that you are a copy editor for a New York publisher.

If you get behind on your job, then the graphic designers, marketing

professionals, printers, and other groups of people will also get behind. At the

same time, interdependency can also help an organization. If you work with a

solid group of colleagues then, even when something happens to set you back,

the others can help pick up the slack and keep the work on schedule. Overall,

people impact each other in organizations.

Interaction

Our interactions with others help define and create what is an organization.

Without the interactions we have with our coworkers, customers, and other

stakeholders, an organization really doesn’t exist. For this reason, you can almost

say that the “thing” we call an organization doesn’t really exist because it’s not a

physical structure, but rather an outcome of our interactions with others. (We

will have more to say about this in Chapter 4.) An organization may have

physical objects within it (desks, computers, pencils, etc.), but the actual

organization is ultimately the people that make it exist.

At the same time, people within an organization also interact with each other in

various roles in an effort to accomplish the organization’s goals. People within

organizations and people who come in contact with organizations are constantly

in a state of interaction. As we will learn in Chapter 14, organizations have many

different stakeholders (an individual or group that has an interest in the

organization), and each requires different communication strategies. Ultimately,

communicative interaction is one of the most basic functions of any

organization.

Control

Organizations are, as Dennis Mumby pointed out, inherently entities that must

control the behaviors of members, even while members generally strive to meet

their own needs. [35] When one group has one set of needs and desires, and

another has a different set of needs and desires, we refer to these groups as being

in dialectical tension. Table 1.1 contains many of the dialectical tensions that

exist between an organization and its various members.

Table 1.1 Dialectical Tensions

What the Organization Needs/Wants What the Workers Need/Want

Minimize costs Maximize salary/benefit package

Systematization of job duties Autonomy to do one's job

Ability to streamline the organization Job stability

Agreement Dissent

Transparency Privacy

Conventionality Innovation

Organization-focused Self-focused

Permanence Change

Rights of the organization Rights of the individual

Work life Social life

As a result of these inherent dialectical tensions, an organization tries to stack

the deck in its favor to maximize its needs and desires and subsequently

minimizes the needs and desires of workers in the process. Let’s briefly examine

each of these dialectical tensions in turn.

Minimize costs versus maximize salary/benefits. The first dialectical tension

occurs when organizations try to keep their overhead costs low while workers try

to maximize what they earn in terms of both salary and benefits (health

insurance, stock options, retirement, etc.).

Systemization versus autonomy. Organizations like stability, so they prefer

workers who learn how to do a specific task and then systematize that task in the

most efficient manner. As such, organizations (especially in manufacturing

contexts) will provide explicitly detailed training in exactly how an employee

should accomplish a task. Workers, on the other hand, prefer to have autonomy

when making decisions for how best to accomplish their daily work and do not

enjoy being micromanaged.

Streamlining versus stability. Organizations are fundamentally focused on the

bottom line and therefore often want to have the ability to streamline the

organization in an attempt to maximize profits. If an organization can lay off

workers and maintain maximum productivity, then it’s often in the organization’s

best interest to do so. While streamlining is good for an organization, it can

create a chaotic environment for employees who crave job stability. Workers

want to know that their work is appreciated and that it will keep them employed.

Agreement versus dissent. The next dialectical tension listed here is agreement

versus dissent. In this tension, organizations prefer for workers to follow blindly

and do what organizational leaders dictate. Workers, on the other hand, want to

have a voice to articulate when they disagree with the dictates of leaders or with

the general direction of the organization. We’ll explore the area of organizational

dissent more in Chapter 5.

Transparency versus privacy. In our world today, organizations increasingly

want to know what workers are doing in the workplace. As such, organizations

expect that employee’s work lives are completely transparent. An organization

will do everything from monitoring e-mail and telephone calls to installing

software on workers’ computers that logs and monitors key strokes made on a

keyboard. Workers, on the other hand, are increasingly demanding some privacy,

especially in their digital lives.

Conventionality versus innovation. Organizations are innately slow-moving

organisms that do not like change, so it’s very common to hear, “But we’ve

always done it that way.” Workers, on the other hand, want to bring their own

creative problem-solving skills to the table and to think of new and innovative

processes and procedures that could benefit both the organization and the

workers. While not all worker ideas are spot on, organizations that stick to

conventional ways of thinking may end up losing a lot of employees who prefer

more freedom to be innovative.

Organization focus versus self-focus. Organizations innately want workers to

focus on their jobs and improve their productivity. Workers, on the other hand,

want to focus on themselves and improve themselves. Many organizations will

support self-improvement as long as it has a clear benefit for the organization,

but workers often want to focus on their own improvement even if that

improvement has no benefits for the organization or may lead the worker to find

a new organization.

Permanence versus change. When looking at the permanence/change dialectic,

organizations strive to maintain knowledge and thus keep people who are hard

workers for the long haul. Often, organizations call this employee loyalty.

Workers, on the other hand, desire change and can get very bored doing the same

work day in and day out. Often workers become pigeonholed in specific jobs

with specific duties, and there is no way to get out but to leave the organization.

Overall, an organization in our society has many more tools at its disposal to get

its way than do workers.

Organizational versus individual rights. Ultimately, when it comes to

organizations the focus is on the organization and its rights and less on the

individual’s rights. Workers believe that their human rights shouldn’t stop at the

front door of the organization. For example, many workers are shocked when

organizations fire them for posts made on social networking websites. Workers

believe these posts are, by rights, private. An organization, on the other hand,

may believe looking at social networking site posts is a completely appropriate

behavior and well within its rights as an organization. While this specific

example also overlaps with the transparency/privacy dialectic, the focus here is

on whose rights are more important.

Work versus social life. The last dialectical tension associated with

organizational control is the focus on work versus social life (a subject we

explore further in Chapter 8). Organizations believe that workers should be

focused purely on their work life. As a result of digital technology, it has become

increasingly easier for people to be on call 24/7 by their organizations. Workers,

on the other hand, believe they are entitled to a social life that does not involve

one’s organization. Furthermore, workers often believe that as long as their

private, social-life behavior does not impact their work life, the organization

should stay out of their personal lives. Many organizations go so far as to include

“morality clauses” in contracts that enable them to fire employees whose

personal-life behavior is deemed inappropriate for organizational members.

Leadership

The last term associated with people in organizations is leadership. Any

organization must have an individual or clearly discernible group that guides the

organization toward accomplishing its goals. Without such leadership, individual

members of an organization must puzzle over how to accomplish the

organization’s goals. When leadership is unsettled and people are pulling in

different directions, the organization is unlikely to accomplish much. For an

organization to thrive, it must have effective leadership that fosters effective

“followership.” In Chapter 7, we’ll examine leadership and followership in more

detail.

Types of Organizations

The last factor to realize in understanding organizations is that there are

numerous types of organizations. A good overview of the different systems that

have been proposed to categorize organizations is provided by Carper and

Snizek. [36] Here we will use the categories proposed by Peter Blau and W.

Richard Scott. [37] Blau and Scott created a classification system with four

distinct categories: mutual benefit associations, business concerns, service

organizations, and commonweal organizations.

Mutual Benefit Associations

The first type of organization is the mutual benefit association, which is

focused on providing services to its members. Examples are “political parties,

unions, fraternal associations, clubs, veterans’ organizations, professional

associations, and religious sects.” [38] People generally join these types of

organizations because of the benefits they receive. When these organizations are

first being created, organizational members are generally very involved in the

creation of the organization. However, once such an organization has been

around for a while, the majority of the members become passive and let the

minority run the organization. Whether you belong to a sorority or fraternity or

even the forensic team at your college or university, most people belong to at

least one mutual benefit association.

Business Concerns

The second type of organization is the business concern, which is focused on

doing well for itself. According to Blau and Scott, the “dominant problem of

business concerns is that of operating efficiency—the achievement of maximum

gain at minimum cost in order to further survival and growth in competition with

other organizations.” [39] Most for-profit organizations are business concerns.

These organizations face problems associated with “maximizing operating

efficiency in a competitive situation.” [40] Because of their need to cut costs and

maintain a competitive advantage, these organizations may even be cold and

callous in how they treat employees and customers. Everything from Walmart to

the New York Times is a business concern.

Service Organizations

Blau and Scott describe service organizations as those “whose basic function is

to serve [their own] clients.” [41] Service organizations can include “social-work

agencies, hospitals, schools, legal aid societies, and mental health clinics.” [42]

The basic problem that service organizations face is “the conflict between

professional service to clients and administrative procedures [that] are

characteristic of service organizations.” [43] Often service organizations are

steeped in organizational hierarchies and procedures that prohibit providing the

easiest and fastest service to potential clients. As a student, you’re currently

involved in a service organization—namely, your college or university. But most

of us also interact with doctors, clinics, dentists, optometrists, and more on a

semiregular basis. All these last organizations are profit driven, but their basic

purpose is to serve their clients.

Commonweal Organizations

The last type of organization discussed by Blau and Scott is commonweal

organizations, whose “prime beneficiary is the public-at-large.” [44] Examples

include “the State Department, the Bureau of Internal Revenue, military

services, police and fire departments, and also the research function as

distinguished from the teaching function in universities.” [45] All these

organizations were created because they represent areas where the general public

needs some level of protection or knowledge, or the organization serves the

administrative purposes of the government. Overall, the crucial problem posed

“by commonweal organizations is the development of democratic mechanisms

whereby they can be externally controlled by the public.” [46] One reason we pay

taxes is so we can have quick and easy access to many commonweal

organizations.

In the United States, firefighting has not always been a commonweal

organization. Until the mid-1800s, private gangs often controlled firefighting

brigades in large towns and cities. These gangs might set fires and then extort

building owners for money to put the fires out. On the other hand, some

buildings might burn to the ground while firefighting gangs fought over which

brigade controlled that neighborhood. One such riot broke out near Cincinnati,

Ohio, in 1851 and involved ten rival gangs. Two years later, Cincinnati became

the first US city to publicly fund its firefighters. Today, we cannot imagine that

firefighting is anything but a common good for all.

KEY TAKEAWAY

When one analyzes a variety of definitions for the term

organization, three common themes tend to emerge: the

structure, the goal, and the people. Organizational structure

examines how an organization functions both internally and within

its larger external environment. The goal is the general purpose a

group of people is trying to achieve. Lastly, the people refer to the

various internal and external stakeholders associated with the

organization.

There are four common organizational types: mutual benefit,

business concern, service, and commonweal. Mutual benefit

organizations are designed to help the individuals who belong to

the group (e.g., fraternities, sororities, clubs). Business concern

organizations are primarily concerned with turning a profit for the

organization and its shareholders (e.g., anything from Walmart

and Citibank to your local grocery store or restaurant). The third

type of organization is the service organization, which is geared

toward providing a specific service to people (e.g., hospitals,

legal-aid societies). Lastly, commonweal organizations are those

that are generally run by the government for the greater good of

society (e.g., the military, fire/police departments, department of

education).

Information :

Inputs :

Throughput :

Business Concern:

Commonweal Organizations:

EXERCISES

1. Think of an organization you currently belong to (or have

belonged to in the past). Looking at Figure 1.1, how has your

organization interacted with its environment with regard to input,

throughput, and output?

2. Of the ten dialectical tensions discussed in Table 1.1, which one

do you think has the strongest impact on an organization you

currently belong to (or have belonged to in the past)? Why do you

think this dialectical tension causes the greatest imbalance of

control?

3. From your own organizational interactions, find two different

organizations that fit into each of the four types of organizations:

mutual benefit, business concern, service, and commonweal.

KEY TERMS AND DEFINITIONS

Any data necessary for an organization to possess in an effort to create knowledge.

Those resources that an organization brings in from the external environment in order for the organization to accomplish its goals.

What an organization does with inputs within the confines of the organization itself.

Organization focused on doing well profitably for an organization and its stakeholders. /html>

Organization designed to benefit society at large.

External Environment:

Flat Hierarchies:

Hierarchy :

Interdependency:

Mutual Benefit Association:

Open Boundaries:

Output:

Proactive Scanning:

Reactive Scanning :

Service Organizations:

Structure:

Tall Hierarchy:

All the vendors, competitors, customers, and other stakeholders who can have an impact on the organization itself but exist outside the boundaries of the organization.

Hierarchy with only a couple of hierarchical layers between those at the bottom and those at the top of the hierarchy.

A categorization system where individuals/departments are ranked over other individuals/departments based on skills, centrality, and status.

Mutual dependence, or depending on one another.

Organization focused on providing for its membership.

Organizations that allow for the free flow of information to the organization and are more likely able to adapt to changes that occur within the environment.

The ultimate product or service that an organization disseminates to the external environment.

When an organization actively looks for data or existing information that could be transformed into usable knowledge.

When an organization faces a specific problem or crisis and then either makes sense of data/information it poses or searches the external environment for data or information that could be useful.

Organization whose prime concern is providing products or services for a specific public clientele.

How an organization functions in terms of what happens both within the organization itself and within its external environment.

Hierarchy with many layers between those at the bottom of the hierarchy and those at the top of the hierarchy.

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comparative approach (2004 printing). Stanford, CA: Stanford University

Press, p. 43.

1.2 What is Communication?

LEARNING OBJECTIVES

1. Define and explain what is meant by the term human

communication as introduced in this chapter.

2. Explain the SMCR model of communication and how it applies to

the organizational context.

© Thinkstock/iStock

There is no agreed-upon definition of communication. Scholars have examined

the term and found a vast array of approaches. [1] Frank Dance surveyed ninety-

five definitions of communication and broke them down into fifteen types. [2]

“Human communication,” he concluded, “is indeed a dappled thing, swift, slow,

sweet, sour, adazzle, dim. The search for its essence and the study of its meaning

is a search rich in the doing, not in the done.” [3]

In this introductory chapter, however, our challenge is to start you off with a

definition of “communication” that will help you get an initial grasp on

organizational communication. To do that, we begin with a definition that

accomplishes two things. First, our definition will help you understand that

communication is not something that just “happens” and that people simply “do”

like a knee-jerk reaction. Our beginning definition will introduce you to basic

components that go into human communication. Second, we are starting you off

with a definition of communication that will form a natural bridge to Chapter 3

and its discussion of classical theories of organizational communication. This is

because the model reviewed here embodies assumptions about human

communication that are reflected in classical theories. Later, when we review

modern theories of organizational communication in Chapter 4, we will discuss

other models of communication whose assumptions have guided modern

theorists.

But for now, our task is to introduce a model that will help you get an initial,

basic grasp of human communication, which you can then use as a foundation to

understand the classical theories in Chapter 3. As such, we begin here with a

definition of human communication as the process whereby one individual (or

group of individuals) attempts to stimulate meaning in the mind of another

individual (or group of individuals) through intentional use of verbal, nonverbal,

and/or mediated messages. [4] If we extend this to organizations, then we have a

starting definition of organizational communication as the process whereby an

organizational stakeholder (or group of stakeholders) attempts to stimulate

meaning in the mind of another organizational stakeholder (or group of

stakeholders) through intentional use of verbal, nonverbal, and/or mediated

messages. And what is a “stakeholder”? According to the American Heritage

Dictionary of Business Terms, a stakeholder is “any party that has an interest in

an organization. Stakeholders of a company include stockholders, bondholders,

customers, suppliers, employees, and so forth.” [5] An organization must also

interact with its external environment: competitors, community members,

governmental agencies, and more. Every organization has a wide range of

stakeholders with which it must communicate.

The definition of communication offered here can be broken down into what is

called the “SMCR” model of communication—source, message, channel, and

receiver. [6] Figure 1.3 represents this model in the context of publicspeaking, but

it is easily applied to organizational communication. Let’s briefly break down

the SMCR model into five basic concepts: process, source, message, channel,

and receiver.

Figure 1.3 SMCR Model of Communication

Image courtesy of Wrench, J., Goding, A., Johnson, D., and Attias, B. (2011). Stand Up, Speak Out: The

Practice and Ethics of Public Speaking, Irvington, NY: Flat World Knowledge.

Process

Anyone studying human communication must remember it is a process. There is

no distinct beginning or distinct end to our communications. Instead,

communication is a series of interactions that change over time and that produce

changes in those who are interacting. Success or failure at informing or

persuading can alter how people interact with each other in the future. Many

external factors also influence the process and are constantly in play. For

example, your cultural background can affect how you approach the

communicative process.

Source

The source in the SMCR model of communication is the individual, or group of

individuals, who attempts to stimulate meaning. In organizational

communication, the source may be conveying the ideas of a single person or the

ideas of an entire group. For example, if you are evaluating an employee’s job

performance, the message you are sending may come from you and you alone.

However, if you are a corporate CEO delivering a press conference, the message

may be coming out of your mouth but may represent dozens of individuals

involved in crafting the message. Furthermore, in the position as a CEO, you

would also be viewed as the mouthpiece of the organization, so anything you say

is also attributed to the organization, which could represent thousands of people.

Message

The basic goal of the source is, in the SMCR model, to take an idea in her or his,

or the group’s, mind and then transmit that same idea to another person (or

persons). The “idea” someone is trying to send is the message. We refer to this

transmission of a message from the source to the receiver as “stimulating

meaning” because, according to this view of communication, the source is

attempting to transmit her or his idea so that the receiver will understand the idea

in the same way as the source. One of the biggest mistakes novice managers can

make is to assume that if they tell an employee something, the message was

understood as intended. As such, it’s very important to ensure a receiver

understands the intended meaning of a message.

One of our coauthors was recently involved in a labor negotiation. Employees

believed the organization had a stash of funds that could be used to raise their

pay. But accounting standards mandated the funds be expended only for a

specific purpose and otherwise could not be touched. Our coauthor

recommended that the organization have its auditors craft a specific message to

this effect. Thus, where the employee negotiators saw the organization’s refusal

as biased, they understood the independent auditors’ message and backed down

on their demands. This case illustrates the need to ensure that the recipients of a

message correctly understand its meaning. The example also illustrates another

common problem: receivers of a message must see the source as credible and

trustworthy or they may dismiss the message.

Channel

A channel is “the means by which a message is carried from one person to

another.” [7] When a source decides to create a message, he or she can rely on

three primary channels to send that message: verbal, nonverbal, and mediated.

Verbal

The verbal channel consists of specific spoken sounds that represent real

phenomena or ideas. Yet when we say the word “office,” the letters o-f-f-i-c-e

may represent either an actual physical location (“Please come to my office!”) or

the general idea of a location in which work occurs (“I’m going in to the office

today”). Thus, for understanding to occur, the source and the receiver must have

similar understandings for the intended meanings of words. Ensuring that people

in an organization are using the same lexicon is such a common problem that

numerous humor books have been written on the subject. [8]

Nonverbal

The second channel through which people can transmit a message is the

nonverbal channel. This channel encompasses any stimuli that can elicit

meanings not contained in words themselves. Everything from how someone

gestures, looks, sounds, or smells can impact how others will view that person.

Research has indicated that 65 to 95 percent of a person’s understanding of a

verbal message is dependent upon the nonverbal behavior associated with the

verbal message. [9] For example, you walk into a colleague’s office and find she

is clearly red-faced and that her fists are clenched. You ask how she’s doing and

she flatly responds, “Fine!” If you pay attention only to the verbal message sent

(“Fine!”) you will interpret her message to mean that she’s excellent (like fine

wine). However, when you interpret her nonverbal behavior, you’ll quickly

ascertain that she is far from “excellent” but may not want to talk about what

happened at the moment.

Mediated

The last channel through which a source can send a message is a mediated

channel. A mediated message is any message that is sent using some kind of

technology such as print, audio, or video. Some of the earliest studies of

organization communication explored the use of employee newsletters. Today,

we increasingly depend at work on computer-mediated communication via e-

mail, Skype, Twitter, LinkedIn, blogs, vlogs, and who knows what comes next.

Receiver

While we’ve discussed the receiver of a message throughout this section, we

should note that the receiver(s) is ultimately, according to the SMCR model, the

person interpreting and understanding a source’s message. When a receiver

attends to a source’s message, he or she must interpret that message in light of

his or her understanding of the message. If the source uses unfamiliar words, the

receiver may not accurately interpret the message in the intended way. For this

reason, a source must consider any feedback the receiver sends about the

message to ensure that understanding has been achieved.

A Closing Thought

The SMCR model introduces communication concepts in an easily digestible,

linear fashion. Yet in most communicative contexts, you actually function as

source and receiver simultaneously. If you are speaking, you are also gauging the

verbal and nonverbal reactions of your colleagues; if you are listening, you are

also sending continuous feedback—a smile, a frown, a nod, an erect posture, a

slouch, verbal interjections of assent or dissent—about the message and its

source. The definition and model of human communication presented in this

introductory chapter are only starting points. You can build on this introduction

as you take up classical theories of organization communication in Chapter 3 and

then expand your horizons and consider alternative definitions and models

proposed by modern theorists in Chapter 4.

KEY TAKEAWAY

As an introductory definition, think of human communication as

the process whereby one individual (or group of individuals)

attempts to stimulate meaning in the mind of another individual (or

group of individuals) through intentional use of verbal, nonverbal,

and/or mediated messages. This can be extended to

“organizational communication” as the process whereby an

organizational stakeholder (or group of stakeholders) attempts to

stimulate meaning in the mind of another organizational

stakeholder (or group of stakeholders) through intentional use of

verbal, nonverbal, and/or mediated messages. A stakeholder is

any person or group that has an interest in the organization.

The SMCR model of communication examines four basic

components: source, message, channel, and receiver. The source

of a message is the individual or group originating an idea and

attempting to transmit that idea to another person or persons. The

message is the idea that is attempting to be transmitted. The

channel is the specific method of communication an individual

uses to convey a specific message: verbal (the use of words),

Channel :

Human Communication:

nonverbal (communicative characteristics outside of the words

themselves), and mediated (the use of technology to convey a

message). Lastly, the receiver is the individual who is targeted for

a message who receives the message and then has to make

sense of the message itself.

EXERCISES

1. Look at the introductory definition of human communication

provided in this chapter. Do you think this definition accurately

reflects how humans communicate with one another? Why or why

not? Do you think the introductory definition of organizational

communication presented here accurately reflects the nature of

how people in organizations communicate? Why or why not?

2. Imagine you’ve been asked to run a meeting consisting of five

people. Explain how a meeting of five people would relate to the

SMCR model of communication.

KEY TERMS AND DEFINITIONS

The means by which a message is carried from one person to another.

Defined here as the process whereby one individual (or group of individuals) attempts to stimulate meaning in the mind of another individual (or group of individuals) through intentional

Mediated :

Message:

Nonverbal :

Organizational Communication:

Receiver:

Source :

Verbal :

use of verbal, nonverbal, and/or mediated messages.

Any message that is sent using some kind of technology such as print, audio, or video.

The “idea” someone is trying to send to a receiver.

Any stimuli that could elicit meanings not contained in words themselves.

Defined here as the process whereby an organizational stakeholder (or group of stakeholders) attempts to stimulate meaning in the mind of another an organizational stakeholder (or group of stakeholders) through intentional use of verbal, nonverbal, and/or mediated messages.

The person interpreting and understanding a source’s message.

The individual (or group of individuals) who attempts to stimulate meaning.

Specific spoken sounds that represent real phenomena or ideas.

[1] For example, see Dance, F. E. X. (1970). The “concept” of

communication. Journal of Communication, 20, 201–210; Dance, F. X.

(1984). What is communication? Nailing Jello to the wall. Association for

Communication Administration Bulletin, 48, 4–7; Losee, R. M. (1999).

Communication defined as complementary informative processes.

Journal of Information, Communication and Library Science, 5(3), 1–15;

Nilsen, T. R. (1957). On defining communication. Speech Teacher, 6(1),

10–17.

[2] Dance, F. E. X. (1970). The “concept” of communication. Journal of

Communication, 20, 201–210.Dance, F. E. X. (1970). The “concept” of

communication. Journal of Communication, 20, 201–210.

[3] Dance, F. E. X. (1980). Swift, slow, sweet, sour, adazzle, dim: What

makes human communication human. Western Journal of Speech

Communication, 44, 60–63, p. 63.

[4] Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human

communication in everyday life: Explanations and applications. Boston,

MA: Allyn & Bacon.

[5] Scott, D. L. (Ed.). (2009). Stakeholder. In The American heritage

dictionary of business terms. Boston, MA: Houghton Mifflin Harcourt, p.

503.

[6] Berlo, D. (1960). The process of communication. New York, NY: Holt,

Rinehart & Winston.

[7] Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human

communication in everyday life: Explanations and applications. Boston,

MA: Allyn & Bacon, p. 10.

[8] For example, Beckwith, L. (2006). The dictionary of corporate bullshit:

An A to Z lexicon of empty, enraging, and just plain stupid office talk. New

York, NY: Broadway Books; Fugere, B., Hardaway, C., Warshawsky, J.

(2005). Why business people speak like idiots: A bullfighter’s guide. New

York, NY: Free Press.

[9] Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human

communication in everyday life: Explanations and applications. Boston,

MA: Allyn & Bacon.

1.3 History of Organizational Communication

LEARNING OBJECTIVES

1. Explain the three different ways the term organizational

communication can be understood, according to Stanley Deetz.

2. Define the term organizational communication as it is used within

this section.

3. Identify some of the major historical events in the creation of the

field of organizational communication.

Now that we’ve introduced some beginning definitions, let’s switch gears. To

help you get an initial grasp of “organizational communication,” we’ll explore

three ways of viewing the term and then offer a brief history of the field.

Viewing Organizational Communication

Stanley Deetz argued that defining what is meant by the term organizational

communication is only half the question: “A more interesting question is, ‘What

do we see or what are we able to do if we think of organizational communication

in one way versus another?’ Unlike a definition, the attempt here is not to get it

right but to understand our choices.” [1] Instead, Deetz recommends that we

grasp three different ways to conceptualize organizational communication: as a

discipline, as a way to describe organizations, and as a phenomenon within

organizations.

Organizational Communication as Discipline

The first way the term organizational communication is defined is as a specific

subfield of the communication field. However, organizational communication is

not an academic area of study unique to the field of communication studies. The

ways that people within organizations communicate, and how organizations

corporately communicate, are also of interest to fields such as management

science, organizational behavior, and industrial psychology. Organizational

communication is a unique discipline, observed Dennis Mumby and Cynthia

Stohl, because it attracts a “community of scholars [who] constitute a

disciplinary matrix when they share a set of paradigmatic assumptions about the

study of a certain phenomenon.” [2] In other words, organizational

communication is a discipline because people who study it share certain core

ideas about the subject. Mumby and Stohl go on to note, “This does not mean

that there is a consensus on every issue, but rather that scholars see objects of

study in similar ways, and use the same language game in describing these

phenomena.” [3] In fact, you may find your teacher or even yourself disagreeing

with our interpretation of certain aspects of organizational communication,

which is very much a normal part of any academic discipline.

Organizational Communication as Descriptor

The second way we can view the term organizational communication is as

descriptor for what happens within organizations. Deetz explains, “In the same

way that psychology, sociology, and economics can be thought of as capable of

explaining organizations’ processes, communication might also be thought of as

a distinct mode of explanation or way of thinking about organizations.” [4] As

you will quickly see in this book, organizational communication is a hybrid

field—people in a variety of different academic areas conduct research on the

topic. Scholars in anthropology, business, psychology, sociology, and other

academic areas conduct research that is fundamentally about organizational

communication. Communication scholars differ in how we approach

organizational communication because our training is, first of all, in human

communication. So we bring to the study of organizational communication a

unique history and set of tools that other scholars do not possess.

Organizational Communication as Phenomenon

The final way one can view the term organizational communication is as a

specific phenomenon, or set of phenomena, that occurs within organizations. For

example, when two employees get into a conflict at work, they are enacting

organizational communication. When the chief financial officer of an

organization is delivering a PowerPoint presentation on the latest quarterly

earnings to the organization’s board of directors, he or she is engaging in

organizational communication. The latest advertisement campaign an

organization has created for the national media is another example of

organizational communication.

A History of Organizational Communication

Instead of providing a long, drawn-out history of the field of organizational

communication as we know it today, we’ve provided a brief timeline dating back

to the 1750s when the Industrial Revolution began in the United Kingdom. The

introduction of steam-powered machinery forever changed the way businesses

operated and led to the eventual creation of the modern corporation. Table 1.2 is

a summary of the major events in the history of organizational communication as

a field of study. This table is not meant to be an exhaustive list, but only a

representative list of key moments in the study of organizational communication.

Table 1.2 Major Events in Organizational Communication

c.

1750

The Industrial Revolution starts in the United Kingdom and quickly transforms the nature of

business.

1908

A. E. Phillips publishes the first public speaking book specifically aimed at businessmen,

Effectively Speaking.

Harvard Business School becomes the first academic program to focus on the scholarship of

business.

1910

The first meeting of the Eastern Public Speaking Conference is held. The association changed itself

to the Speech Association of the Eastern States in 1950 and then to the Eastern Communication

Association in 1973.

1914

The National Association of Academic Teachers of Public Speaking is formed and holds its first

convention the following year. This association changes its name four times over the next one

hundred years: National Association of Teachers of Speech, 1923; Speech Association of America,

1946; Speech Communication Association, 1970; and National Communication Association, 1997.

1919 Edward Bernays and Doris Fleishman open the first public relations firm.

1929 William Phillips Sandford and Willard Hayes Yeager are the first speech scholars to publish a

public speaking book aimed at business professionals, titled Business and Professional Speaking.

1937 W. Charles Redding publishes an article titled “Speech and Human Relations” in the academic

journal The Speaker. Redding is widely considered the father of organizational communication.

1938 Chester Barnard publishes The Functions of the Executive and argues, “The first function of the

executive is to develop and maintain a system of communication.” [5]

1941

Paul Lazarsfeld publishes the first review of the discipline of communication based on his and

others’ research at the Bureau of Applied Social Research and determines that communication can

be broken into four categories: (1) who, (2) said what, (3) to whom, and (4) with what effect.

1942 Alexander Heron argues that successful communication with one’s employees is necessary for

good business in his book Sharing Information with Employees.

1945 University of Denver holds the first graduate-level seminar in industrial communication.

1949 Claude Shannon and Warren Weaver publish The Mathematical Theory of Communication, which

provides the first major model of human communication (source, message, receiver, noise).

1952

The first dissertation specifically in industrial communication is completed by Keith Davis in the

Department of Business at Ohio State University. The title of the manuscript is “Channels of

Personnel Communication within the Management Setting.”

1953 Ohio State University and the University of Nebraska offer the first PhD degrees conferred by

speech departments in industrial communication.

1961 Lee Thayer, a speech professor with an interest in communication in businesses, publishes

Administrative Communication, the first true textbook in organizational communication.

1963 The Journal of Business Communication is started by the American Business Communication

Association.

1964

W. Charles Redding and George Sanborn publish Business and Industrial Communication: A

Source Book, which compiles copies of previously published articles on a wide range of

organizational communication topics. The publication of this book is generally seen as the true

start of the field of organizational communication.

1967

The first “Conference on Organizational Communication” is held at Marshall Space Flight Center

in Huntsville, Alabama. At the conference, Philip Tompkins reviews the state of organizational

communication and divides the types of research into two categories: (1) informal and formal

channels of communication and (2) superior-subordinate relationships. Tompkins’s presentation

marks the official acceptance of the term organizational communication.

Henry Voos publishes Organizational Communication: A Bibliography, sponsored by the Office of

Naval Research.

1968

Division IV, organizational communication, becomes an officially recognized group by the

National Society for the Study of Communication, which becomes the International

Communication Association in 1970.

1972

W. Charles Redding publishes his book Communication with the Organization: An Interpretive

Review of Theory and Research. In this monograph, he poses ten basic postulates of organizational

communication.

1973 The Academy of Management authorizes a new division within its association, titled

Organizational Communication.

1982

The Western Journal of Communication publishes a series of articles based out of a conference

held in Alta, Utah, “The Summer Conference on Interpretive Approaches to the Study of

Organization Communication.” This series of articles argues for the importance of incorporating

interpretive methods in the study of organizational communication.

1983

Linda Putnam and Michael Pacanowsky publish Communication and Organizations: An

Interpretive Approach. This edited book further solidifies the importance of interpretive research

methods in organizational communication.

1987 Fredric Jablin, Linda Putnam, Karlene Roberts, and Lyman Porter publish the Handbook of

Organizational Communication: An Interdisciplinary Perspective.

1991

Stacia Wert-Gray, Candy Center, Dale Brashers, and Rene Meyers publish an article titled

“Research Topics and Methodological Orientations in Organizational Communication: A Decade

in Review.” The authors find that of the 289 articles published in the 1980s, 57.8% were social

scientific, 25.9% were qualitative, 2.1% were critical, and 14.2% were categorized as other.

1993

Dennis Mumby articulates an agenda for critical organizational communication research in an

article titled “Critical Organizational Communication Studies: The Next 10 Years” in

Communication Monographs.

2001 Fredric Jablin and Linda Putnam publish The New Handbook of Organizational Communication:

Advances in Theory, Research, and Methods.

2004

Elizabeth Jones, Bernadette Watson, John Gardner, and Cindy Gallois publish an article titled

“Organizational Communication: Challenges for the New Century” in the Journal of

Communication. In the article, they identify six challenges organizational communication scholars

face in the twenty-first century: (1) innovate in theory and methodology, (2) acknowledge the role

of ethics, (3) move from the microlevel to macrolevel issues, (4) examine new organizational

structures, (5) understand the communication of organizational change, and (6) examine diversity

and intergroup communication.

KEY TAKEAWAY

Stanley Deetz articulated three different ways the term

organizational communication can be understood: the discipline,

ways to describe/explain organizations, and a phenomenon within

organizations. His first perspective describes organizational

communication as an academic discipline that consists of an

intellectual history, textbooks, courses, degrees, and so on. The

second way to describe organizational communication is as a way

of describing organizations. Under this perspective, organizational

communication is used to describe and/or explain how

organizations function. Lastly, organizational communication is a

specific set of behaviors exhibited within an organization itself.

People interact with one another, which is a form of organizational

communication, and through these interactions we actually create

the phenomenon that is an organization.

The history of organizational communication is a complicated one.

Starting with the Industrial Revolution and the evolution of the

modern corporation, the idea of organizational communication

ultimately crystallized in the 1950s and 1960s. During the early

years, most of the research examining communication within an

organization was conducted from a social-scientific perspective,

but starting in the 1980s with the work of Linda Putnam,

organizational communication research has become more

diversified to include both interpretive and critical perspectives.

EXERCISES

1. Find two examples of how you could use the term organizational

communication for each of Stanley Deetz’s three

Discipline:

Hybrid Field:

conceptualizations of the term. Did you find this process easy or

difficult? Why?

2. Since the 1960s, which decade do you think has been the most

important in the transformation of the field of organizational

communication? Why?

KEY TERMS AND DEFINITIONS

A community of scholars who share core ideas about an object of study.

A field of study in which research is conducted by scholars from a variety of academic areas.

[1] Deetz, S. (2001). Conceptual foundations. In F. M. Jablin & L. L.

Putnam (Eds.), The new handbook of organizational communication:

Advances in theory, research, and methods (pp. 3–46). Thousand Oaks,

CA: Sage, p. 4.

[2] Mumby, D., & Stohl, C. (1996). Disciplining organizational

communication studies. Management Communication Quarterly, 10, 50–

72, p. 52.

[3] Mumby, D., & Stohl, C. (1996). Disciplining organizational

communication studies. Management Communication Quarterly, 10, 50–

72, p. 52.

[4] Deetz, S. (2001). Conceptual foundations. In F. M. Jablin & L. L.

Putnam (Eds.), The new handbook of organizational communication:

Advances in theory, research, and methods (pp. 3–46). Thousand Oaks,

CA: Sage, p. 5.

[5] Barnard, C. I. (1938). The functions of the executive. Cambridge, MA:

Harvard University Press, p. 226.

1.4 Approaches to Organizational Communication

Research

LEARNING OBJECTIVES

1. Explain what is meant by the social-scientific approach to

organizational communication.

2. Explain what is meant by the interpretive approach to

organizational communication.

3. Explain what is meant by the critical approach to organizational

communication.

© Thinkstock/iStock

In this first chapter, we have so far provided you with introductory concepts for

organization, communication, and organizational communication. The goal of

your Organizational Communication class is not only to learn but to apply these

concepts—and that means doing research, whether in the scholarly sense or in

the everyday sense of exploring and critically analyzing the world of

organizations all around you. So in this concluding section, we’ll give you a

brief and basic introduction to three approaches for researching organizations. In

Table 1.2, you read a basic history of organizational communication as an

academic discipline. The earliest years of the field were predominantly marked

by thought-pieces on the subject or were driven by social-scientific/quantitative

research. Then in the 1980s, new voices emerged that brought

interpretive/qualitative and critical approaches to the field. We believe it is

important to briefly describe these approaches in the first chapter because you’ll

be hearing much more about them as you read this book. We want you, as

readers, to critically analyze the research we present and to understand how the

different methodological traditions impact our understanding of the phenomenon

that is organizational communication.

Social-Scientific/Quantitative Approach

The first major research tradition in organizational communication is the social-

scientific/quantitative approach. Through the 1950s, most work in organizational

communication focused on effective business speaking or came from outside the

field of communication studies. Then, in the 1960s, the field started to solidify

and create professional boundaries that differentiated organizational

communication from business, psychology, sociology, and speech. During these

formative years, organizational communication research aspired to be scientific.

Researchers would reference theories, form hypotheses, and test their hypotheses

through experimental observations. Outcomes of these observations helped

researchers revise the original theory, which inevitably led to new research

questions and new hypotheses. The predominant research methodology of the

time was rooted in social psychology and therefore based in statistics. Even

today, the bulk of research is conducted from a social-scientific/quantitative

perspective. [1]

Social science follows a distinctive epistemology, or belief about how things are

“known.” (We will have much more to say about epistemology in Chapter 4.)

Amedeo Giorgi has broken down the epistemology of social scientists into seven

general beliefs: (1) social phenomena must be reduced to operational definitions

for ease of study, (2) social phenomena result from causes that can be duplicated,

(3) the goal of research is to predict behavior, (4) the researcher must be

independent from phenomena under study and strive for objectivity to avoid

influencing the data, (5) only data that can be observed or obtained from

participants is worthy of analysis, (6) other researchers should be able to

replicate the results, and (7) all phenomena should be numerically measured. [2]

Survey Research

The first common type of social-scientific method utilized in organizational

communication is probably the most common in communication research as a

whole—the survey. Surveys involve a series of questions that are designed to

measure individuals’ personality/communication traits, attitudes, beliefs, and/or

knowledge on a given subject. Surveys are popular because they yield massive

amounts of information from a wide array of people very quickly. However,

researchers must always question whether or not a survey is measuring the right

types of participants for a specific study. For example, using a group of college

students to discuss workplace violence may not be very accurate because of the

limited exposure of the average student to the world of work. In this case, the

researcher would be better off to survey people who are not in school and who

work for a living outside the college environment.

Experimental Research

The second common type of social-scientific/quantitative research in

organizational communication is the experiment. As in the physical sciences, the

goal of an experiment is to manipulate some facet of a participant’s experience

to determine how that participant responds. For example, in a study examining

the impact that an initial handshake has on job interviewers, the researcher could

hire and train someone to enter various job interviews as a “candidate” and

alternately shake hands with each interviewer weakly, aggressively, or with

average firmness. The interviewers, however, would not know that the

“candidate” is working for the researcher. The goal of this (hypothetical) study

would be to determine if interviewers’ experiences with the “candidate” differed

based on the type of handshake used at the beginning of an interview. The

researcher would manipulate the type of handshake used in each job interview,

but do so randomly so that the results are unintentionally biased. Experiments

generally involve much planning and time to pull off competently.

Content Analysis

The final type of social-scientific/quantitative research common to

organizational communication is content analysis. A content analysis involves

taking a series of artifacts and numerically coding information contained within

the artifacts to see if a discernible pattern emerges. Here, the term artifacts refers

to objects made by organizational members that capture their communication.

For example, the speeches of CEOs found on YouTube could be artifacts, or

press releases from Fortune 500 corporations, or policy manuals, annual reports,

or company newsletters. Second, the artifacts are scanned for specific contents.

For example, the researcher might analyze speeches made by Fortune 500 CEOs

and scan for references to patriotic themes: duty, honor, country, America, and so

on. The scan would then yield a numerical count of these patriotic references.

Next, the researcher might analyze how often these thematic references occur in

CEO speeches across different industries: automotive, banking, and so forth. In

this case, the goal would be to discover if CEOs are more or less likely to invoke

images of patriotism according to their respective industries.

For more information on conducting quantitative research, we recommend

reading Wrench, Thomas-Maddox, Richmond, and McCroskey’s Quantitative

Research Methods for Communication: A Hands-On Approach. [3]

Example of Social-Scientific/Quantitative Research

Individual Differences in Managers’ Use of Humor: Subordinate Perceptions

of Managers’ Humor

By Brian J. Rizzo, Melissa Bekelja Wanzer, and Melanie Booth-Butterfield [4]

In this study, Rizzo, Wanzer, and Booth-Butterfield set out to examine

subordinates’ perceptions of their manager’s use of humor in the workplace.

The researchers recruited 151 participants in introductory communication

courses, graduate communication courses, and master’s of business

administration (MBA) courses. All participants were either current or past

part-time (fewer than forty hours per week) or full-time (forty hours per week

or more) employees of some organization.

The researchers used three mental measures in this study: (1) self and

manager humor orientation (individual’s use of humor in interpersonal

interactions—completed once for self and once for the manager), (2) humor

behaviors (individual’s use of humor strategies in the workplace—completed

once for self and once for the manager), (3) manager affect (degree to which

a subordinate likes her or his manager), (4) and manager effectiveness

(degree to which a subordinate perceives her or his manager as effective).

The researchers had four hypotheses in this study:

•H1: High humor-oriented individuals will report using more humorous

behaviors in the workplace than low humor-oriented individuals.

•H2: High humor-oriented individuals will perceive more types of humorous

behaviors as appropriate for their manager to use in the workplace than will

low humor-oriented individuals.

•H3: Subordinates’ perceptions of managers’ humor orientation will be

positively associated with liking toward these managers.

•H4: Employees’ perceptions of managers’ humor orientation will be

positively related to perceptions of managerial effectiveness.

The Results

First, employees who rated themselves as using large amounts of humor in

their daily interactions with others used more humorous behaviors in the

workplace than those individuals who did not rate themselves as humorous.

Second, employees who rated themselves as using large amounts of humor in

their daily interactions with others believed that managers could use a wider

array of humor strategies in the workplace than those individuals who did not

rate themselves as humorous.

Third, employees’ perceptions of their manager’s use of humor in her or his

interactions with others were positively related to subordinates’ liking of that

manager.

Lastly, employees’ perceptions of their manager’s use of humor in her or his

interactions with others were positively related to subordinates’ perceptions

of the effectiveness of that manager.

In essence, all four of this study’s hypotheses were supported.

Interpretive/Qualitative Approach

While the essential question of the social scientist is to ask how phenomena

should be measured, observed Giorgi, the interpretive/qualitative researcher

asks, “What do the phenomena mean?” [5] Or as John Van Maanen noted,

qualitative research is “an umbrella term covering an array of interpretive

techniques which seek to…come to terms with the meaning, not the frequency,

of…phenomena in the social world.” [6] Given the variety of research techniques

that come under the larger title of “qualitative,” scholars often distinguish

between two major threads of qualitative inquiry: interpretive and critical. [7]

We’ll explore strictly interpretive research in this section and then review the

critical approach in the next section.

Chesebro and Borisoff have divided interpretive research into three foci: (1)

observing “how people communicate in their own natural environments,” (2)

discovering “when they are guided by their own personal objectives,” and (3)

learning “how they give meaning to their communication, especially…for those

pragmatic objectives that determine and control day-to-day existence.” [8] Let’s

review each aspect one at a time.

Communicating in Natural Environments

One goal of interpretive research is the desire to see how people communicate in

their natural environments rather than in a laboratory setting. Interpretive

researchers in organizational communication ideally want to observe people

going about their daily communicative routines with coworkers in a normal

fashion. [9] Interpretivists believe that communication in one’s natural

environment will be unforced and resemble how people actually communicate

instead of how they perceive their communication “should” be (which is an

inherent problem with some social-scientific research, especially surveys).

Guided by Personal Objectives

Second, interpretivists want to observe participants as they go about their daily

lives doing what they normally would do without altering their behaviors for the

researcher(s). One of the inherent differences between social-scientific research

and interpretive research is that interpretivists do not go into the research

encounter expecting to “see” anything specific. Social scientists set specific

hypotheses, determine how to test those hypotheses, and test the hypotheses;

thus, social scientists go into a research setting expecting to “see” something

very specific. Interpretivists, on the other hand, go into a research encounter to

observe and learn and ultimately see what their participants show them. Instead

of going in with a preset agenda, interpretivists watch how people behave when

the participants are guided by their own personal objectives and not those of the

researcher.

Giving to Their Own Communication

Lastly, interpretivists are interested in how people understand, and give meaning

to, their own communicative behavior. Humans generally behave and

communicate for an array of reasons and thus understand and ascribe a variety of

meanings to their communication. Interpretive researchers are less concerned

with attaching some kind of meaning to participants’ communications than they

are with understanding how participants view their own communicative

behaviors. As an outsider looking in, we can ascribe all kinds of incorrect

meanings to an individual’s communicative behavior. But when we get inside a

communicative interaction from the participant’s point of view, we can begin to

understand why someone is communicating in a specific manner and why that

communication is important to her or him. In an organizational setting, an

interpretive researcher might be interested in understanding how people view the

balance between their work lives and personal lives. Only after engaging with

people in the organization can the researcher start to develop a better idea of how

subjects view the work-life balance. Renee Cowan and Mary F. Hoffman did just

this in their study, reviewed in the accompanying sidebar, of how people view

their work and personal lives.

For more information on conducting interpretive research, two excellent

resources are Lindlof and Taylor’s [10] and Tracy’s [11] books on interpretive

research methods.

Example of Interpretive/Qualitative Research

The Flexible Organization: How Contemporary Employees Construct the

Work/Life Border

By Renee Cowan and Mary F. Hoffman [12]

In this study, the researchers set out to qualitatively examine how individuals

manage their work lives and their personal lives with each other. Specifically,

the researcher had one overarching research question in this study:

RQ1: How do employees of today define the terms flexibility and

permeability in regard to work/life balance?

The researchers recruited 30 participants. All participants had to be at least 18

years of age and currently employed in an organization that provided benefits

(e.g., retirement, stock options, health care). Ninety-nine percent of the

sample were permanent employees, 44 percent were female, and 56 percent

were male. Seventy percent of the sample were married, and 76 percent of the

sample had children.

All the participants agreed to take part in an interview about their

“perceptions and definitions of work/life balance, what balancing work/life

issues meant and looked like in their lives, what their company did that made

it easy or difficult to balance work/life issues, and any stories they had heard

about people using work/life benefits in their company” (p. 39). Ultimately,

the thirty interviews generated 112 single-spaced pages of transcribed text for

analysis.

Overall, the researchers found that the terms flexibility and permeability were

used interchangeably by the participants. Furthermore, these issues can be

broken into four distinct themes: time, space, evaluation, and compensation.

Time flexibility. Employees wanted to have flexibility in how their time was

calculated by the organizations. This included flex-time issues (instead of

coming in at eight and leaving at four, you could come in at ten and leave at

six), and the possibility of examining time over a larger period (not always

counting up forty hours within one work week, but averaged over the entire

year).

Space flexibility. Employees saw space issues as a two-pronged construct:

physical space and mental space. Physical space flexibility is the notion that

individuals should have the ability to telecommute and work from home

when possible. Mental space is the notion that individuals should be allowed

to think about work at home and think about home at work.

Evaluation flexibility. Employees believed that the evaluation of one’s work

should be based on the quality of the work itself and not on the amount of

time an individual spends in the office doing the work.

Compensation flexibility. Employees believed that their quality work should

receive extra financial compensation (bonuses, increase in pay, etc.) or time

compensation (increased number of vacation days, telecommuting options,

etc.).

Critical Approach

Traditional social-scientific research wants to make hypotheses and test them;

interpretive research wants to study how people communicate in a natural

environment and how they understand that communication. Critical research is

less concerned with explaining or understanding organizational communication

than it is with “analyzing values and judging, or criticizing, them.” [13] As the

word “critical” entails, critical research is about seeing how society—or for our

purposes, organizations—exists in a world of power imbalances. Within most

groups, there are those with power and those without. Critical researchers

strongly believe those with power inherently prevent those without from

achieving equality. As such, “critical scholarship tends to stand on the side of

‘weaker’ parties when studying or commenting upon relations of dominance.” [14]

Mats Alvesson and Karen Ashcraft have described critical research in four

dimensions: (1) critically questioning ideologies, institutions, interests, and

identities (the “four I’s”) that dominate a society or organization, are in some

way harmful, and yet are often unchallenged because the power imbalance is

made to seem natural; (2) “denaturalizing” the four I’s and “rearticulating” a new

vision; (3) inspiring social reform by resisting efforts of the four I’s to have

people accept the status quo as natural; and (4) recognizing that “real” conditions

may constrain choice and action in the contemporary organizational world. [15]

Questioning the Four I's

The first dimension in critical research identified by Alvesson and Ashcraft is

critically questioning ideologies, institutions, interests, and identities that appear

dominant and are in some way problematic. [16] Let’s look at each of these four

I’s in turn.

Ideologies

First, ideologies are the beliefs, myths, and doctrines that guide an individual,

group, or organization. Critical researchers examine whether or not ideologies

developed in an organization are fundamentally harmful, especially to workers.

Furthermore, they look to see if specific ideologies are unchallenged. For

example, much that is done within some organizations in the name of “profits”

can subordinate worker interests; yet the ideology that making a profit is good

for management and labor alike can seem only natural and thus be unquestioned.

Critical theorists look at a variety of ideologies that exist (and get

communicated) within an organization to shed light on how ideologies function

to preserve the power and dominance of management.

Institutions

Second, critical researchers examine whether various institutions that are

dominant in society impose ideological structures—such as racism and sexism—

that favor those in power and harm the general worker. Lammers and Barbour

have defined institutions as “constellations of established practices guided by

enduring, formalized, rational beliefs that transcend particular organizations and

situations.” [17] Thus, for example, systems of government, economy, or religion

are institutions. Organizations are, in fact, one of the key institutions of modern

society and therefore draw considerable attention from critical researchers. In

particular, they critique the structures that organizations create to maintain

managerial power. We’ll talk more about this idea in Chapter 4.

Interests

Third, critical researchers strive to expose the various interests that operate

within an organization, even when it outwardly seems stable and unified.

Specifically, critical researchers examine how an individual or group of

individuals maintains its power and advances its agenda, even though that

agenda may be hidden. In fact, the interests of those in power are often not the

same as those without power.

Identities

Lastly, critical researchers examine various identities that could be harmful or

underchallenged. For critical purposes, identity refers to the state of being or

believing that you are the same person or thing described or claimed by those

with power. For example, you might be labeled a “good worker” so you won’t

question the expectation of putting in fifty or sixty hours a week at your job.

Further, use of the “good worker” label may be a veiled threat that “bad

workers” get fired and only “good workers” get promoted. As such, workers

often adopt either the good or bad worker identity without ever realizing that it is

a tool of managerial control.

Denaturalization and Rearticulation

After identifying relevant ideologies, institutions, interests, and identities, a

critical researcher must “articulate an alternative position that challenges

conventional representations and critically probes (rather than taking at face

value) the reported views and experiences of research participants.” [18] In

essence, critical researchers hold up ideologies, institutions, interests, and

identities that have come to seem normal and natural and “denaturalize” them as

creations of people in power that can be altered. This leads to reopening the

discussion and articulating a new vision for ideologies, institutions, interests, and

identities that is more egalitarian and based on a truly informed consensus

between management and workers.

Inspiring Social Reform

After reopening ideologies, institutions, interests, and identities that had

previously been unchallenged, the next step is seeking change at a societal level.

Critical researchers do not stop at merely noticing the problems that exist in

society. They desire to change the power imbalances that exist by helping people

see new ideas, selves, motives, and practices. In the organizational context, the

goal is to emancipate workers or “break away from structures and ideologies that

tend to constrain forms of consciousness into prespecified routes that stifle

imagination.” [19]

Constraints on Choice and Action

While it would be wonderful if modern organizations could be utopian

enterprises where everyone was truly equal, critical researchers realize that

overly revolutionary or radical perspectives on organizing the modern workplace

may not be realistic or helpful. [20] Instead, critical researchers focus on the real

lives and experiences of people in modern organizations. This isn’t to say that

researchers must always be strictly “realistic” but, rather, that critical scholarship

“seeks to acknowledge how realizing ideals such as class, gender, race, and

ecological justice may have drastic consequences for the material functioning of

organizations alongside effects on member subjectivities.” [21]

Overall, critical research offers a proactive perspective on organizational

communication scholarship. For more information on conducting critical

research, we recommend Swartz’s (1996) [22] book on critical research methods

in communication.

Example of Critical Research

The Communicational Basis of the Organizational Text as Macroactor:

A Case Study of Multilevel Marketing Discourse

By Walter J. Carl [23]

In this study, Carl wanted to examine a macroactor (an individual who is

empowered to speak on behalf of a large number of people). In this specific

analysis, the macroactor was a letter to the editor in Forbes magazine by Ken

McDonald, the managing director of Quixtar, Inc. Prior to this letter, Karen J.

Bannan had written an article in Forbes titled “Amway.com” that discussed

how the notorious multilevel-marketing firm Amway was the sister company

of Quixtar, along with the perils of multilevel marketing. McDonald’s letter

in response to the Bannan letter to the editor took issue with the article

because it “ ‘did not provide an accurate picture of the company,’ citing an

inaccurate understanding of the corporate relationship among Amway,

Quixtar, and Alticor, unfair representations of Quixtar business meetings as

‘cult-like,’ and only publishing accounts from dissatisfied ‘Independent

Business Owners’” (p. 23).

The purpose of Carl’s analysis of McDonald’s letter was to demonstrate that

the letter is a clear piece of organizational rhetoric. While the organization

attempts to hide its actions in the voice of a single individual speaking out,

the very act of this letter is clearly a message with backing from the

institution itself. To aid in the development of his argument, McDonald

examined four major issues: “(1) the features of the text that make it a letter

to the editor and not, for example, a press release or news story or some other

kind of text [company logo, date, salutation, name of author, author identity,

etc.]; (2) the issue of authorship and its authorizing function [the signature on

the letter with the company’s logo makes the letter act as a function of the

organization itself]; (3) the presuppositions that, though absent, are necessary

for the text to ‘make sense’ to its audience [the primary presupposition is that

the reporter did not provide a fair, accurate, and objective account of

Quixtar]; and (4) how the text is constructed to orient to these

presuppositions and to build up a rhetorical case imputing motive to Forbes

magazine [the letter systematically explains why Quixtar felt the need to

respond]” (pp. 23–24).

Comparing the Three Traditions

Now that we’ve explained how each of the three methodological traditions

approaches organizational communication, let’s see how they compare side by

side. Table 1.3 charts how social-scientific/quantitative, interpretive/qualitative,

and critical research differ in their respective understandings and approaches to

organizational communication.

Table 1.3 How the Three Methodologies Compare

Methodological Traditions

Issue Social Science Interpretive Critical

Basic Goal

The goal of social scientific

research is to classify

organizational communicative

phenomena, measure them, and

construct statistical models to

explain the phenomena.

The goal of

interpretive research is

a complete, detailed

description of the

organizational

communication

phenomenon

examined.

The goal of critical research is

to examine how organizations

exist in a world of power

imbalances.

View of

Organization

Organizations are naturally

existing phenomena open to

description, prediction, and

control.

Organizations are

social entities with

day-to-day talk, rites,

rituals, and stories that

develop their own

unique culture with

Organizations are inherently

places of power imbalances.

Workers are typically

subjugated by superiors who

have implicit or expressed

aspects similar to other

cultures.

power.

Study

Purpose

Social-scientific researchers

have a very clear idea what

they are examining at the start

of a research study.

Interpretive

researchers generally

only have a vague idea

of what they are

looking for at the start

of a research study and

prefer to view

organizational

phenomena from the

viewpoint of their

participants.

Critical researchers generally

select artifacts from

organizations or about

organizations and analyze

those artifacts in an effort to

see how power is

communicated and utilized

within an organization.

Research

Design

Social-scientific research

designs are very carefully

planned before the data are ever

collected.

Interpretive research

designs develop over

the course of data

collection.

Critical researchers can follow

very stringent ways of

analyzing artifacts or create

the ways of analysis while

examining the data.

Tools of

Research

Scientific/quantitative

researchers use a variety of

measurement devices (e.g.,

questionnaires) as the primary

tool of data collection.

Interpretive/qualitative

researchers collect

their data themselves

through interviews and

observation, so the

researcher is the

primary tool of data

collection.

Critical researchers do not

need data sources beyond the

act (an actual communication

event) or artifact (the record of

a communication event) being

analyzed.

Writing

Style

Numbers and statistics are the

primary forms of data. Writing

tends to be very formal.

Words, pictures, and

artifacts are the

primary forms of data.

Writing tends to be

very narrative.

Acts and artifacts are the

primary forms of data. Writing

tends to be narrative.

Research

Scope

Social-scientific research tends

to be more succinct and quickly

conducted and can be

generalized to larger groups

than the sample utilized in the

study.

Interpretive research

tends to be more

detailed, time

consuming, and

limited to the group

the researcher studied.

Critical research tends to be

detailed in its analysis, but the

findings should help

researchers understand

organizational communication

in an effort to move toward

egalitarian power structures.

View of

Research

Social-scientific research is

more objective and able to

achieve a more detached view

of the communication

phenomena.

Interpretive research is

more subjective and

able to achieve an

insider’s point of view

of the communication

phenomena.

Critical research is highly

subjective to the individual

point of view of the critic. As

such, critics with differing

political persuasions will view

the same acts and artifacts in

differing ways.

Purpose of

Theory

Scientific/quantitative

researchers view theory as the

guiding metaphor for research.

As such, research starts with

theoretical ideas, then poses

and tests hypotheses, and

makes revisions to the theory.

Interpretive/qualitative

data collection ends

with the creation of

hypotheses and the

generation of theory.

Theory can either guide a

critical study or be arrived at

through the process of

analyzing an artifact.

Critiques

A lot of social-scientific

research is prescription based

and looks at skills people need

to have in modern

organizations. However, the

researcher is ultimately

responsible for which skills are

analyzed. Furthermore, there

tends to be little research

examining skills interculturally.

Interpretive research is

often very subjective.

Furthermore, there is a

serious debate as to

whether the

information gained

from one organization

can or should impact

how we view another

organization.

Critical research is often very

subjective and open to

interpretation based on one’s

political persuasion.

Furthermore, critical research

tends to err on the side of those

who are without power and are

in the minority, so the innate

political bias can be

problematic for some.

Wrench, J. S. (2013). Communicating within the modern workplace: Challenges

and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st

century: Tools and strategies that impact the bottom line: Vol. 1. Internal

workplace communication (pp. 1-38). Santa Barbara, CA: Praeger.

The current state of organizational communication research was suggested in a

2007 study by Patric Spence and Colin Baker. [24] They surveyed 153 scholarly

articles, published between 1998 and 2004 by major communication journals,

that addressed the subject of organizational communication. Their survey,

depicted in Figure 1.4, found that nearly half of the articles presented findings

from quantitative research, while about a third presented qualitative (i.e.,

interpretive and critical) research. Thus, organizational communication research

today attracts a wide range of scholars and methodologies.

Figure 1.4 Types of Research Conducted

KEY TAKEAWAY

The social-scientific/quantitative approach to organizational

communication research starts with the decision to test a specific

theory about organizational communication, which leads to

hypotheses being made, data being gathered and interpreted,

and the data leading to further generalizations that help refine the

original theory. Social scientists typically conduct research using

surveys, experiments, or content analysis that can be analyzed

using statistical reasoning.

The interpretive/qualitative approach to organizational

communication research is concerned not with measuring the

frequency of social phenomena but with interpreting their

meaning. Although many research techniques fall under the

“qualitative” label, they share three foci: observing how

participants communicate in their natural environments rather

than a laboratory setting, observing participants going about their

normal routines without altering their behaviors for the researcher,

and learning the meanings that participants give to their own

communicative behavior. Unlike social scientists who expect to

“see” a specific result, interpretive researchers enter a research

encounter to observe and learn what participants show them.

The critical approach to organizational communication research

seeks to expose the power imbalances in organizations and the

wider society. As such, critical researchers question the “four

I’s”—namely, the ideologies, institutions, interests, and identities

that dominate an organization; are in some way harmful; and yet

are often unchallenged because the power imbalance is made to

seem normal and natural. Critical researchers strive to

“denaturalize” organizational power imbalances, articulate new

possibilities that were previously excluded, and thus inspire

resistance and reform. At the same time, critical researchers

recognize that “real” conditions may constrain choice and action

in the contemporary organizational world.

EXERCISES

1. Create an experiment testing the impact that verbal, nonverbal, or

mediated messages have on whether or not an organization’s

Surveys :

employees or members understand a new organizational policy.

2. Choose an organization to which you belong. The organization

need not be your workplace; a club, community group, or house of

worship will do just as well. Now get a sense of

interpretive/qualitative research by stepping back for a moment, as

best you can, observing with fresh eyes the members’ natural

communication with each other, their normal communicative

routines and behaviors, and the meanings they give to their

communication. What did you observe about communication in your

group that previously you had taken for granted and not even

thought about because it seemed natural to communicate that way?

3. Think again of the organization you chose for Exercise 2 above.

What are its dominant ideology, dominant interest, and dominant

identity? How do these employ communication to preserve

imbalances of power and make those imbalances seem normal and

natural? What ideologies, interests, and identities are silenced or

subjugated by this communication? What resistance is realistically

possible? How could you employ communication to help reform the

organization?

KEY TERMS AND DEFINITIONS

Form of social-scientific research based on a series of questions designed to measure individuals’ personality/communication traits,

Content Analysis:

Experiment :

Identities :

Ideologies :

Institutions :

Interests :

attitudes, beliefs, and/or knowledge on a given subject.

Form of social-scientific research based on taking a series of artifacts and numerically coding information contained within the artifacts to see if a discernible pattern emerges.

Form of social-scientific research based on the manipulation of some facet of a participant’s experience to determine how that participant responds.

The state of being or believing that you are the same person or thing described or claimed by those with power.

The beliefs, myths, and doctrines that guide an individual, group, or organization.

Structures of established practices that transcend any single organization.

Whether or not an individual (or group of individuals) has a clear advantage or advancement of a personal or group agenda that is not necessarily clearly articulated to everyone within an organization.

[1] Spence, P. R., & Baker, C. R. (2007). State of the method: An

examination of levels of analysis, methodology, representation, and

setting in current organizational communication research. Journal of the

Northwest Communication Association, 36, 111–124.

[2] Giorgi, A. (1971). Phenomenology and experimental psychology. In A.

Giorgi, W. F. Fischer, & R. Von Echartsberg (Eds.), Duquesne studies in

phenomenological psychology (Vol. 1, part 1). Pittsburgh, PA: Duquesne

University Press.

[3] Wrench, J. S., Thomas-Maddox, C., Richmond, V. P., & McCroskey, J.

C. (2008). Quantitative research methods for communication: A hands-on

approach. New York, NY: Oxford University Press.

[4] Rizzo, B. J., Wanzer, M. B., & Booth-Butterfield, M. (1999). Individual

differences in managers’ use of humor: Subordinate perceptions of

managers’ humor. Communication Research Reports, 16, 360–369.

[5] Giorgi, A. (1971). Phenomenology and experimental psychology. In A.

Giorgi, W. F. Fischer, & R. Von Echartsberg (Eds.), Duquesne studies in

phenomenological psychology (Vol. 1, part 1). Pittsburgh, PA: Duquesne

University Press, p. 21.

[6] Van Maanen, J. (1979). Reclaiming qualitative methods for

organizational research: A preface. Administrative Science Quarterly, 24,

520–526, p. 520.

[7] Fink, E. J., & Gantz, W. (1996). A content analysis of three mass

communication research traditions: Social science, interpretive studies,

and critical analysis. Journalism & Mass Communication Quarterly, 73,

114–134.

[8] Chesebro, J. W., & Borisoff, D. J. (2008). Interpretive research. In J.

S. Wrench, C. Thomas-Maddox, V. P. Richmond, & J. C. McCroskey

(Eds.), Quantitative research methods for communication: A hands-on

approach (pp. 449–486). New York, NY: Oxford University Press, p. 451.

[9] Yanow, D., & Ybema, S. (2009). Interpretivism in organizational

research: On elephants and blind researchers. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 39–60). Los Angeles, CA: Sage.

[10] Lindlof, T. R., & Taylor, B. C. (2002). Qualitative communication

research methods (2nd ed.). Thousand Oaks, CA: Sage.

[11] Tracy, S. J. (2013). Qualitative research methods. Malden, MA:

Wiley-Blackwell.

[12] Cowan, R., & Hoffman, M. F. (2007). The flexible organization: How

contemporary employees construct the work/life border. Qualitative

Research Reports in Communication, 8, 37–44.

[13] Fink, E. J., & Gantz, W. (1996). A content analysis of three mass

communication research traditions: Social science, interpretive studies,

and critical analysis. Journalism & Mass Communication Quarterly, 73,

114–134, p. 115.

[14] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage, p. 61.

[15] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage, p. 63.

[16] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage.

[17] Lammers, J.C., & Barbour, J. B. (2006). An institutional theory of

organizational communication. Communication Theory, 16, 356-377; p.

357.

[18] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage, p. 64.

[19] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage, p. 64.

[20] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage.

[21] Alvesson, M., & Ashcraft, K. L. (2009). Critical methodology in

management and organization research. In D. A. Buchannan & A.

Bryman (Eds.), The SAGE handbook of organizational research methods

(pp. 61–77). Los Angeles, CA: Sage, p. 65.

[22] Swartz, O. (1996). Conducting socially responsible research: Critical

theory, neo-pragmatism, and rhetorical inquiry. Thousand Oaks, CA:

Sage.

[23] Carl, W. J. (2005). The communicational basis of the organizational

text as macroactor: A case study of multilevel marketing discourse.

Qualitative Research Reports in Communication, 6, 21–29.

[24] Spence, P. R., & Baker, C. R. (2007). State of the method: An

examination of level of analysis, methodology, representation, and setting

in current organizational communication research. Journal of the

Northwest Communication Association, 36, 111–124.

1.5 Chapter Exercises

REAL-WORLD CASE STUDY

Around the world, this nonprofit has many different names: in

Albania, Rruga Sesam; in Egypt, Alam Simsim; in India, Galli Galli

Sim Sim; in Indonesia, Jalan Sesama; in Israel, Rechov Sumsum; in

Palestine, Shara’a Simsim; in Serbia, Ulica Sezam; in South Africa,

Takalani Sesame; and in the United States, Sesame Street. In all,

twenty versions of Sesame Street are produced through the

Sesame Workshop, the nonprofit organization behind Sesame

Street. The goal of the Sesame Workshop is to improve the lives of

children and their societies in four specific domains: health and

wellness, respect and understanding, literacy and numeracy, and

emotional well-being.

In the 2006 documentary The World According to Sesame Street,

the filmmakers introduce you to a world coping with violence

(Kosovo), AIDS (South Africa), poverty (India), and gender

inequality (Egypt). And all over the globe, the Sesame Workshop

teaches students their alphabets and numbers because the Sesame

Workshop realizes that the only way to ensure a child’s future is

through education.

1. Of the four types of organizations discussed by Blau and Scott,

which type of organization is the Sesame Workshop? Why?

2. The Sesame Workshop is constantly attempting to address local

issues with their international programs. If you were going to

create a Sesame Street for corporations, what lessons do you

think they need to learn?

3. If you were producing a new Sesame Street in Iraq, what kind of

inputs from the environment do you think you would need?

REAL-WORLD CASE STUDY

Erik Lie and Randall Heron, two University of Iowa associate

professors in finance, conducted a research study in 2005 that

determined many CEOs were manipulating their stock-option

accounting rules in order to increase their annual salaries. In fact,

Lie and Heron found that upward of 29 percent of all public

corporations had major stock-option irregularities. Basically,

organizations were delaying their stock paperwork for months in an

attempt to look back and select the most lucrative dates for

reporting, which is a violation of federal law. Lie and Heron found a

way to actually determine whether or not an organization was

perpetrating this type of fraud. When the researchers realized what

they had found, they contacted the United States Securities and

Exchange Commission and showed the Wall Street Journal how to

use options records to look for fraud.

As a result of their research, Lie and Heron established a consulting

firm that examines whether accounting irregularities are simple

paperwork mistakes or something more fraudulent. The two make

more than $400 an hour examining corporations’ accounting records

and working with plaintiffs’ lawyers as expert witnesses. In a world

where CEOs are often being led out of their corporations in

handcuffs, organizations and lawyers are forced to take Lie and

Heron’s research findings very seriously.

1. While this specific case study examines accounting problems, do

you think there are any communication problems that can lead to

lawsuits?

2. Do you think a university researcher should be able to financially

profit from her or his research?

3. While more than two thousand organizations have been found to

have options irregularities, Lie and Heron suspect that some of

those organizations may be innocent. Could putting their research

out for the public have a negative effect on innocent

organizations? Do you think putting innocent organizations under

more scrutiny in order to find guilty organizations is justifiable?

REAL-WORLD CASE STUDY

On October 9, 2007, Harris Interactive found that in the United

States (32 percent) and Spain (28 percent), the most important

aspect of one’s job was salary. While salary was found to be

important elsewhere in Europe, Great Britain (33 percent), France

(30 percent), Italy (29 percent), and Germany (25 percent),

Europeans found the interesting nature of their jobs more important:

Great Britain (36 percent), France (44 percent), Italy (37 percent),

and Germany (44 percent). In the United States (28 percent) and

Spain (25 percent), lower percentages of people found the

interesting nature of their job to be the most important.

The study also asked the international participants to what degree

they liked their current bosses. In the United States (65 percent),

Great Britain (56 percent), and France (52 percent), the majority of

individuals polled liked their bosses. However, in Italy (48 percent),

Spain (34 percent), and Germany (47 percent), the majority of

individuals polled did not like their bosses.

1. Why do you think individuals in the United States and Spain

consider salary more important than the interesting nature of the

job?

2. Why do you think individuals in Great Britain, France, Italy, and

Germany find the interesting nature of the job more important

than their salary?

3. Does it surprise you that individuals in the United States are

considerably more satisfied with their bosses than the other

countries polled?

END-OF-CHAPTER ASSESSMENT

1. Joana works for an organization that prides itself on openness and transparency. However, the organization tends to actually insulate itself from what’s going on with its various competitors, its local community, and even governmental regulations. Based on this information, what can you say accurately about Joana’s organization’s relationship with its external environment?

a. the organization has open boundaries b. the organization has closed boundaries c. the organization has a tall hierarchy d. the organization has a flat hierarchy e. the organization has limited outputs

2. Stewart sat down with a set of spreadsheet data and quickly realized that if his coffee shop was going to last the summer, he really needed to spend more time focusing on business from tourists because they were his only real potential for growth. Which of Edward Gross’s organizational goals is Stewart faced with?

a. output goals b. adaptation goals c. management goals d. motivation goals e. positional goals

3. Diana works for an organization that on the surface says it’s very creative and always looking for new ways of doing business. However, every time Diana brings up a new idea she’s immediately shot down with a “but we’ve always done it this way” attitude from her management. Which of the dialectical tensions of control is Diana facing?

a. systemization vs. autonomy b. agreement vs. dissent c. conventionality vs. innovation d. organization vs. self-focused e. organizational vs. individual rights

4. Who is considered to be the Father of Organizational Communication?

a. Elton Mayo b. Chester Barnard c. Lee Thayer d. Fredric M. Jablin e. W. Charles Redding

5. Which of the three methodologies used by organizational communication scholars uses survey, experiments, and content analyses to examine organizational communication phenomena?

a. social-scientific b. qualitative c. interpretive d. critical e. rhetorical

Answer Key

1. b

2. b

3. c

4. e

5. a

Chapter 2

Organizational Communication Ethics

© Thinkstock/iStock

Why Ethics?

In this chapter, we examine how the philosophical world of ethics can be applied

to organizational communication. When people hear the word ethics used in

modern society, many different images and incidents quickly come to mind.

Sadly, the twenty-first century has already been plagued with many ethical

lapses in the business sector. Turn to any major global news station, newspaper,

magazine, or podcast and you’re likely to hear about some business that is

currently in a state of crisis due to lapses in ethical judgment. Table 2.1 contains

a short list of organizations and their various ethical lapses in judgment.

Table 2.1 Modern Ethical Lapses in Organizations

Organization Ethical Lapse

Arthur Andersen Accounting fraud; shredding documents wanted in a criminal investigation

Boeing Industrial espionage

Bridgestone-

Firestone Delayed a recall of defective tires

Catholic Church Sex abuse and cover-up

Coca-Cola Took groundwater from local farmers in India

Enron Accounting fraud

Halliburton Overbilled for products and services

Martha Stewart,

Inc.

CEO convicted of insider trading

McDonald’s Eight individuals provided family and friends with winning tickets in McDonald’s

sweepstakes promotion

Merrill Lynch Lied to investors

Napster Digital copyright violations

Parmalat Accounting fraud

Sanlu Group Knowingly distributed tainted baby formula

Tyco CEO convicted of embezzling

US military Abused prisoners of war in Iraq and Afghanistan

WorldCom Accounting fraud

Xerox Exaggerated revenues

In this chapter, four distinct areas of ethical understanding will be explored: the

nature of ethics, business ethics, communication ethics, and organizational

communication ethics.

2.1 Nature of Ethics

LEARNING OBJECTIVES

1. Define the term ethics and how it relates to both means and ends.

2. Explain the four different ethical frameworks discussed in the

ethical matrix.

3. Differentiate among the eleven philosophical perspectives of

ethics and how they apply to both business ethics and

communication ethics.

According to the Oxford English Dictionary, the word ethics derives from the

Greek word ethos, which means the nature or disposition of a culture. [1] Ethics

is further characterized as both a field of study concerned with moral principles

and as the moral principles that govern or influence human behavior. Parhizgar

and Parhizgar define ethics as the “critical analysis of cultural values to

determine the validity of their vigorous rightness or wrongness in terms of two

major criteria: truth and justice. Ethics is examining the relation of an

individual to society, to the nature, and or to God. How do people make ethical

decisions? They are influenced by how they perceive themselves in relation to

goodness and/or excellence.” [2]

Based on this definition, the study of ethics is “concerned with cultural value

systems that are operable, either with intending to do something or actually

doing something in the realm of goodness.” [3] As we will see in this chapter,

determining “goodness” is not always black and white. To help illustrate this

point, consider the following four scenarios below. In an effort to win a new

client for your business, you choose to do one of the following:

Scenario 1: Deliver a well-supported presentation demonstrating that your

company is better able than your competitor’s to help the prospective client

expand its market share; the client signs a contract and you help increase its

market share.

Scenario 2: Lie during a presentation to impress the prospective client, who

then signs a contract with your company; ultimately, you cause the client to

lose market share.

Scenario 3: Lie during a presentation to impress the prospective client, who

then signs a contract with your company; despite the lie, you help the client

expand its market share.

Scenario 4: Deliver a well-supported presentation arguing that your

business is better able than your competitor’s to help the prospective client

expand its market share; after the client signs a contract, however, you must

acknowledge that a competitor is actually a better fit for the client and, in

fact, you are causing the client to lose market share.

Each scenario can be broken down into two parts: means and ends. According to

McCroskey, Wrench, and Richmond, means are the tools or behaviors employed

to achieve a desired outcome, while ends are the outcomes that one desires to

achieve. [4] Both means and ends can be evaluated as either good or bad.

Remember, Parhizgar and Parhizgar’s definition of ethics involves the intent to

behave, and to actually behave, in the realm of goodness. [5] McCroskey took

this a step further to suggest that, in addition to the intent and the behavior, the

goodness of the outcome is also a vital ethical consideration. [6] From this ethical

framework (later expanded by McCroskey, Wrench, and Richmond [7]) we can

derive the ethical matrix shown in Figure 2.1. The matrix combines “good” and

“bad,” plus “means” and “ends,” to produce four possibilities we have labeled

Ethical Behavior, Unethical Behavior, Machiavellian Ethic, and Subjective

Ethic.

Figure 2.1 The Ethical Matrix

Good Means/Good End: Ethical Behavior

Scenario 1 is an example of a “good” mean leading to a “good” end, or what is

termed ethical behavior in the ethical matrix. In this case, you developed a clear

argument based on facts to persuade a client (means). As a result of signing with

your company, the client increased its market share (end). In essence, you had a

good means (factually supported argument) that led to a good end (increased

market share). Behavior that contains both a good means and a good end is

considered ethical behavior.

Bad Means/Bad End: Unethical Behavior

Scenario 2 illustrates a “bad” means leading to a “bad” end, or what is termed

unethical behavior in the ethical matrix. To gain the contract you lied to the

client (means). After the client was duped into signing with your company, the

client lost market share (end). In this case, you had a bad means (lying to the

client) that led to a bad end (decreased market share). When a bad means leads

to a bad end, the behavior is considered unethical.

The first two quadrants in the ethical matrix are obvious and easily discerned in

the world of business. Often, however, determining the ethical nature of behavior

is not as clear as in the first two examples. The next two examples provide the

last two variations in the ethical matrix.

Bad Means/Good End: Machiavellian Ethic

Scenario 3 describes a “bad” means that leads to a “good” end, or what is termed

the Machiavellian ethic in the ethical matrix. In this case, you purposely lied to

the client in an effort to win the contract. Despite this, the client actually gained

market share. Here we have a situation where there was a bad means (lying to

the client) that led to a good end (increased market share). When a bad means

leads to a good end, we refer to this as the Machiavellian ethic. The term

Machiavellian ethic derives its name from Niccolò Machiavelli, whose book The

Prince was written in 1513. The Prince was written during a dark period in

Machiavelli’s life after he had been imprisoned and tortured for his alleged role

in a conspiracy to assassinate a member of the ruling Medici family. Banished to

the Tuscan countryside, Machiavelli set about writing a treatise to help the

Medicis stay in power. While some ethicists claim that a bad means is always

unethical, others claim that “the end justifies the means.” Machiavelli argued in

The Prince that, while leaders should, if possible, avoid the hatred of their

subjects, it is better for leaders to be feared than loved. Since Machiavelli

believed that a leader’s primary job is to foster order and protect the people, a

prince must use any means necessary to achieve those ends. Although

Machiavelli never actually wrote “the end justifies the means,”

Machiavellianism is closely aligned with this general notion.

Good Means/Bad End: Subjective Ethic

Scenario 4 depicts a “good” means that leads to a “bad” end; this is termed a

subjective ethic in the ethical matrix. In this case, you presented a clear case to

the client based on your interpretation of the facts (means). But the client, after

signing with you, lost market share (end). When a good means (clear argument)

leads to a bad end (decreased market share), we refer to this as a “subjective”

ethic because your intent (as the presenter) is ultimately known only to you. On

the one hand, you may have honestly believed your interpretation of the facts,

even though the eventual outcome was not as you hoped. On the other hand, you

may have “spun” the facts to your advantage, despite knowing that lost market

share was a possible outcome if your interpretation proved wrong. Indeed, it is

even possible that you honestly presented the facts to the client, but all along

intended to win the contract and then undermine the client’s market position. So

your intention in making a clearly presented argument might alternatively have

been sincere, self-serving, or malicious. This is why we call this ethical situation

subjective, because it depends on the person’s intent.

While a discussion of means and ends is a helpful way to frame ethical thoughts,

many philosophical traditions have explored the nature of ethics. Table 2.2 lists

eleven major philosophical perspectives that have been used to determine what

is and is not ethical.

Table 2.2 Major Ethical Perspectives

Ethical Perspective Basic Premises Business Application Communication

Application

Altruism

The standard is based on

doing what is best or good for

others.

Ethical business behavior

must be good for other

people.

Communicative

behavior must lead

to a good end for

the receiver.

Categorical

Imperative/Deontology

The standard is based on the

notion that moral duties

should be obeyed without

exception. This perspective is

very clear on what is good and

what is bad—no middle

ground.

There are clear business

behaviors that are and are

not ethical, so all

individuals should avoid

behaving unethically in

business.

There are some

communicative

behaviors that are

never ethical (e.g.,

deception).

Communitarianism

The standard is based on

whether behavior helps to

restore the social fabric of

society.

Business must behave in a

manner that helps the

social fabric of society.

Communicative

behavior must help

the social fabric of

society.

Cultural Relativism

The standard is an individual’s

cultural or legal system of

values. These standards differ

from culture to culture.

(1) The law determines

business ethics.

(2) One’s nationalistic

culture determines what is

ethical.

(3) One’s organizational

culture determines what is

ethical.

Our legal system

and

cultures/cocultures

define ethical

communication.

Ethical Egoism

The standard is an individual’s

self-interest. Emphasis is on

how one should behave; it

encourages people to look out

People in business should

behave in whatever

manner is most effective

to achieve their self-

People should

communicate in

whatever manner is

most effective for

achieving their

for their own self-interests. interests. communicative

goals.

Justice

The standard is based on three

principles of justice: (1) each

person has a right to basic

liberties; (2) everyone ought

to be given the same chance to

qualify for offices and jobs;

and (3) when inequalities

exist, a priority should be

given to meeting the needs of

the disadvantaged.

Business decisions should

be made on how the

decisions will affect all

relevant stakeholders’

equally. However, when

stakeholders’ needs are in

conflict, priority should be

given to meeting the needs

of those in subjugated

stakeholder groups.

People should

communicate in a

manner that is

consistent with a

range of

stakeholders.

Nihilism

Ethics innately prevent

individuals from creating new

ideas and values that

challenge the status quo, so

individuals of superior

intellect should disavow any

attempt by others to subject

them to an ethical perspective.

Smart business people

should not be hampered in

their behavior by any

archaic or contemporary

notions of good and bad

business behavior.

Smart

communicators

know that what

matters is

achieving one’s

communicative

goals, so they

should not adhere

to any prescribed

notions of good

and bad

communicative

behavior.

People in business People actually

communicate in

Psychological Egoism

The standard is an individual’s

self-interest. Emphasis is on

how one actually behaves;

everything we do is influenced

by self-interested motives.

actually behave in

whatever manner is most

effective to achieve their

self-interests.

whatever manner is

most effective for

achieving their

communicative

goals.

Social Relativism

The standard is the interests of

an individual’s friends, group,

or community.

People in business should

behave in a manner

consistent with the

interests of their social

networks and

communities.

People in business

should

communicate in a

manner consistent

with the interests of

their social

networks and

communities.

Subjectivism

The standard is based on an

individual’s personal opinion

of moral judgment. For this

reason, perceptions of ethics

differ from person to person.

Whatever an individual in

business determines is

ethical for her or his

behavior is ethical for that

individual.

Individual

communicators

determine what is

and is not ethical

from their own

individual vantage

point.

Utilitarianism

The standard is the greatest

good for the greatest number

of people.

People in business should

behave in a manner that

does the greatest amount

of good for the greatest

People should

communicate in a

manner that does

the greatest amount

of good for the

number of people. greatest number of

people.

The eleven philosophical traditions described in Table 2.2 illustrate both the

great variety of ethical perspectives and that philosophers do not agree on any

single ethical system. [8] The rest of this chapter will focus on three contexts

where ethical thought has been applied: business, human communication, and

organizational communication.

KEY TAKEAWAY

The term ethics is a complicated one and has been defined by a

wide range of scholars over the years. Ultimately, ethics is an

examination of whether an individual uses “good” or “bad” means

in an attempt to achieve a desired outcome that could be deemed

“good” or “bad.” As simplistic as this may sound, actually studying

and determining whether behavior is ethical can be a daunting

task.

The ethical matrix examines the intersections of means and ends

by examining four distinct categories where ethical behavior may

occur. First, behavior is deemed ethical if an individual uses a

good means to achieve a good end. Second, behavior is deemed

unethical if an individual uses a bad means to achieve a bad end.

Third, behavior is referred to as the Machiavellian ethic when an

individual uses a bad means to achieve a good end. Lastly, when

an individual uses a good means to achieve a bad end, the

behavior is referred to as the subjective ethic.

There are many different philosophical traditions in the study of

ethics. Table 2.2 outlines eleven different ethical perspectives.

This table briefly explains each philosophical perspective and

then demonstrates how it can be applied both in a business

context and to organizational communication specifically.

EXERCISES

1. Look at a recent copy of Bloomberg Businessweek, the Wall

Street Journal, Fast Company, Forbes, or any other business-

oriented publication. Find articles that specifically discuss ethical

areas in modern business. How would you apply the definition of

ethics to these articles?

2. Look at a recent copy of Bloomberg Businessweek, the Wall

Street Journal, Fast Company, Forbes, or other business-oriented

publication. Find examples of each of the four different types of

ethical possibilities described by the ethical matrix.

3. Look at the list of major ethical lapses in business discussed at

the beginning of this chapter. Analyze one of the ethical lapses

listed, using three of the eleven philosophical perspectives on

ethics. How does filtering one’s ethical framework based on a

specific philosophical perspective alter how you view those ethical

Machiavellian Ethic:

Ends :

Ethical Behavior:

Ethics :

Means :

Subjective Ethic:

Unethical Behavior:

lapses?

KEY TERMS AND DEFINITIONS

Component of the ethical matrix in which an individual employs bad means that lead to a good end.

Component of ethical analysis in which one examines the outcomes that an individual or group of individuals desires to achieve.

Component of the ethical matrix in which an individual employs good means that lead to a good end.

The philosophical study and evaluation of the means and ends of human behavior.

Component of ethical analysis in which one examines the tools or behaviors that an individual or group of individual employs to achieve a desired outcome.

Component of the ethical matrix in which an individual employs good means that lead to a bad end.

Component of the ethical matrix in which an individual employs bad means that lead to a bad end.

[1] Ethics. The Oxford English Dictionary. (1963). Oxford, UK: Clarendon.

[2] Parhizgar, K. D., & Parhizgar, R. (2006). Multicultural business ethics

and global managerial moral reasoning. Lanham, MD: University Press of

America, p. 77.

[3] Parhizgar, K. D., & Parhizgar, R. (2006). Multicultural business ethics

and global managerial moral reasoning. Lanham, MD: University Press of

America, p. 77.

[4] McCroskey, J. C., Wrench, J. S., & Richmond, V. P. (2003). Principles

of public speaking. Indianapolis, IN: College Network.

[5] Parhizgar, K. D., & Parhizgar, R. (2006). Multicultural business ethics

and global managerial moral reasoning. Lanham, MD: University Press of

America, p. 77.

[6] McCroskey, J. C. (2006). An introduction to rhetorical communication:

A Western rhetorical perspective (9th ed.). Boston: Allyn & Bacon.

[7] McCroskey, J. C., Wrench, J. S., & Richmond, V. P. (2003). Principles

of public speaking. Indianapolis, IN: College Network.

[8] Lewis, P. V., & Speck, H. E. (1990). Ethical orientations for

understanding business ethics. Journal of Business Communication,

27(3), 213–232.

2.2 Business Ethics

LEARNING OBJECTIVES

1. Identify Cherrington and Cherrington’s typology of ethical lapses

in business.

2. Understand how Cherrington and Cherrington’s typology of ethical

lapses applies to the modern workplace.

3. Explain how computer-mediated social networking and

generational differences impact ethics in the modern organization.

© Thinkstock/iStock

Table 2.1 lists a number of ethical lapses perpetrated by various organizations

during the first decade of the twenty-first century. Business ethics is such a hot

topic that, since 2000, more than a thousand books have been written with the

phrase “business ethics” in the title. One could easily be misled, then, into

thinking that the idea of ethical business behavior and practices is a creation of

the twenty-first century. But discussion of ethical and unethical business

behavior is as old as the marketplace itself. Closer to our own day, the Center for

Business Ethics at Bentley College was founded in 1976 and a year later held the

first academic conference on the subject. [1] The published proceedings of that

conference became the first text on business ethics and an international

bestseller. [2] In 1982, the Journal of Business Ethics was launched. We mention

this brief history to show that the idea of ethics and ethical violations in

organizations is not a new academic endeavor or corporate phenomenon. To

more fully understand the subject of business ethics, we will examine the most

common ethical lapses in organizations and present a series of survey results that

suggest the current state of business ethics.

Typology of Ethical Lapses

While most organizations believe that their specific ethical dilemmas are unique,

Cherrington and Cherrington found that most organizations face very similar

ethical dilemmas. [3] In so doing, they developed a typology, or classification

system, of twelve specific issues in business. The following ethical issues are

illustrative statistics taken from the annual Deloitte Ethics & Workplace Survey [4] and from surveys conducted by the Ethics Resource Center: [5]

1. Stealing ranges from taking a box of pencils home for personal use, to

conducting personal business (such as making phone calls, playing

computer games, and chatting on Facebook) on company time, to skimming

millions of dollars from corporate accounts.

2. Lying may be rationalized as a way to get a job, keep a job, or win a

promotion. Some occupations even encourage deception as an integral part

of the work. [6]

3. Fraud and deceit, which Cherrington and Cherrington distinguish from

general lying, is the attempt to create a false impression by representing

yourself or your organization as something it is not. For example, you

might pretend to be successful, when in reality, you are not, to gain the

confidence of a potential employer or client. This ethical lapse can also be

passive, as when you fail to set the record straight when someone praises

you for work done by others or when someone blames others for errors you

made.

4. Bribes, payoffs, and kickbacks are attempts to influence decision makers

into making decisions that favor the party who is offering the payments.

Such influence buying creates a conflict of interest for the decision maker,

who has allowed personal interests to interfere with professional judgments. [7]

5. Hiding versus divulging information raises a significant ethical question,

as those who possess information can greatly impact an organization by

their decisions about what to do with that information. Would you sell a

client what is technically the “latest” version of your product, even though

you know a better version is about to be released? If you were hired by a

competing company, would you give them inside information about your

old company?

6. Cheating is the attempt to gain an unfair advantage and thus the power to

control the outcome of a situation. Consider three examples: a company that

exploits its monopoly on a lifesaving drug, a CEO who receives a

multimillion-dollar bonus when hundreds of company employees are being

laid off, and an executive who promotes her son when other employees are

more qualified. In all three of these situations, people are taking unfair

advantage of the positions they hold.

7. Personal decadence was much in the news during the 2008 recession

when, for example, auto industry executives flew their corporate jets to

Washington and then asked Congress for billions of dollars to bail out their

companies. Yet personal decadence can be an ethical lapse for ordinary

employees who purposely work at a slow pace, use drugs or alcohol at

work, or otherwise indulge themselves at their organization’s expense.

8. Interpersonal abuse encompasses “physical violence, sexual harassment,

emotional abuse, abuse of one’s position, racism, and sexism” between

individuals in the workplace. [8]

9. Organizational abuse concerns the organization’s treatment of its

members, whereas interpersonal abuse occurs between individuals.

Examples include “inequity in compensation, performance appraisals that

destroy self-esteem, transfers or time pressures that destroy family life,

terminating people through no fault of their own, encouraging loyalty and

not rewarding it, and creating the myth that the organization will

benevolently protect or direct an employee’s career.” [9]

10. Rule violations in organizations can be a gray area. In society,

transgressing rules such as religious commandments and government laws

often has clear consequences. But in organizations, rules are typically

handed down in the form of an employee manual. At times, the

organization may benefit if the rules are “flexibly” applied; at other times, a

“zero-tolerance” approach is best. Many companies “bend” the rules on

personal phone calls a bit if the call is necessary and the employee keeps it

brief; no organization, however, should tolerate sexual harassment.

11. Abetting unethical acts occurs when an individual knows that another

person intends to commit, or has committed, an ethical violation and

decides to become an “accessory” by passively doing nothing or actively

going along. Those who find themselves in the accessory position face the

ethical dilemma of whether or not to report the violation.

12. Moral balance is a philosophical concept that refers to the possibility that a

good outcome may later have bad repercussions. For example, an

organization might introduce a product that can save thousands of lives

(primary outcome) but in the process will harm the ecosystem and make it

less able to sustain the next generations (secondary outcome). On the other

hand, a decision not to introduce the product will preserve the ecosystem

for future generations (primary outcome) but lead to a substantial loss of

life in the present (secondary outcome). How do you decide which option is

ethical? Decisions involving moral balance are often the most difficult to

make.

Social Networking and Generational Differences

Thus far we have examined basic issues related to business ethics and the

various types of ethical violations that commonly occur. Recent literature on the

subject of business ethics has focused on two emerging areas of concern: social

networking and generational differences.

The Ethics of Social Networking

With the invention of Web 2.0 technologies like YouTube, Facebook, and blogs,

organizations have faced ethical issues that previously did not exist. People have

always talked about their organization, and some would even go so far as to

publish articles in a local newspaper about an organization. However, with

today’s social media, the ability to easily and quickly write and/or say negative

things about one’s organization or to divulge private organizational information

to a wide public has grown exponentially. The 2012 National Business Ethics

Survey indicates that more than 70 percent of workers today engage in some

form of online social networking activity at work (among these workers, 95

percent are active during work hours on Facebook, 43 percent on Twitter, 37

percent on LinkedIn, 37 percent on Google+). [10] The Ethics Resource Center

breaks social networkers into three workplace categories: active (10 percent of

employees who spend at least 30 percent of their workday on social networking

sites), moderate (62 percent who spend less than 30 percent of their workday),

and nonwork social networkers (28 percent who do not use social media at

work). Most employers would regard excessive social networking on company

time as stealing from the organization. Jason Lundy [11] has listed eleven

concerns related to the ethics of social media use in the workplace:

1. Misuse of work time

2. Misuse of company equipment

3. Security risks to company computer systems, network, or data

4. Disclosure of confidential or other nonpublic information

5. Disparaging, harassing, or bullying coworkers online

6. Conflicts of interest (e.g., blogging about a product without mentioning you

work for the company; putting out information that makes it appear as if

you are communicating on behalf of the organization when you are not)

7. Unfair competition (e.g., posting Amazon reviews for your organization’s

products and services without saying you work for the organization;

disparaging a competitor’s products and services online without saying

whom you work for)

8. Records maintenance (e.g., sending work-related e-mails from a personal e-

mail account; using social media to distribute organizational

communications)

9. Espionage or fraud (e.g., acting like a customer with a competitor to see

what that organization is doing; posting false reviews of a competitor’s

products and services online without saying whom you work for)

10. Privacy (e.g., posting personal information of a colleague, client, or other

stakeholder; forwarding internal organizational communications without

permission)

11. Damage to reputation (e.g., disparaging your organization online in a way

that causes financial harm, recruitment problems, or other negative effects)

Although 79 percent of workers are employed in organizations that block access

to some (or all) social networking sites, people still find ways to access them

through their personal devices. Those individuals who are active social

networkers tend to be more lax in other ethical areas as well (e.g., retaining

confidential work documents that could be used in a future job, using company

credit cards for personal reasons, taking home company software). [12] As the

idea of keeping our personal lives private diminishes in society as a whole,

companies fear that employees may start to take a similar view of their

organizations’ privacy.

Although social media raises new ethical issues, the technology can be used for

work-related purposes in beneficial ways. Many organizations promote the use

of social networking for training, professional development, marketing, and

other purposes. The Ethics Resource Center [13] has identified a number of ways

organizations can positively utilize social networking to enhance their interaction

with various stakeholders:

Present a positive brand to external stakeholders

Externally promote new products, programs, and/or services

Demonstrate what the organization is doing positively for its community

Announce new business deals and ventures

Interact with customers/clients to better handle customer complaints

Recruit potential new clients and organizational members

Build internal loyalty among organizational members

Facilitate teamwork

Communicate employee achievements, performance, and personal

milestones

Allow leaders to directly communicate organizational values to members

Foster discussions of organizational ethics

From this list, you can see that the ethics of social networking are not black and

white. There is no clear-cut, one-size-fits-all model for handling social

networking ethics within the workplace. However, organizations today must

develop clear policies that describe and explain what constitutes ethical and

unethical social networking in the workplace.

Generational Differences and Business Ethics

Before too long, we will have five different generations of people working in the

modern organizational environment—and potentially five ways of approaching

work. [14] Although Generation Z has not entered the workforce for the most

part, we are starting to get an idea of how this postmillennial generation will

view work. [15] Table 2.3 presents a snapshot of how each of the five generations

views work.

Table 2.3 Generational Differences at Work

Generation

Workplace

Characteristic

Traditionalists

(Greatest

Generation)

1922–45

Baby Boomers

1946–64

Generation X

1965–80

Generation

Y

(Millennials)

1981–2000

Z

(iGeneration,

Plurals)

2000+

Work is a(n)… Obligation Adventure Challenge Means to an

end

Expression of

one’s self

Work values

Dedication, hard

work, respect for

authority

Team-oriented,

personal growth,

involvement

Diversity,

technoliteracy,

self-reliance

Optimism,

confidence,

sociability

Pleased,

energized,

indifferent

Communication Formal memo In person Direct, to the

point

E-mail, voice

mail Continuous

Motivation To be respected To be valued Freedom Environment Balance

View of

authority Respectful Love/hate Unimpressed Polite Respectful

Leadership by Hierarchy Consensus Competence Teamwork Independence

Based on research by Zemke, R., Raines, C., & Filipczak, B. (2013).

Generations at work: Managing the clash of Boomers, Gen Xers, and Gen Yers

in the workplace (2nd ed.). New York, NY: AMACOM; and Frank N. Magid

Associates. (2012, April 30). The first generation of the twenty-first century: An

introduction to the Pluralist generation. Retrieved from http://magid.com

The generations’ differing approaches to work naturally drive some differences

in how each views business ethics. Figure 2.2 illustrates some of these

differences that exist between the Traditionalists, Boomers, Gen Xers, and

Millennials. You’ll notice that this table does not have information about

Generation Z, because they were not actively in the workforce when this study

was published in 2013.

Figure 2.2 Generational Differences at Work

Note on reading table: Colors indicate statistically significant differences. Green indicates most favorable

result; yellow is more favorable than red, and less favorable than green; and red is the least favorable

result. Light gray indicates the result is equal to all other groups.

Reprinted with permission of the Ethics Resource Center © 2013.

As you can see from this chart, differences exist among the generations about

ethics in the workplace. No one generation is “right.” Nevertheless,

organizations today face the challenge of promulgating codes of ethics that all

generations will support. Not an easy task! Still, every generation would likely

agree that organizational leaders must model the ethical behavior they expect of

everyone else.

KEY TAKEAWAY

Cherrington and Cherrington proposed a typology of twelve

ethical lapses that are common in modern business: (1) stealing,

(2) lying, (3) false impressions, (4) conflicts of interest, (5)

hiding/divulging information, (6) cheating, (7) personal

decadence, (8) interpersonal abuse, (9) organizational abuse,

(10) rule violations, (11) abetting unethical acts, and (12) moral

balance.

Surveys have found examples of all twelve ethical lapses. While

some lapses are clearly more common (e.g., 77 percent of

participants admitted to stealing corporate time by using

technology for personal uses), others did not appear to be

frequent ethical lapses (e.g., 6 percent took credit for someone

else’s work, 4 percent misused corporate finances).

Social media use in the workplace is an emerging issue in

business ethics. Excessive use lowers productivity and exposes

the organization to security risks. As employees expect less

privacy in their personal lives, companies fear their employees

may not fully respect expectations of organizational privacy. At the

same time, however, many organizations encourage social media

use at work for purposes of work-related training and professional

networking. Organizations today must develop clear policies for

what constitutes ethical and unethical social media use at work.

We now have five generations in the workplace: traditionalists

(born between 1922 and 1945), baby boomers (1946–64),

Generation X (1965–80), Generation Y (1982–2000), and

Generation Z (after 2000). Each generation has different views

about the meaning of work and its place in their lives, which may

drive different views of workplace ethics. Organizations must

develop codes of ethics, however, that all generations will

support. This process necessarily begins as leaders model the

ethical behaviors they expect of everyone else.

EXERCISES

1. Which of the twelve ethical lapses in modern business described

Moral Balance:

by Cherrington and Cherrington contain communication

components?

2. Of these ethical lapses, which one is the most pervasive in your

current workplace? Which one is the least pervasive? If you were

the CEO of your organization, what would you do to combat the

ethical lapses you identified as most systematic?

3. Look at a recent copy of Bloomberg Businessweek, the Wall

Street Journal, Forbes, or any other business publication. Find

examples of the twelve ethical lapses discussed by Cherrington

and Cherrington.

4. If you were a CEO, how would you go about developing a

company policy for social media use?

5. If you were a CEO, how would you go about developing a

company code of ethics that all five generations in the workplace

—Traditionalists, Baby Boomers, and Generations X, Y, and Z—

would support?

KEY TERMS AND DEFINITIONS

The philosophical debate that occurs when an individual is faced with the possibility that a good primary outcome may lead to a bad secondary outcome.

[1] Hoffman, W. M. (1982). Introduction. Journal of Business Ethics, 1,

79–80.

[2] Hoffman, W. M. (1977). The proceedings of the first national

conference on business ethics: Business values and social justice—

compatibility or contradiction? Waltham, MA: Center for Business Ethics.

[3] Cherrington, J. O., & Cherrington, D. J. (1992). A menu of moral

issues: One week in the life of the Wall Street Journal. Journal of

Business Ethics, 11, 255–265.

[4] Statistics cited in this section are derived in part from Deloitte. (2006).

Business ethics and compliance in the Sarbanes-Oxley era: A survey by

Deloitte and Corporate Board Member magazine; Deloitte. (2007).

Leadership counts: Deloitte & Touche USA 2007 ethics & workplace

survey results; Deloitte. (2008). Transparency matters: Deloitte LLP 2008

ethics & workplace survey results; Deloitte. (2009). Social networking and

reputational risk in the workplace: Deloitte LLP 2009 ethics & workplace

survey results; Deloitte. (2010). Trust in the workplace: Deloitte LLP 2010

ethics & workplace survey results. All surveys available online at

http://www.deloitte.com

[5] Statistics cited in this section are derived in part from Ethics Resource

Center (2012). 2011 national business ethics survey: Workplace ethics in

transition; Ethics Resource Center (2013a). Generational differences in

workplace ethics: A supplemental report of the 2011 national business

ethics survey; Ethics Resource Center (2013b). National business ethics

survey of social networkers: New risks and opportunities at work. All

surveys available online at http://www.ethics.org/nbes

[6] Shulman, D. (2007). From hire to liar: The role of deception in the

workplace. Ithaca, NY: ILR Press.Shulman, D. (2007). From hire to liar:

The role of deception in the workplace. Ithaca, NY: ILR Press.

[7] Desjardins, J. (2009). An introduction to business ethics (3rd ed.).

Boston: McGraw-Hill.Desjardins, J. (2009). An introduction to business

ethics (3rd ed.). Boston: McGraw-Hill.

[8] Cherrington, J. O., & Cherrington, D. J. (1992). A menu of moral

issues: One week in the life of the Wall Street Journal. Journal of

Business Ethics, 11, 255–265, p. 256.

[9] Cherrington, J. O., & Cherrington, D. J. (1992). A menu of moral

issues: One week in the life of the Wall Street Journal. Journal of

Business Ethics, 11, 255–265, pp. 256–257.

[10] Ethics Resource Center. (2013b). National business ethics survey of

social networkers: New risks and opportunities at work. Retrieved from

http://www.ethics.org/nbes

[11] Lundy, J. (2010). Managing the workplace ethics of social media.

Retrieved from http://www.corporatecomplianceinsights.com/

[12] Ethics Resource Center. (2012). 2011 national business ethics

survey: Workplace ethics in transition. Retrieved from

http://www.ethics.org/nbes

[13] Ethics Resource Center. (2013b). National business ethics survey of

social networkers: New risks and opportunities at work. Retrieved from

http://www.ethics.org/nbes

[14] Zemke, R., Raines, C., & Filipczak, B. (2013). Generations at work:

Managing the clash of Boomers, Gen Xers, and Gen Yers in the

workplace (2nd ed.). New York, NY: AMACOM.

[15] Frank N. Magid Associates. (2012, April 30). The first generation of

the twenty-first century: An introduction to the pluralist generation.

Retrieved from http://magid.com

2.3 Communication Ethics

LEARNING OBJECTIVES

1. Understand Andersen’s three viewpoints for communication

ethics.

2. Differentiate the three ways that individuals understand ethics as

described by Arnett, Harden Fritz, and Bell.

“Stick and stones may break my bones, but names will never hurt me!” We all

know that playground chant from our childhoods. Yet the fact is that name-

calling does hurt, perhaps even with lifelong psychological consequences. Just as

ethical decision making must guide our actions, so also our words. At a

minimum, observed Johannesen, Valde, and Whedbee, ethics must be considered

when a communicative behavior (1) “could have a significant impact on other

persons,” (2) “involves conscious choice of means and ends,” and (3) “can be

judged by standards of right and wrong.” [1] As we learned in Chapter 1—and

will discuss more in Chapter 4—human communication is a complex behavior.

The introductory model of communication we reviewed in Chapter 1 describes a

source who crafts a message, selects a channel, attempts to stimulate in the

minds of receivers an accurate interpretation of the message, and considers

feedback. All these actions are complexly interrelated. For that reason, argued

James McCroskey, simple debate over means and ends cannot lead to “viable

systems for evaluating the ethics of human communication.” [2]

Three Viewpoints for Ethical Communication

Ethics must be seen, noted Kenneth Andersen, as “a dimension that is relevant

to all the actors in the communication process—the source or the originator, the

person that initiates communication; the person who receives, interprets, hears,

reads the communication; and the people who, in effect, are further agents of

transmission.” [3] In essence, Andersen described three viewpoints that must be

considered: the source, the receiver, and the larger society.

Source Ethics

The ethics of the source come down to her or his intent toward the receivers of

the message. More than two millennia ago, Aristotle was the first to write on this

subject. For him, the techniques of rhetoric and persuasion were neutral, tools

that could be used by a speaker to produce predictable effects in an audience. If

the tools are neutral and the effects predictable, then “ethical judgments in

rhetorical communication should be based exclusively on the intent of the source

toward the audience.” [4]

Receiver Ethics

The ethics of the receivers involve their individual choices of how to process the

message being sent by the source. This “receiver ethic” starts with the notion

that receiving a message should be an active, not passive, process. Each receiver

has “a 100 percent responsibility to listen, to be critical, to evaluate, to reject, to

demand more information, to reject, whatever the case may be.” [5] Active

listening, however, first requires objective reception rather than forming snap

judgments based on initial perceptions of the source or the message. When these

perceptions interfere with our ability as a receiver to listen, be critical, evaluate,

or reject a message, we are not ethically attending to a message.

Society Ethics

The larger society is, for Kenneth Andersen, composed of third parties who are

not directly involved in a communicative exchange and yet are listening.

Whether you eavesdrop on a restaurant conversation at the next table or

inadvertently hear the couple next door fighting at three in the morning, you too

have ethics to consider. In both cases, your dilemma is what you should do with

the information you received. If you overhear gossip at the table next to you, is it

ethical to pass on that information to others? If you hear one partner next door

physically abusing the other, do you have an ethical obligation to call the police?

“[Your] responsibilities in every case will be unique to the situation, unique to

one’s ability to fulfill the role of intermediary.” [6]

Three Understandings of Ethics

A survey of business communicators discovered that most “come to the job with

a sense of ethics developed chiefly through the influence of their mothers and

fathers,” then “look to colleagues and supervisors as sources of continuing

moral guidance,” and ultimately “make their moral choices according to

feelings and conscience.” [7] The “intuitive ethics” practiced at work by these

professionals derive from “a composite of cultural lessons” whose values and

ideologies are routinized “until their adoption simply becomes common place.” [8] This aptly illustrates what Arnett, Harden Fritz, and Bell have called the

“commonsense” understanding of ethics. But rather than remain at this lowest

level of ethical understanding, they encourage communicators to engage with

theory and, at the highest level, dedicate themselves to ethical learning. [9]

Commonsense Understanding

Arnett, Harden Fritz, and Bell define commonsense as “the commonly

understood, taken-for-granted assumptions about the way the world works and

expected communicative behaviors one will meet in navigating that world in

daily life.” [10] Yet commonsense varies over time and across cultures. For

example, one researcher found that adults in a blue-collar Chicago neighborhood

were expected to physically correct rather than “communicate” with children,

while affluent parents in the Pacific Northwest urged children to “communicate”

their feelings. [11] The commonsense of many Middle Eastern cultures, on the

other hand, is that women should not speak to men they do not know. Nonverbal

communication is likewise governed by a culture’s commonsense. In the MTV

reality show Road Rules: The Quest, a female character was stoned when she

wore shorts on the streets of an Islamic city—a violation of the community’s

religious law and commonsense dress code. The enormous variety of

“commonsense expectations is neither good nor bad, but simply a defining

reality of our time.” [12]

Theoretical Understanding

Ethical theories of communication offer a step up from commonsense. As we

saw in Table 2.2, many theories have been proposed to guide individuals in their

ethical choices. But adopting any one theory of communication ethics cuts two

ways, for though it “opens the world, permitting us to see with clarity,” by

providing only a single frame it “simultaneously occludes our vision.” Thus “a

theory both illuminates and obscures.” [13]

Learning and Understanding

Given the limits of commonsense and even of theorizing, ethical communicators

must commit themselves to learning. First, ethical communicators must learn not

to assume that their own commonsense and their favorite theories are universal

truths acknowledged by all. Then, ethical communicators must take the lack of

consensus as an opportunity to seek out and learn from the many ways that

different cultures perceive and understand communicative ethics. “Learning and

understanding different standpoints is a pragmatic communication ethics act.” [14] Such a commitment to “diversity of perspective” and “to understand and

respect other communicators before evaluating and responding to their

messages” is captured in the National Communication Association Credo for

Ethical Communication, which can be found here: NCA Credo.

KEY TAKEAWAY

Andersen argued that ethical decisions about communicative

behavior must be made not only by the sender of a message but

also by the receiver and by the larger society. The sender’s

ethical responsibility relates to his or her intention toward the

receivers. The receivers’ ethical responsibility relates to their

decisions about how to process the message, whether to give it

fair consideration and make a snap judgment. The larger society

—or those who were not directly involved in a communicative

exchange but heard the message—must decide what to do with

the information received.

Arnett, Harden Fritz, and Bell described three levels of

understanding in communication ethics. The lowest level is

commonsense, or understanding communication according to the

commonsense of one’s culture. The next level is theoretical

understanding, which rises above commonsense and allows one

to see more clearly but also limits the communicator to a single

framework. The highest level of understanding is attained through

learning, in which the ethical communicator seeks to learn from

diverse perspectives on communication.

EXERCISES

1. Look at a recent copy of Bloomberg Businessweek, the Wall

Street Journal, Forbes, or another business-oriented publication.

Commonsense :

Find an example of communication ethics and then describe that

example from the viewpoint of the source’s ethics, the receivers’

ethics, and the ethics of those (such as yourself) in the larger

society who were not directly involved in the exchange but have

heard the information.

2. Why do you think Arnett, Harden Fritz, and Bell (2009) argue that

learning is the first principle of ethics? Why is learning more

valuable than either common sense or theories?

KEY TERMS AND DEFINITIONS

“The commonly understood, taken-for-granted assumptions about the way the world works and expected communicative behaviors one will meet in navigating that world in daily life.”

[1] Johanessen, R., Valde, K. S., & Whedbee, K. E. (2008). Ethics in

human communication. Long Grove, IL: Waveland, p. 1.

[2] McCroskey, J. C. (2006). An introduction to rhetorical communication:

A Western rhetorical perspective (9th ed.). Boston: Allyn & Bacon, p. 239.

[3] Andersen, K. E. (2007). A conversation about communication ethics

with Kenneth E. Andersen. In P. Arneson (Ed.), Exploring communication

ethics: Interviews with influential scholars in the field (pp. 131–142). New

York, NY: Peter Lang, p. 132.

[4] McCroskey, J. C. (2006). An introduction to rhetorical communication:

A Western rhetorical perspective (9th ed.). Boston: Allyn & Bacon, p. 295.

[5] Andersen, K. E. (2007). A conversation about communication ethics

with Kenneth E. Andersen. In P. Arneson (Ed.), Exploring communication

ethics: Interviews with influential scholars in the field (pp. 131–142). New

York, NY: Peter Lang, p. 132.

[6] Andersen, K. E. (2007). A conversation about communication ethics

with Kenneth E. Andersen. In P. Arneson (Ed.), Exploring communication

ethics: Interviews with influential scholars in the field (pp. 131–142). New

York, NY: Peter Lang, p. 133.

[7] Dragga, S. (1997). A question of ethics: Lessons from technical

communicators on the job. Technical Communication Quarterly, 6, 161–

178, p. 173. See also Dragga, S. (1996). “Is this ethical?” A survey of

opinion on principles and practices of document design. Technical

Communication, 43, 255–265.

[8] Faber, B. (1999). Intuitive ethics: Understanding and critiquing the role

of intuition in ethical decisions. Technical Communication Quarterly, 8(2),

189–202, p. 193.

[9] Arnett, R. C., Harden Fritz, J. M., & Bell, L. M. (2009). Communication

ethics literacy: Dialogue and difference. Thousand Oaks, CA: Sage.

[10] Arnett, R. C., Harden Fritz, J. M., & Bell, L. M. (2009).

Communication ethics literacy: Dialogue and difference. Thousand Oaks,

CA: Sage, p. 62.

[11] Philipsen, G. (1975). Speaking “like a man” in Teamsterville: Culture

patterns of role enactment in an urban neighborhood. Quarterly Journal

of Speech, 61(1), 13–22; Katriel, T., & Philipsen, G. (1981). “What we

need is communication”: “Communication” as a cultural category in some

American speech. Communication Monographs, 48(4), 301–317.

[12] Arnett, R. C., Harden Fritz, J. M., & Bell, L. M. (2009).

Communication ethics literacy: Dialogue and difference. Thousand Oaks,

CA: Sage, p. 68.

[13] Arnett, R. C., Harden Fritz, J. M., & Bell, L. M. (2009).

Communication ethics literacy: Dialogue and difference. Thousand Oaks,

CA: Sage, p. 70.

[14] Arnett, R. C., Harden Fritz, J. M., & Bell, L. M. (2009).

Communication ethics literacy: Dialogue and difference. Thousand Oaks,

CA: Sage, p. 62.

2.4 Organizational Communication Ethics

LEARNING OBJECTIVES

1. Differentiate among the components of Redding’s (1996) typology

of unethical organizational communication.

2. Understand the four phases of the feminist perspective of

organizational communication ethics proposed by Mattson and

Buzzanell (1999).

3. Describe why Montgomery and DeCaro (2001) believe that

human performance improvement can help organizations in

improving organizational communication ethics.

4. Assess the implementation of an organizational communication

ethics intervention using a human performance improvement

model.

The preponderance of everyday problems that plague all organizations is either

problems that are patently ethical or moral in nature, or they are problems in

which deeply embedded ethical issues can be identified. And this proposition is

ethically significant, of course, when we recall the axiom that communication is

a prerequisite for the very existence of any organization. [1]

This statement was written by W. Charles Redding, widely considered the father

of organizational communication as an academic discipline, who published this

shortly before his death. While he did not believe that organizational

communication scholars and practitioners need to become trained ethicists, he

urged anyone studying the subject to become versed in different theoretical

perspectives on ethics. Such familiarity could, he advised, help organizational

communicators address four basic questions:

1. “What messages or other communication events are perceived by which

perceivers as unethical?”

2. “Why? That is, what criteria are cited for making specific ethical

evaluations?”

3. “In what respects do these criteria appear to be grounded in organizational

(or other) cultures?”

4. “What are the consequences of unethical communication? What, in other

words, are the relationships between unethical communication and other

organizational and societal phenomena?” [2]

Identifying Unethical Communication

Redding was also keenly aware that theory must be translated into practice. For

as Matthew Seeger noted, applied ethics in organizational communication

“focuses on norms and guidelines of professional practice, methodologies for

promoting ethical decision-making, various codes of conducts and how these

function to promote discussion, informal decisions, and resolve practical ethical

problems.” [3] To aid organizations on an everyday level, Redding proposed a

typology—summarized in Table 2.4—for identifying unethical organizational

communication: coercive, destructive, deceptive, intrusive, secretive, and

manipulative/exploitative.

Table 2.4 Redding's Typology of Unethical Communication

An organizational communication act is

unethical if it is… Such organizational communication unethically…

Coercive

• Abuses power or authority

• Unjustifiably invades others’ autonomy

• Stigmatizes dissents

• Restricts freedom of speech

• Refuses to listen

• Uses rules to stifle discussion and complaints

Destructive

• Attacks others’ self-esteem, reputations, or feelings

• Disregards others’ values

• Engages in insults, innuendoes, epithets, or

derogatory jokes

• Uses putdowns, backstabbing, and character

assassination

• Employs so-called truth as a weapon

• Violates confidentiality and privacy to gain an

advantage

• Withholds constructive feedback

Deceptive

• Willfully perverts the truth to deceive, cheat, or

defraud

• Sends evasive or deliberately misleading or

ambiguous messages

• Employs bureaucratic euphemisms to cover up the

truth

Intrusive

• Uses hidden cameras

• Taps telephones

• Employs computer technologies to monitor

employee behavior

• Disregards legitimate privacy rights

Secretive

• Uses silence and unresponsiveness

• Hoards information

• Hides wrongdoing or ineptness

Manipulative/Exploitative

• Uses demagoguery

• Gains compliance by exploiting fear, prejudice, or

ignorance

• Patronizes or is condescending toward others

Redding’s list easily correlates to concepts of ethics that we reviewed earlier in

this chapter. Notice how the communicative acts described by Redding take us

back to Aristotle’s notion that the intent of a speaker is the key to judging a

communication. Many items on Redding’s list recall Cherrington and

Cherrington’s typology, as the latter includes lying, creating false impressions,

hiding information, and interpersonal and organizational abuse. And since

Redding wrote two decades ago, the potential for unethically intrusive

organizational communication has vastly increased. A 2005 survey by the

American Management Association [4] revealed the following:

36 percent of respondents reported that their organizations monitor at least

some of their computer keystrokes

50 percent reported some or all or their computer files are monitored

76 percent reported their workplace Internet activity is monitored

26 percent reported their organization had fired workers for misusing the

Internet

25 percent reported their organization had fired workers for misusing e-mail

3 percent reported their telephone calls are recorded

8 percent reported their physical whereabouts are monitored through GPS,

8 percent through employee identification cards, and 5 percent through

company cell phones

Courts in the United States have legalized all these procedures without

employees being forewarned. In the European Union, although employees must

be notified prior to monitoring, organizations may legally monitor their

workforces. Such secretiveness may be an understandable response to the

explosion of new communication and information-sharing technologies. But in

so doing, organizations have made what Thomas Nilsen called a significant

choice. “When we communicate to influence the attitudes, beliefs, and actions of

others,” he wrote, “the ethical touchstone is the degree of free, informed, and

critical choice on matters of significance in their lives that is fostered by our

speaking.” [5] Thus organizations make a significant choice when they follow or

deviate from this standard. Nilsen readily admitted that decision makers cannot

feasibly allow every possible vantage point to be fully discussed. Nor can every

possible alternative and contingency be explored. Instead, Nilsen argued that

ethical communication lies “not in expecting the individual speaker to be more

objective and informative, but in having many different speakers present their

conceptions of the issues under consideration, thus providing adequate

information for intelligent decision-making.” [6]

Because communication is so central to organizational processes, acknowledged

Dennis Mumby, organizations “must control the systems of signification in the

organization; that is, the process by which meaning becomes ‘attached’ to

organizational practices.” [7] In other words, organizations have a clear stake in

how people—both within and out—interpret what is going on in the

organization. Where organizations must make a “significant choice” is in

balancing the need for control with the ethical obligation to providing clear and

adequate information to all stakeholders. To us, reading this book, this

imperative seems clear. How could anyone disagree? Yet N. L. Reinsch made a

key point. [8] Some years ago he surveyed the literature on business

communication ethics and discovered a surprising finding from the research:

unethical business communication can sometimes be effective in the short run. If

unethical behavior was never effective, there would be no reason for anyone to

engage in it. But the simple fact is that, quite often, unethical behavior can help

people get ahead in life and in business. Nevertheless, the longer someone

engages in unethical communicative behavior, the greater the likelihood that

others will notice, thus leading to diminishing returns for further unethical

behavior. Does this mean you (or your organization) should communicate

unethically as long as you can get away it and as long as you can keep getting

some benefit? Not in the least! But perhaps now you can see the challenge.

A Feminist Communication Ethic

In Chapter 1, we reviewed the critical approach to organizational communication

research, an approach that looks for imbalances of power that favor dominant

interests and often seem “natural” and thus go unchallenged. Feminist scholars

Marifran Mattson and Patrice Buzzanell did just that by taking a second look at

Redding’s typology of unethical organizational communication. They concluded

that Redding’s typology reflects the dominant managerial ideology that links

communication to individual productivity and organizational effectiveness. In

other words, under Redding’s system, “to communicate unethically would create

situations in which managers do not receive crucial information and would leave

the firm vulnerable to productivity problems, strikes, and litigation.” [9] By

contrast, they believe organizational communication should afford a voice—that

is, the ability to both construct and articulate knowledge—to all.

As an alternative to Redding, Mattson and Buzzanell adapted Linda Steiner’s [10]

feminist ethic to the problem of organizational communication. While traditional

ethical systems focus on prescribing how individuals should act, a feminist ethic

strives “toward a vision of value transformation (equitable power-sharing and

decision-making)” and holds that being ethical “involves being a part of the

envisioning and struggling.” [11] Mattson and Buzzanell then created a four-

dimensional framework for ethical decision making, which is summarized in

Figure 2.3.

Figure 2.3 Mattson and Buzzanell’s Feminist Ethic

Between Redding’s typology and Mattson and Buzzanell’s framework, we may

be left with an ambiguity. While Mattson and Buzzanell’s framework is humane

and inclusive, we are still left to puzzle the question, What is the most ethical

action to take? On the other hand, Redding’s typology is concrete but leaves us

absolutist solutions that may not always fit the situation. Mark Ward has termed

this the difference between prescriptive and descriptive ethics, or between an

ethic that prescribes what a person should do and an ethic that describes the

structures of power that condition people’s responses. [12] In other words,

prescriptive ethics may tell us what to do but they don’t explain anything,

whereas descriptive ethics may explain things but they don’t tell us what to do.

To synthesize the two approaches, Ward suggested that ethical action should not

be viewed as a point on a line—as in “the” decision to “do” some single action

—but as latitude or a band of possibilities. Each of us sets ethical thresholds that

create the boundaries of that latitude. On one side of the boundary are ethical

decisions that are too trivial to be dilemmas (e.g., “Should I return that paper

clip to my office?”). On the other side are decisions of too great a magnitude and

significance to be real dilemmas (e.g., “Should I murder my boss?”). In between

are the ethical dilemmas that bedevil us. Ward proposed that traditional

prescriptive ethics can help us set our ethical boundaries, while critical

descriptive ethics can help us when a situation falls inside the band of

possibilities that present true ethical dilemmas.

Ethical Performance Improvement

So far we have introduced you to a traditional approach to organizational

communication ethics and a feminist approach based on critical theory. Finally,

we offer a human performance improvement (HPI) approach to organization

communication ethics, a perspective advocated by Daniel Montgomery and Peter

DeCaro. Just like any other performance issue, they argued, “Ethical problems

or dilemmas have behavioral consequences. Analysis can measure and monitor

the behaviors leading to the unethical act, or the act, itself. By analyzing the

antecedents and consequences, [organizations] can then design an intervention

to correct the behavior.” [13] Often, human performance interventions related to

ethics happen in hindsight: an ethical violation occurs and the human

performance improvement experts backtrack to determine how and why the

ethical violation occurred. At other times, human performance interventions start

with a written policy, such as the National Communication Association Credo

for Ethical

Communication, (https://www.natcom.org/uploadedFiles/About_NCA/Leadership_and_Governance/Public_Policy_Platform/PDF-

PolicyPlatform-NCA_Credo_for_Ethical_Communication.pdf) or the

International Association of Business Communicators (IABC) Code of

Ethics (https://www.iabc.com/about-us/leaders-and-staff/code-of-ethics/),

followed by suggestions for ensuring policies are observed.

As you can see, human performance improvement “is a results-based,

systematic process used to identify performance problems, analyze root causes,

select and design actions, manage workplace solutions, measure results, and

continually improve performance within an organization.” [14] HPI professionals

digest academic research from various fields and help organizations translate

that research into practice. They can identify “knowledge gaps when it comes to

business ethics” and ask such questions as the following:

Does the workforce know how the organization’s code of ethics applies to

them?

Do they know what to do if they become aware of a violation of the code of

ethics?

Does the organization’s code of ethics meet accepted standards?

Does a code of ethics even exist? [15]

HPI professionals often serve in four roles: analyst (to determine gaps between

organization policy and employee knowledge), intervention specialist (to close

the performance gaps), change manager (to coordinate initiatives for closing

the gaps), and evaluator (to determine if the gaps have been closed). [16] Figure

2.4 graphically represents this process, based on the American Society for

Training and Development’s HPI Model and the International Society for

Performance Improvement’s Human Performance Technology Model. [17]

Figure 2.4 Human Performance Improvement Model

Thus, if the goal is to improve organizational communication ethics, the HPI

professional would start by analyzing performance gaps between any ethical

lapses and where the organization should be in terms of ethical communication.

The analysis would seek out the causes of the gaps. For example, are employees

communicating unethically because they are unfamiliar with or do not

understand the organization’s code of conduct? Are they communicating

unethically because the organization rewards them for success and not ethics? Or

are they communicating unethically because they are not disposed toward ethical

communication?

Once the analysis is complete and the root causes of the performance gaps are

identified, the HPI professional slips into the second role of intervention

specialist. Now the goal is to determine the most appropriate methods for

reaching the organization’s goal or at least decreasing performance gaps. To

improve performance in organizational communication ethics, the appropriate

intervention might be employee training sessions or promulgating a company-

wide code of communication ethics.

In the third role of change manager, the HPI professional “coordinates

implementation and roll out of solutions, especially complex or big efforts that

may involve multiple initiatives” and “works to build buy-in and support” from

all levels of the organization. [18] Then, in the final role of evaluator, the HPI

professional must evaluate the intervention to determine whether or not

performance has actually improved—and that the time and money spent have

helped the organization.

KEY TAKEAWAY

Redding’s typology of unethical organizational communication

consists of six distinct types of communicative acts: (1) coercive—

abuse of power or authority; (2) destructive—behavior that attacks

a receiver; (3) deceptive—behavior that is intentionally false; (4)

intrusive—monitoring behavior; (5) secretive—purposefully not

disclosing information; and (6) manipulative-exploitative.

Mattson and Buzzanell proposed that organizational

communication should be examined through four basic phases.

First, you should define the situation by identifying ethical issues

in context. Second, examine values (voice, community, and

fairness) and ideals. Third, apply the ethical principle while paying

attention to a person’s emotional reaction. Last, develop a

solution paying special attention so that vulnerable people are

least affected.

Montgomery and DeCaro argue that human performance

improvement procedures can help organizations improve

organizational communication ethics. This process involves

analyzing gaps between the organizational goal and actual

performance, designing an appropriate intervention to close the

gaps, managing the intervention, and then evaluating whether the

intervention closed the gaps.

EXERCISES

1. Thinking about your own organization, which of Redding’s

typology of unethical organizational communication do you think

is the most common? If you were the top leader in your

organization, how would you go about stopping this specific lapse

in ethical communication?

2. Look at a recent copy of Bloomberg Businessweek, the Wall

Street Journal, Forbes, or another business-oriented publication.

Look for a discussion of an issue that has ethical overtones and

Analyst :

Change Manager:

Coercive:

Deceptive:

Destructive:

then walk through Mattson and Buzzanell’s four dimensions of

feminist thinking when determining a specific solution. How do

you think Mattson and Buzzanell’s four dimensions would lead

you to different decisions than if you took a more traditional

stance on decision making?

3. Using an organization that you belong to, think about a specific

business or communication ethical dilemma your organization is

facing. Walk through the Human Performance Improvement

Model and think about how you could implement a change in your

organization’s thinking about ethics.

KEY TERMS AND DEFINITIONS

Role taken on by a human performance improvement specialist when he or she helps determine relevant gaps that exist in individuals’ behavior, knowledge, and/or attitudes.

Role taken on by a human performance improvement specialist when he or she coordinates implementation and execution of solutions while building buy-in and support from all levels of an organization’s hierarchy.

Category of unethical acts that describes communication events or behavior reflecting abuses of power or authority and resulting in the diminishing of another person’s autonomy.

Category of unethical acts that describes communication events or behavior reflecting a willful perversion of the truth in order to deceive, cheat, or defraud.

Category of unethical acts that describes communication

Evaluator :

Human Performance Improvement:

Intervention Specialist:

Manipulative/Exploitative:

Secretive:

Significant Choice:

events or behavior that attacks a receiver’s self-esteem, reputation, or deeply held feelings.

Role taken on by a human performance improvement specialist when he or she (1) examines if intervention is actually improving performance and (2) demonstrates the effectiveness of the intervention to the organization.

The systematic process for identifying and analyzing human performance problems and designing results-oriented interventions to improve people, processes, and organizations.

Role taken on by a human performance improvement specialist when he or she determines the most appropriate method for getting the organization to its goal or decreasing the performance gap.

Category of unethical acts that describes communication events or behavior that takes place when the source purposefully prevents the receiver from knowing the source’s actual intentions behind a communicative message.

Category of unethical acts that describes communication events or behavior that is undisclosed even when disclosing the information could be in an organization’s best interest.

The degree to which decisions are made (1) free from coercion, (2) with all available information, (3) through an examination of reasonable alternatives and short-term and long-term consequences, and (4) with an openness toward personal motives.

[1] Redding, W. C. (1996). Ethics and the study of organizational

communication: When will we wake up? In J. A. Jaksa & M. S. Pritchard

(Eds.), Responsible communication: Ethical issues in business, industry,

and the professions (pp. 17–40). Cresskill, NJ: Hampton, p. 18 (emphasis

in original).

[2] Redding, W. C. (1996). Ethics and the study of organizational

communication: When will we wake up? In J. A. Jaksa & M. S. Pritchard

(Eds.), Responsible communication: Ethical issues in business, industry,

and the professions (pp.17–40). Cresskill, NJ: Hampton, p. 24.

[3] Seeger, M. W. (2001). Ethics and communication in organizational

contexts: Moving from the fringe to the center. American Communication

Journal, 5(1), para. 18. Retrieved from http://ac-

journal.org/journal/vol5/iss1/special/seeger.htm

[4] AMA E-Policy Institute. (2005). 2005 electronic monitoring and

surveillance survey. American Management Association. Retrieved from

http://www.amanet.org

[5] Nilsen, T. R. (1974). Ethics of speech communication (2nd ed.). New

York, NY: Bobbs-Merrill, p. 46.

[6] Nilsen, T. R. (1974). Ethics of speech communication (2nd ed.). New

York, NY: Bobbs-Merrill, p. 43.

[7] Mumby, D. K. (1988). Communication and power in organizations:

Discourse, ideology, and domination. Norwood, NJ: Ablex.

[8] Reinsch, N. L., Jr. (1990). Ethics research in business communication:

The state of the art. Journal of Business Communication, 27, 251–272.

[9] Mattson, M., & Buzzanell, P. M. (1999). Traditional and feminist

organizational communication ethical analyses of messages and issues

surrounding an actual job loss case. Journal of Applied Communication

Research, 27, 49–72, p. 62.

[10] Steiner, L. (1997). A feminist schema for analysis of ethical

dilemmas. In F. L. Casmir (Ed.), Ethics in intercultural and international

communication (pp. 59–88). Mahwah, NJ: Lawrence Erlbaum.

[11] Mattson, M., & Buzzanell, P. M. (1999). Traditional and feminist

organizational communication ethical analyses of messages and issues

surrounding an actual job loss case. Journal of Applied Communication

Research, 27, 49–72, p. 62.

[12] Ward, M., Sr. (2010). The ethic of exigence: Information design,

postmodern ethics, and the Holocaust. Journal of Business and Technical

Communication, 24, 60–90.

[13] Montgomery, D. J., & DeCaro, P. A. (2001). Organizational

communication ethics: The radical perspective of performance

management. American Communication Journal, 5(1) [online journal],

para. 32. http://ac-journal.org/journal/vol5/iss1/special/decaro.htm

[14] Beich, E., Holloway, M., & McGraw, K. (2006). Improving human

performance: ASTD learning system—Module 3. Alexandria, VA:

American Society for Training and Development, p. 1.

[15] Rothwell, W. J., Hohne, C. K., & King, S. B. (2007). Human

performance improvement: Building practitioner competence (2nd ed.).

Boston: Butterworth-Heinemann, pp. 180–181.

[16] Willmore, J. (2004). Performance basics. Alexandria, VA: American

Society for Training and Development.

[17] Rothwell, W. J. (2000). ASTD models for human performance

improvement: Roles, competencies, and outputs (2nd ed.). Alexandria,

VA: ASTD Press.

[18] Willmore, J. (2004). Performance basics. Alexandria, VA: American

Society for Training and Development, p. 20.

2.5 Chapter Exercises

REAL-WORLD CASE STUDY

For the February 6–12, 2012, edition of Bloomberg Businessweek,

the editors decided on a shocking cover. The cover story for the

magazine was about the merger of United and Continental Airlines.

In an interesting twist, the magazine cover had a United Airlines

plane being mounted by a Continental Airlines plane with the tag

line “Let’s Get It On.” (http://loyaltylobby.com/2012/02/05/bloomberg-

businessweek-article-about-united-continental-merger/) The sexual

overtones of this cover shocked many readers. In the following

weeks, many readers wrote to the magazine conveying their dismay

at the organization’s choice to run this cover. [1]

One reader put it this way: “Offensive…displeasing…indecent…

abominable…obscene…objectionable…that’s what I have to say

about your Feb. 6–12 cover. You should be ashamed.” [2] Another

subscriber said, “Your cover page is so subtle it should have a

condom over the dominant top plane (should be United) and a

diaphragm shield inside the tail of the submissive bottom one

(should be Continental). You will lose several subscriptions…Who

was the genius who sent this around legal without thinking?”

Furthermore, Joseph Cirillo, vice president for reporting and

planning at Blyth, had this to say about the cover: “Your Feb. 6–12

cover page was in extremely poor taste. You made it even worse

with the headline ‘Let’s Get It On.’ Surely you could have described

the business events going on between Continental and United in a

better fashion, and not by showing two planes having sex with each

other on the cover of an important business magazine.” While there

were some people who found the cover humorous, the negative

reactions clearly outnumbered the positive.

1. Why do you think so many people reacted so negatively to the

sexual portrayal of a merger of two major airlines? Was this move

unethical or just in bad taste on the part of the editors of

Bloomberg Businessweek?

2. Using Andersen’s three viewpoints for ethics (sender, receiver,

and the larger society), analyze this cover from an ethical

perspective.

3. Would this cover have received as many negative responses if it

had been on the cover of a fitness magazine or a comic book?

END-OF-CHAPTER ASSESSMENT

1. Paul is preparing to deliver an address to his board of directors. He knows that if he explains the full costs of a new project, the board will block the project. However, Paul realizes that the project will have a huge return on its

investment. As such, Paul decides not to disclose the actual cost of the project. Which of the types of ethics discussed in the ethical matrix is Paul representing?

a. ethical behavior b. unethical behavior c. Machiavellian ethic d. subjective ethic e. rejective ethic

2. When Maxine interacts with various stakeholders in her organization, she is always very even handed and treats everyone the same. In fact, people often remark at how consistent her communicative behavior is with all people. What philosophical perspective described in Table 2.2 most closely resembles Maxine’s approach to communication?

a. communitarianism b. altruism c. ethical egoism d. justice e. social relativism

3. Hiro knows that his coworker is stealing from the petty cash fund at work. However, reporting this behavior to his superiors will only result in increased paperwork and decreased trust from his peers around the office. As such, Hiro decides not to tell anyone and instead just wait for his coworker to get caught. Hiro’s behavior is an example of which of Cherrington and Cherrington’s typology of twelve ethical lapses common in modern business?

a. abetting unethical acts b. rule violations c. stealing

d. false impressions e. unfair advantage

4. As a CEO, Danna believes everyone under her is an idiot. As such, her primary mode of leadership involves manipulating people to do her bidding by exploiting her followers’ fears, prejudices, or areas of ignorance. Which of Redding’s typology of unethical organizational communication is Danna illustrating?

a. coercive b. destructive c. deceptive d. intrusive e. manipulative-exploitative

5. Which of the three values described by Mattson and Buzzanell refers to the ability to both construct and articulate knowledge?

a. community b. fairness c. hope d. voice e. wisdom

Answer Key

1. c

2. d

3. a

4. e

5. d

[1] http://loyaltylobby.com/2012/02/05/bloomberg-businessweek-article-

about-united-continental-merger/

[2] Feedback: Our cover story on United-Continental merger draws some

passionate reactions. (2012, February 20). BusinessWeek. iPad version.

Chapter 3

Classical Theories of Organizational Communication

Information sharing is vital for effective decision making and should include the

full range of creativity, experience, and insight from employees.

What Is Theory?

In this chapter, we are going to explore classical theories in organizational

communication. Classical theories focus on organizational structure, analyzing

aspects such as optimal organizational performance plans, organizational power

relationships, and compartmentalizing different organizational units. [1] As

organizational communication scholars, these theories help us better appreciate,

recognize, and comprehend interactions and behaviors. We will discuss how

these theories work and apply to effectiveness of organizational communication.

What is theory? The word theory derives from the Greek word theoria, θεωρία,

which roughly translated means contemplation or speculation. Modern

understandings of the word theory are slightly different from the ancient Greeks,

but the basic idea of contemplating an idea or speculating about why something

happens is still very much in line with the modern definition. A theory is a

“group of related propositions designed to explain why events take place in a

certain way.” [2] Let’s break this definition down into its basic parts. First, a

theory is a “group of related propositions,” which are a series of statements

designed to be tested and discussed. Ultimately, these statements propose an

explanation for why events take place and why they occur in specific fashions.

For example, Sir Isaac Newton (of the claimed apple falling on his head) created

the modern theory of gravity to explain why the planets and stars didn’t go

crashing into each other (a very simplistic summation of his theory). While

Newton’s theory of gravity was pretty good, it couldn’t account for everything,

so ultimately Albert Einstein’s theory of relativity came on the stage to further

our understanding of how gravity actually works. In both cases, we have two

well-respected researchers attempting to understand a basic phenomenon of our

physical world—gravity. Just as physicists have been trying to understand why

the planets rotate and don’t crash into each other, organizational scholars have

attempted to create theories for how and why organizations structure themselves

the way they do, why people behave the way they do in organizations, why

leaders’ and followers’ interactions lead to specific outcomes, and so on.

Eric Eisenberg and Lloyd Goodall wrote that “the way we talk about a problem

directly influence the solutions we can articulate to address the problem.

Theories of organization and communication should enhance our ability to

articulate alternative ways of approaching and acting on practical issues.” [3] They further noted that theories have two basic qualities: metaphorical and

historical. [4] When we say that theories are metaphorical, we mean that

theories provide a linguistic means of comparing and describing organizational

communication and function. As you know from studying English, a metaphor is

a figure of speech where a word or phrase is applied to an object or action, but

Theories Are Historical:

Theories Are Metaphorical:

the word does not literally apply to the object or action. In this chapter and

Chapter 4, we’ll see theories comparing organizational phenomena to machines

and biological organisms. On the other hand, when we say that theories are

historical, we perceive theories in terms of the period in which they were

created and were popular. Theories are historical because they are often a

product of what was important and prevalent during that time. Hence each

theory is partial in addition to historical and metaphorical. In this chapter, we’ll

examine three different theoretical periods commonly referred to as the classical

perspective, human relations, and human resources. Each of these three

groupings exists primarily as an opportunity for retrospective analysis. In other

words, when we look back over the history of theoretical development in

organizational communication, these three periods jump out as being uniquely

different, so we ultimately group different ideas and important thought leaders

together because of similarities in their theoretical approaches to organizing.

KEY TERMS AND DEFINITIONS

The notion that we perceive theories in terms of the period in which they were created and were popular.

The notion that theories provide a linguistic means of comparing and describing organizational communication and function.

[1] Fisher, D. (2000). Communication in organizations (2nd ed.). New

York, NY: Jaico.

[2] Infante, D., Rancer, A., & Womack, D. (2003). Building communication

theory (4th ed.). Long Grove, IL: Waveland, p. 356.

[3] Eisenberg, E. M., & Goodall, H. L., Jr. (1993). Organizational

communication: Balancing creativity and constraint. New York, NY: St.

Martin’s Press, p. 53.

[4] Eisenberg, E. M., & Goodall, H. L., Jr. (1993). Organizational

communication: Balancing creativity and constraint. New York, NY: St.

Martin’s Press.

3.1 The Classical Perspective

LEARNING OBJECTIVES

1. Understand Frederick Taylor’s scientific management.

2. Explain the bureaucratic theory.

3. Describe Max Weber’s types of authority.

4. Discuss the implications of each classical perspective.

To understand classical theories, a brief history of industrialization is necessary.

Industrialization, or the Industrial Revolution, refers to the “development and

adoption of new and improved production methods that changed America and

much of Europe from agrarian to industrial economies.” [1] So how did both

Europe and America transform themselves from agrarian-, or farming, based

economies to industrial ones? To pinpoint a single event or invention that really

created the Industrial Revolution is almost impossible. From approximately 1750

to 1850, a variety of innovations in agriculture, manufacturing (both iron and

textiles), mining, technology, and transportation altered cultural, economic,

political, and social realities. For the first time in history, people stopped

working on family farms or in small family-owned businesses and started

working for larger organizations that eventually morphed into the modern

corporation. While there had been models of large organizations with massive

influence, such as the Catholic Church, these organizations had been very

limited in number. As more and more people left the family farm or local weaver

in hopes of bettering their lives and the lives of their families through

employment in larger organizations, new tools and models for managing these

workers had to be developed.

Perhaps the most widely known theories of organizational communication are

those from the classical period that stemmed out of the Industrial Revolution.

The main idea of the classical perspectives of organizational communication is

that organizations are similar to machines. Hence if you have a well-built and

well-managed machine, then you will have a very productive and effective

organization. The assumption is that each employee is part of a large machine,

which is the organization. If one part fails, then the entire machine fails.

Frederick Taylor's Scientific Management

In 1913, Frederick Taylor published Principles of Scientific Management, [2]

ushering in a completely new way of understanding the modern organization.

Taylor was trained as an engineer and played a prominent role in the idea of

scientific management. Scientific management is a management-oriented and

production-centered perspective of organizational communication. [3] Taylor

believed that the reason most organizations failed was that they lacked

successful systematic management. He wrote, “The best management is true

science resting upon clearly defined laws, rules, and principles, as a foundation.” [4] He further noted, “Under scientific management arbitrary power, arbitrary

dictation ceases, and every single subject, large and small, becomes question for

scientific investigation, for reduction to law.” [5] Taylor believed that any job

could be performed better if it was done scientifically. He created time-and-

motion studies that resulted in organizational efficiency.

Working as a foreman for the Bethlehem Steel Works in the 1900s, Taylor

observed how workers could do more with less time. He analyzed coal shoveling

at the organization. He noticed several workers would bring different-sized

shovels from home. Workers who brought small shovels could do more but it

took them longer, and workers who brought big shovels could do less but it was

faster. He observed that the best size of shovel was one that weighed about

twenty pounds. Hence he ordered the organization to provide all the workers

with the same size shovel. He also provided pay incentives for workers who

could shovel more coal. By making these changes, the organization was able to

increase production drastically.

Taylor believed that several steps were involved in getting to a more productive

organization. First, one must examine the job or task. Second, one needs to

determine the best way to complete the job or task. Third, one must choose the

most appropriate person for the task, at the same time properly compensating

that person. Lastly, one must be able to train the person to do the task efficiently.

Taylor believed that by using these scientific steps, organizations would have

fewer misuses of human effort.

Taylor’s idea of scientific management originated during the time in history

when most training of workers was based on apprenticeship models. In an

apprenticeship, a person would be taught and schooled by a more experienced

person, who would illustrate the task so that the inexperienced person could

model the behavior. Taylor believed that this was a very ineffective way of

training, because he felt that workers would differ in terms of tasks that were

performed, and the effectiveness of the tasks would be dependent on the type of

training received. Taylor argued that there should be only one way to explain the

job and one way to execute the task. He did not believe that it should be left up

to the expert to train apprentices on the task.

Overall, Taylor felt that employees were lazy and needed constant supervision.

He posited, “The tendency of the average [employee] is toward working at a

slow easy gait.” [6] In other words, he noted that this tendency is called natural

soldiering, which is affected by systematic soldiering, which occurs when

employees decrease their work production based on input or communications

from others. According to Taylor, systematic soldiering happens when

employees feel that more production will not result in more compensation. In

addition, if employees are paid by the hour and want to increase their income,

then they might demonstrate that it takes more time in order to get compensated

more than they would if they exerted more effort. Because Taylor thought

employees were inherently lazy, he thought employees also impacted the rate of

production.

Taylor is known for his idea of time and motion. Time and motion refers to a

method for calculating production efficiency by recording outcomes and time to

produce those outcomes. Taylor believed that if each task was designed

scientifically and the workers could be trained, then production could be

measured by timing the labor the workers performed. It was his intention to

create a work benchmark that could be quantified to improve efficiency and

production outcomes. We should also mention that Taylor’s ideas on time and

motion were ultimately furthered by the research of Frank Gilbreth, who filmed

workers in action in an effort to gain a better idea of physical movements. [7] In

the following video, you can see the work of Frank Gilbreth, along with his wife,

Lillian, as they attempted to use time-and-motion techniques to make

bricklaying more effective, productive, and profitable.

Video Link

Gilbreth Time and Motion Study in Bricklaying

https://www.youtube.com/watch?v=lDg9REgkCQk

In this video, the original configuration of the scaffolding required a lot of

bending motion on the part of the bricklayers. The bending motion not only took

more time but also increased worker fatigue over a long day, which would make

workers less effective and productive. After completing the time-and-motion

study, you see the second half of the video where the workers have actually

created scaffolding for the bricks that does not involve bending over to pick up

the bricks. Ultimately, this simple example clearly illustrates the impact that

time-and-motion study techniques could have on making workers better at their

jobs.

Taylor felt that it would be ideal if organizations were run like machines,

because all tasks were clear-cut and simple. At the same time, these tasks

typically did not allow for flexibility, creativity, or originality. In addition, there

is a clear-cut distinction between managers who think and workers who labor.

Thus this perspective does not account for work motivations, relationships, and

turbulence in organizations.

Another key factor of Taylor’s scientific method is the style of communication.

Taylor did not feel the need to build rapport among workers. Rather, he felt that

managers needed to communicate clearly and candidly. Further, employees did

not need to provide input, they just needed to know how to execute their jobs.

While Taylor’s ideas took off like wildfire, they were not without their

detractors. As early as 1912, the US Commission on Industrial Relations was

expressing skepticism about scientific management, or what many were just

calling Taylorism:“To sum up, scientific management in practice generally tends

to weaken the competitive power of the individual worker and thwarts the

formation of shop groups and weakens group solidarity; moreover, generally

scientific management is lacking in the arrangements and machinery necessary

for the actual voicing of the workers’ ideas and complaints and for the

democratic consideration and adjustment of grievances.” [8]

Think about fast-food restaurants or package-delivery companies. These

organizations still use scientific management to run their businesses efficiently.

Each worker has a designated job and is required to do the same task over and

over again. Even though this is an old idea, it is still used in current workplaces.

Bureaucratic Theory

Max Weber and Henri Fayol were two other theorists known for their work in

the classical perspectives to organizational communication. These two theories

focus on the structure of the organization rather than the organizational activities.

Many of their ideas are around today.

Max Weber

Max Weber defined bureaucracy as the ideals to which organizations should

aim and aspire. [9] Weber was influenced by socialist philosophy. He developed

the idea of bureaucracy when he noticed several corrupt and unethical behaviors

of leaders. He felt that organizational leadership should center on task

proficiency and impersonal relationships. Even though many people associate

bureaucracy with red tape and ineffective organizations, this is not the outcome

of bureaucracy. According to Weber, bureaucracy should be synonymous with

order, consistency, reason, and reliability. In order to aspire to these traits,

organizations need to have specific rules and emphasize impersonality. He noted

that bureaucratic organizations must have the following characteristics:

Specialization and division of labor. Specific, set tasks allow an employee

to achieve his or her own objective. Thus every worker did not have to do

many jobs but an exclusive task that was assigned to that worker. This

helped to alleviate multiple trainings and increase production.

Rules and procedures. Written policies help manage and direct the

organization. Managers spend a majority of their time on how these policies

help to guide and function in the organization. These procedures would

serve as a guide and resource for the organization.

Hierarchy of authority. Organizations need to have a chain of command

that is shaped like a pyramid. There are levels of supervisors and

subordinates. Each worker answers to her or his corresponding superior.

This would assist in creating a direct line of communication and better

efficiency in the organization.

Formal communication. All decisions, rules, regulations, and behaviors

are recorded. This information and communication are shared in terms of

the chain of command. Hence everything is documented and accounted.

There is no question about what needs to be done, because it is written

down and passed through formal communication channels (a very top-down

approach to communication).

Detailed job descriptions. The organization has clear and concise

definitions, directions, and responsibilities of each position. Each worker is

aware of her or his task.

Employment based on expertise. The organization assigns workers

positions that fit their competencies. Hence workers are placed in the

organization where they can maximize production.

Impersonal environment. Relationships need to be impersonal and

separate so that workers’ personal thoughts or feelings do not affect or bias

decisions. Workers just need to work, and they do not need to interact with

others. Interpersonal relationships may jeopardize the organization’s

outcomes.

Weber categorized three types of authority: traditional, bureaucratic, and

charismatic. [10] Traditional authority is related to the backgrounds and traditions

of an environment. This leadership is usually passed down from one family

member to another with little regard to who is more apt or capable. Thus

authority is given to another based on custom or tradition. Think of family-

owned businesses and how those businesses usually do not let outsiders interfere

unless they are related to the family.

Charismatic authority is founded on the idea that the best candidate for this

position will be the one who can exert authority. This person is usually

charismatic, hence the name. If this person ever leaves the position, then their

authority does as well. According to Weber, charismatic leaders can lead to

insecure and unpredictable organizations, because there is a vague idea of who

will replace their position.

Another type of authority is bureaucratic. Weber felt that bureaucratic authority

was the best way to delegate authority in an organization. Bureaucratic authority

is founded on set objectives and criteria. Hence the best leaders were

bureaucratic leaders because they were picked in terms of the guidelines set out

for that organization’s mission. Weber believed that bureaucratic authority was

the ideal way to select authority because it thwarted ideas of nepotism,

preferential treatment, prejudice, and discrimination. Hence a candidate would

be selected in terms of job competency and not lineage or personality.

Table 3.1 Weber's Types of Authority

Traditional Charismatic Bureaucracy

Based on Family lineage Personality Rules and actions

Specialization None Charisma Technically qualified

Hierarchy Seniority Preferences Authority

Leadership Succession Family Popularity Most appropriate for the position

Communication Depends Depends Is written and has numerous records

Viewed as Nepotism Partisan Systematic

Fayol’s principles of management are similar to the military because there is unity in direction, unity in

command, subordination of individual interests to the general interest, and order.

© Thinkstock/iStock

Henri Fayol

Henri Fayol [11] managed a French mining company called Comambault, which

he was able to transform from an almost bankrupt organization to a very

successful one. Originally, he worked there as an engineer, then moved into

management, and later leadership. Similar to Weber, Fayol felt that there needed

to be division of labor, hierarchy, and fair practices. Fayol believed that there

were principles of management that included the following:

Unity of direction. The organization should have the same objectives, one

plan/goal, and one person of leadership/authority.

Unity of command. Employees should get orders from only one person.

Therefore, there would not be a chain of command. One person would be

the person in charge and be responsible.

Authority. Managers are entitled to provide orders and obtain compliance.

No other individuals in the organization have the privilege of power.

Order. The organization must have set places for workers and resources.

These should be in the right place at the correct time.

Subordination of individual interest to the general interest. The interest

of the organization is most significant and not that of the group or

individuals working for the organization.

Scalar chain. There is a hierarchical order of authority. There is a sequence

and succession to how communication is transferred from one person to the

other. This is similar to horizontal communication where workers of the

same level communicate with each other.

Even though Fayol’s principles may appear strict, he was one of the first

theorists to grasp the idea that having unconditional compliance with an

organization may lead to problems. Hence he also noted that each organization

must determine the most favorable levels of authority.

All in all, communication in the classical perspective has two functions: control

and command. Fayol believed that organizations must limit their

communication to precise and explicit words for task design and

implementation. Thus communication is not spontaneous and is more centralized

in a classical organization.

Workers need to feel their input is valued or they will strike.

© Thinkstock/iStock

Fayol also believed there were certain management activities, specifically five

activities that are applied to the administration unit of an organization. These

activities included planning, organizing, commanding, coordinating, and

controlling. As explained by Fayol, planning is where managers create plans for

the organization and predict future organizational needs. Next, organizing occurs

when organizations employ people and materials to complete their plans.

Commanding is what managers do to get the optimal output in production and

efficiency. Coordinating is where managers bring together the labors of all of

their employees. Last, controlling determines the accuracy of the organization’s

efforts and its plan. Fayol’s work still has a big influence on the climate,

structure, and leadership of many of today’s organizations. For instance, the

military is a great example of the ideas presented by Fayol, because there are so

many chains of command and so much structure. Communication in the military

is usually downward, and leadership is very important to its core.

KEY TAKEAWAY

Theories help us understand and predict communication and

behaviors.

Frederick Taylor created the idea of “scientific management,”

which is a management style that focuses on producing outcomes

and has a high orientation on management.

Max Weber felt that bureaucracy was the best way to select

authority. It is based on criteria and standards for the task rather

than other variables such as family relationship or popularity.

Henri Fayol believed that there are principles of management,

which include unity of direction, unity of command, authority,

order, subordination of individual interest to the general interests,

and scalar chain. He also felt that classical perspectives have two

functions: control and command.

EXERCISES

Scientific Management:

1. Determine how these classical perspectives are similar to and

dissimilar from each other. Create a chart or table to highlight

these differences.

2. Discuss the pros and cons of utilizing each classical perspective

in your current occupation and/or your dream job. Is the classical

perspective effective or ineffective? Why or why not?

3. Contact someone who is currently part of or has been a part of

the military. Ask them specific questions regarding the military as

an organization and types of communications in the military. Do

you see relationships between the military and the organizational

theories presented in this chapter?

4. Divide the class into small groups. Each group must select a

classical organizational perspective. They will act out their role in

front of the class, and the class must guess which perspective is

being acted. If the class is in an online format, ask students to

create a visual presentation of an organizational perspective with

the pros and cons of that perspective.

KEY TERMS AND DEFINITIONS

This type of organization emphasizes a management-oriented and production-centered perspective of organizational communication. This approach believes that organizations should be run like machines. Worker must do labor, and managers must do the thinking. There is limited communication.

Bureaucracy :

Control And Command:

Time And Motion:

Time-And-Motion:

Ideals that organizations should try to attain. The term also refers to selecting authority based on criteria and standards rather than popularity or family relation. Hence it makes organizational decisions harder to execute, but it also protects workers from mistreatment, because there is order and structure to the communication.

Organizations must limit their communication to precise and explicit words for task design and implementation. At the same time, communication is not spontaneous and is more centralized in a classical organization.

Methods for calculating production efficiency by recording outcomes and time to produce those outcomes. A researcher can determine how long a worker needs to yield an expected result by measuring workers’ movements over time.

Methods for calculating production efficiency by recording outcomes and time to produce those outcomes. A researcher can determine how long a worker needs to yield an expected result by measuring workers’ movements over time.

[1] Scott, D. L. (Ed.). (2009). Industrial revolution. The American heritage

dictionary of business terms. Boston, MA: Houghton Mifflin Harcourt, p.

259.

[2] Taylor, F. (1913). Principles of scientific management. New York, NY:

Harper.

[3] Eisenberg, E. M., & Goodall, H. L., Jr. (1993). Organizational

communication: Balancing creativity and constraint. New York, NY: St.

Martin’s Press.

[4] Taylor, F. (1913). Principles of scientific management. New York, NY:

Harper, p. 19.

[5] Taylor, F. (1913). Principles of scientific management. New York, NY:

Harper, p. 211.

[6] Taylor, F. (1913). Principles of scientific management. New York, NY:

Harper, p. 19.

[7] Nadworny, M. J. (1957). Frederick Taylor and Frank Gilbreth:

Competition in scientific management. Business History Review, 31, 23–

34.

[8] US Commission on Industrial Relations (1912). A government

evaluation of scientific management: Final report and testimony.

Washington, DC: Government Printing Office, p. 136.

[9] Weber, M. (1947). The theory of social and economic organization

(A.M. Henderson and T. Parsons, Trans.). London, England; Collier

MacMillan.

[10] Weber, M. (1947). Essays on sociology. New York, NY: Oxford

Press, pp. 196–198.

[11] Fayol, H. (1949). General and industrial management. London, UK:

Pitman.

3.2 Human Relations Theories

LEARNING OBJECTIVES

1. Understand the human relations approach.

2. Identify key people in the human relations approach.

3. Explain the implications of the human relations approach.

During the 1930s, the world was in the middle of the worst economic

depressions. During this period, workers started to dislike and question scientific

methods and bureaucracy in organizational settings. In this section, we will

introduce the human relationship approach. We will discuss the historical and

cultural backgrounds of this approach.

The Great Depression, which occurred between 1929 and 1940, caused

economic and social struggles for many Americans. Many governmental policies

were changing, such as Social Security, welfare, and public improvement

projects. The Depression caused many families to move from drought-stricken

farming areas to the West Coast and from poor Southern cities to more enriched

areas of the North. These families were looking for a better life. However, the

increase of workers to these areas led to more competition. Moreover, it led to

many types of worker abuse by corrupt and immoral managers. It was during

this time that many people advocated for human rights, labor unions, better

wages, and improved work conditions. “Fair wages” was defined by how much

workers produced as output. In turn, this increased output usually led to more

injuries, illnesses, and deaths. Human rights were defined as having twelve-hour

workdays, working six days a week, and getting a thirty-minute break for lunch.

These perspectives concerning “fair” and “human rights” were seen differently

by managers and employees. The difference in perspectives caused tense and

strained relationships between managers and workers.

World War II changed everything. There was an increase of employment in the

private sector and the military. These changes resulted in a more human relations

approach to communication in organizations, because there was an increase in

well-educated workers. These new workers encouraged an awareness of the

worker’s needs, such as feeling important and appreciated as a worker and an

individual. To better understand how new management ideas ultimately started

to transform the face of the workplace, we will first discuss a number of key

ideas in the group of theories labeled under the term human relations, followed

by an analysis of two of the major theorists in this category: Elton Mayo and

Kurt Lewin.

Key Ideas in Human Relations

Before we jump in and discuss the major theoretical thinkers who spawned the

human-relations movement, we need to understand the basic characteristics of

the theoretical developments in this time period. As with many theoretical

movements, the notion of “human relations” was drawn by researchers after the

fact. Specifically, Raymond E. Miles, a business professor at the University of

California at Berkeley, is responsible for much of the work on crystallizing the

notion of “human relations.” [1]

Miles, in a famous article in the Harvard Business Review, [2] discussed human

relations as the natural knee-jerk reaction that many management theorists

(along with workers and managers as well) had to Frederick Taylor’s scientific

management. Where Taylor viewed people as parts of a working machine, the

human-relations approach shifted the viewpoint from the task to the worker. For

the first time, workers were viewed as an important part of the organization that

should be viewed holistically instead of as bundles of skills and aptitudes. As

Miles noted, managers “were urged to create a ‘sense of satisfaction’ among

their subordinates by showing interest in the employees’ personal success and

welfare.” [3] Most importantly, the goal of human relations was to make workers

feel as though they belonged to something bigger than themselves, and thus the

workers’ work was important to the overall effort of the organization.

For communication scholars, the human relations approach is important because

it is the first time that two-way communication was encouraged; communication

between a worker and a manager was like a dialogue instead of a unidirectional

communication from the manager targeted at the worker. Furthermore, the

human-relations perspective sees communication as a tool that can be used by

management to “buy” cooperation from subordinates. Robert Dubin [4] coined

the term privilege pay to refer to a tool managers can utilize with subordinates

when the manager provides subordinates departmental information and allows

the subordinate to engage in open communication about various departmental

issues with the manager. Dubin sees this as a form of payment a manager makes

in order to “buy” cooperation from subordinates. The manager must give up

some of her or his access to private information and control over subordinates,

because this process enables subordinates to engage in some self-direction.

In sum, the human-relations perspective on organizational management notes

that the world would be easier for managers if they could just make decisions

and have subordinates follow those decisions. However, because employees are

more productive when they are satisfied, it becomes the job of the manager to

engage with subordinates. As Miles notes, “This model suggests, the manager

might do better to ‘waste time’ in discussing the problem with subordinates, and

perhaps even to accept suggestions that he believes may be less efficient, in

order to get the decision carried out.” [5]

Key People in Human Relations

Now that we’ve explored some of the theoretical underpinnings of the human-

relations approach to management, we will explore two of the most important

thinkers who are seen as falling into this category: Elton Mayo and Kurt Lewin.

Elton Mayo

Elton Mayo was a Harvard professor with a huge interest in Frederick Taylor’s

work. He was interested in learning ways to increase productivity. In 1924, Elton

Mayo and his protégé, Fritz Roethlisberger, were awarded a grant by the

National Research Council (NRC) of the National Academy of Science to study

productivity and lighting at the Hawthorne Works of the Western Electric

Company. The Hawthorne experiments, as Elton Mayo’s body of work became

known, are a series of experiments in human relations conducted between 1924

and 1932 at Western Electric Company’s Hawthorne Works in Cicero, Illinois.

Illumination Study

The first study at Hawthorne Works was designed to explicitly test various

lighting levels and how the lighting levels affected worker productivity. The

original hypothesis of the illumination study was that as lighting increased,

worker productivity would increase. The opposite was also predicted, as lighting

decreased, worker productivity would decrease. The original push behind the

study was the electric power industry, who believed that if they could

demonstrate the importance of artificial lighting, organizations around the

country would adopt artificial lighting in place of natural lighting to ensure

worker productivity.

The research began in the fall of 1924 and continued through the spring of 1927

as three different groups of workers were put through the experiment: relay

assembly workers, coil-winding workers, and inspectors. [6] After three different

testing conditions were concluded, the researchers were perplexed by their

findings. It did not matter if the researchers increased or decreased light in the

company; the workers’ productivity increased. This finding was true even when

the researchers turned down the lights to where the workers could barely see.

The researchers later realized that lighting did not affect worker productivity;

rather, the researchers’ presence had an impact. That’s why production outcomes

were similar to those in the lighting study—because workers were influenced by

the attention they got from the researchers. [7] This incident was labeled the

Hawthorne effect.

Figure 3.1 Hawthorne Studies Findings

Relay-Assembly Study

To further clarify the impact of a variety of factors on productivity, a second set

of tests was designed to evaluate rest periods and work hours on productivity.

The goal of this study was to determine how fatigue impacted worker

productivity. Six women operators volunteered to participate in the relay-

assembly study. The women were given physical examinations at the beginning

of the study and then every six weeks to ensure that the experiment was not

adversely affecting their health.

The six women were isolated in a separate room away from other Hawthorne

workers, where it was easier to measure experimental conditions like output and

quality of work, temperature, and humidity. The specific task in the relay-

assembly test was an electromagnetic switch consisting of thirty-five parts that

had to be put together by hand.

The experimenters introduced a variety of changes to the workers’ environment:

pay rates, bonuses, lighting, shortened workdays/weeks, rest periods, and so

forth. Surprisingly, as the test period quickly spanned from an original testing

period of a couple of months to more than two years, no matter what the

experimenters did, productivity increased. In fact, productivity increased more

than 30 percent during the first two and a half years of the study and then

plateaued for the duration of the tests. The physicals the workers received every

six weeks also showed that the women had improved physical health and their

absenteeism decreased during the study period. Even more important, the

women regularly expressed increased job satisfaction.

Once again the researchers were stumped. They quickly tried to determine what

was causing the increased productivity and quickly ruled out all the manipulated

conditions and settled on something considerably more intangible—employee

attitudes.

Employee-Interview Study

In the middle of the relay-assembly studies, a group of Harvard researchers led

by Elton Mayo and F. J. Roethlisberger joined the team of engineers at

Hawthorne Works to add further expertise and explanation to the studies under

way. One of the most important contributions Mayo made was during the

follow-up to the illumination and relay studies when workers at Hawthorne

Works were interviewed.

From 1928 to 1931, the Harvard researchers interviewed more than twenty-one

thousand workers in an attempt to gauge worker morale and determine what job

factors impacted both morale and job satisfaction. The researchers predicted,

based on the illumination and relay studies, that if they could increase worker

morale and satisfaction, then the workers would be more efficient and productive

as well. The interview study definitely posed some new challenges for the

researchers. Mayo thought that the “experience itself was unusual; there are few

people in this world who have had the experience of finding someone intelligent,

attentive, and eager to listen without interruption to all that he or she has to

say.” [8] To this end, Mayo trained a series of interviewers to listen and not give

advice as they took descriptive notes of what was being told to them by the

workers.

After the interviewing study was completed, the researchers attempted to make

sense of the mounds of data they had accumulated. One interesting side effect

was noted. After being interviewed by a researcher about the employee’s

working conditions, the employee reported increased satisfaction. Ultimately, the

very act of being asked about their working conditions made the employees

more satisfied workers and ultimately more productive. One of the interesting

outcomes of this study is the practice of employee-reaction surveys, which are

still widely used in organizations today.

Bank-Wiring Observation Study

One of the findings of the interview study was that workers tended to create an

informal standard for output that was predetermined by the group but never

clearly stated. These productivity standards were never really in line with the

ones communicated by either efficiency engineers or managers. To examine the

influence of informal group rules on worker productivity, Mayo and his team

created the bank-wiring observation study.

Fourteen bank wiremen (nine wirers, three smolders [individuals who fused

metal parts together using high temperatures], and two inspectors) were placed

in a room and told to complete their individual tasks. The men in the room were

putting together automatic telephone exchange components that consisted of

three thousand to six thousand individual terminals that had to be wired. The

workers spent a lot of time on their feet. To ensure that the men were not

affected by the Hawthorne effect, the researchers never let the men know they

were being studied. However, a researcher named W. Lloyd Warner, a trained

anthropologist with an interest in group behavior, was present in the room, but

he acted like a disinterested spectator and had little direct interaction with the

wiremen. In the experimental condition, pay incentives and productivity

measures were removed to see how the workers would react. Over time, the

workers started to artificially restrict their output and an average output level

was established for the group that was below company targets. Interestingly

enough, the man who was considered the most admired of the group also

demonstrated the most resentment toward management and slowed his

productivity the most, which led to cascading productivity of all the other men in

the group.

The researchers ultimately concluded that the wiremen created their own

productivity norms without ever verbally communicating them to each other. For

the first time, the researchers had clear evidence that within any organization

there exists an informal organization that often constrains individual employee

behavior. The bank-wiring observation study was stopped in spring of 1932 as

layoffs occurred at Hawthorne Works because of the worsening Great

Depression.

Conclusion

The Hawthorne Studies and the research of Mayo and Roethlisberger reinvented

how organizations think about and manage workers. Contrary to Taylor’s

perspective, Mayo and Roethlisberger felt that interpersonal relationships were

important. Moreover, they thought that society is composed of groups and not

just individuals; individuals do not act independently with their own interests but

are influenced by others; and most workers’ decisions are more emotional than

rational. We cannot overstress the importance that Mayo and Roethlisberger

have had on management theory and organizational academics. Overall, these

studies demonstrated the importance that communication has in subordinate-

supervisor interactions, the importance of peer relationships, and the importance

of informal organizations.

While the Hawthorne Studies revolutionized management theory, they were also

quite problematic. For example, most of the major studies in this series consisted

of very small samples of workers (six in the relay study and thirteen in the bank-

wiring study), so these results are definitely suspect from a scientific vantage

point. Furthermore, some people would argue that Hawthorne effects were really

the result of workers who were afraid of unemployment rather than

communication relationships. [9] Regardless of potential errors of the studies, the

conclusion that Mayo, Roethlisberger, and Dickson found was quite

extraordinary. Relationships have a significant impact on the quality of

organizational performance.

Kurt Lewin

Kurt Lewin was another person who explored the human-relations side to

organizational communication. Lewin was a refugee from Nazi Germany. He

adored democracy and had a passion for applying psychology to improving the

world. [10] During World War II, Lewin was at the University of Iowa. The US

government asked him to research ways to advise housewives against purchasing

meat, because there was such a short supply. [11] Lewin felt that there was a huge

barrier because housewives were expected to buy meat as their families, friends,

and parents anticipated being served meat. Lewin hypothesized that if

housewives were able to talk with other housewives about their meat-buying

tendencies, they would be able to overcome this barrier. Lewin and his cohorts

performed the experiments and found support for his hypothesis. Housewives

who were able to talk about their meat purchasing with other housewives were

ten times more likely to change their behavior.

Lewin felt he could analyze these same principles in an organization. Lester

Coch and John R. P. French [12] found that workers in a pajama factory were

more likely to espouse new work methods if they were given the opportunity to

discuss them and exercise some influence on the decisions that affected their

jobs. These new findings helped organizations realize the benefits of group

formation, development, and attitudes. Lewin’s ideas helped influence future

organizational communication theorists by emphasizing the importance of

communication. Lewin helped identify the fact that workers want to have a voice

and provide input about their tasks.

KEY TAKEAWAY

Elton Mayo and his research associates studied how lighting

affects production. They later realized that the workers were not

affected by lighting but by the researchers’ presence.

Kurt Lewin felt that group dynamics impacted behavioral

outcomes. If workers can talk about their tasks with others, it

impacts the organization.

Workers usually tended to create an informal standard for output

that was never stated but also predetermined by the group.

EXERCISES

Hawthorne Effect:

Privilege Pay:

1. What are the advantages and disadvantages of the human

relations approach?

2. Can you think of how group dynamics impact behavior outcomes?

Is this true from your experience? How so?

3. Do you believe that group dynamics are important in an

organization? Why or why not? Can you provide some specific

examples?

KEY TERMS AND DEFINITIONS

Workers’ behaviors were affected by the attention they received rather than by other variables such as lighting or temperature. Once workers felt as though they were being noticed or recognized, it influenced their productivity. Group norms were also affected.

A tool managers can utilize with subordinates when the manager provides subordinates departmental information and allows the subordinate to engage in open communication about various departmental issues with the manager.

[1] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157.

[2] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157.

[3] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157, p. 149.

[4] Dubin, R. (1958). The world of work. Englewood Cliffs, NJ: Prentice-

Hall. Dubin, R. (1958). The world of work. Englewood Cliffs, NJ: Prentice-

Hall.

[5] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157, p. 150.

[6] Roethlisberger, F. J., & Dickson, W. J. (1939). Management and the

worker. Cambridge, MA: Harvard University Press.

[7] Roethlisberger, F. J., & Dickson, W. J. (1939). Management and the

worker. Cambridge, MA: Harvard University Press.

[8] Mayo, E. (1945). The social problems of an industrial civilization.

Boston, MA: Harvard Business School, p. 163.

[9] Rice, B. (1982). The Hawthorne defect: Persistence of a flawed

theory. Psychology Today, 16(2), 70–74.

[10] Tannenbaum, A. S. (1966). Social psychology of the work

organization. Belmont, CA: Wadsworth, p. 86.

[11] Lewin, K. (1958). Group decision and social change. In E. F.

Maccoby, T. M. Newcomb, & E. L. Hartley (Eds.), Readings in social

psychology (pp. 197–211). New York, NY: Holt, Rinehart & Winston.

[12] Coch, L., & French, J. R. P., Jr. (1948). Overcoming resistance to

change. Human Relations, 1, 512–532.

3.3 Human Resources Theories

LEARNING OBJECTIVES

1. Define and understand the differences between human relations

and human resources.

2. Identify key people in human-resources theories.

3. Discuss motivation theories.

4. Discuss and explain Douglas McGregor’s Theory Y and Theory X.

In Section 2, you were introduced to the research of Elton Mayo and Kurt Lewin

under the banner of human-relations theories. In this section, we’re going to

further our understanding of theory in organizations by examining those

theoretical perspectives that fall into the human-resources camp.

The notion of human resources as a general category for a variety of

management-related theories was originally proposed by Raymond Miles. [1] First and foremost, Miles’s human-resource theories posit that all workers are

reservoirs of untapped resources. Miles believed that every worker comes into an

organization with a variety of resources that management can tap into if they try:

“These resources include not only physical skills and energy, but also creative

ability and the capacity for responsible, self-directed, self-controlled behavior.” [2]

Under this perspective then, managers should not be focused on controlling

employees or getting them to “buy in” to decisions, which are the hallmarks of

scientific management and human relations. Instead, the primary task of

management should be the creation of a working environment that fosters

employee creativity and risk taking in an effort to maximize and tap into the

resources employees bring to the job. As such, communication in this

perspective must be constant and bidirectional, and participation in decision

making must include both management and workers. Miles explains that his

human resources model “recognized the untapped potential of most

organizational members and advocated participation as a means of achieving

direct improvement in individual and organizational performance.” [3] To help

us understand human resources, we will describe how human resources differ

from human relations and discuss some key people in human resources.

Human-Relations versus Human-Resources Theories

To understand the notions of human relations and human resources is to

understand Raymond Miles’s [4] original ideas on both concepts. Miles, as

explained earlier, articulated a very clear theoretical perspective that was high on

communication, high on tapping into employee resources, and high on employee

input in decision making. These ideas were not his, but he did create a clear

categorization scheme where he delineated between two groups of researchers

whom he labeled “human relations” and “human resources.” Although Miles

believes these two groups exist, he also admits that these groups exist primarily

in how managers interpret and apply various the ideas of various innovators

within the field of management, so the researchers who fall into the human-

relations camp often discuss concepts that seem to fall within Miles’s own

human-resources framework. Table 3.2 provides a list of the major differences

that Miles believed existed between human relations and human resources.

Table 3.2 Human Relations versus Human Resources

Human Relations Human Resources

Worker

Needs

Workers need to belong, be liked,

and be respected.

While workers need to belong, be liked, and be

respected, workers also want to creatively and

effectively contribute to worthwhile goals.

Worker

Desires

Workers really desire to feel as

though they are a useful part of the

organization.

Workers really desire to exercise initiative,

responsibility, and creativity, so management should

allow for these.

Outcomes

If worker needs and desires are

filled, they will willingly cooperate

and comply with management.

Management should tap into worker capabilities and

avoiding wasting untapped resources.

Job

Satisfaction

When employees’ needs and

desires are met, they’ll be more

satisfied.

When employees feel that they have self-direction

and control and are able to freely use their creativity,

experience, and insight, they will be more satisfied.

Productivity

Job satisfaction and reduced

resistance to formal authority will

lead to more productive workers.

When employees feel that they have self-direction

and control and are able to freely use their creativity,

experience, and insight, they will be more

productive.

Management

Goals

Managers should strive to ensure

that all employees feel like they are

part of the team.

Managers should help employees discover hidden

talents and ensure that all workers are able to fully

use their range of talents to help accomplish

organizational goals.

Decision

Making

Management should allow

employees to offer input on routine

decisions and be willing to discuss

these decisions, but management

should keep important decisions to

themselves.

Management should allow and encourage employees

to freely participate in the decision-making process

with all types of decisions. In fact, the more

important the decision is, the more the manager

should seek out employee resources in the decision-

making process.

Information

Sharing

Information sharing is a useful tool

when helping employees feel like

they are part of the group.

Information sharing is vital for effective decision

making and should include the full range of

creativity, experience, and insight from employees.

Teamwork

Management should allow teams to

exercise moderate amounts of self-

direction and control.

Management should encourage teamwork and

continually look for areas where teams can exercise

more control.

This table is based on Miles’s models of participative leadership. Miles, R. E.

(1965). Human relations or human resources? Harvard Business Review, 43(4),

148–157, p. 151.

Key People in Human-Resources Theories

As we see in Table 3.2, there some key differences between human-relations and

human-resources theories. These differences can be broken down into two basic

categories: motivation and decision making. The rest of this section surveys both

of these areas and the key people who researched these phenomena.

Motivation Theories

Abraham Maslow's Hierarchy of Needs

Many theorists tried to explain the importance of the human resources approach.

One of these individuals was Abraham Maslow. [5] He is widely known for his

creation of Maslow’s hierarchy of needs. In order to get employees to work, he

tried to understand what motivates people. He knew that managers and

consultants were aware that certain aspects of work were more appealing than

others for workers. Workers can rank what they feel is most important for them

as an individual. With this information, Maslow came up with five needs that

need to be satisfied at one stage before moving on to another stage. Maslow felt

that needs vary from person to person and that individuals want their needs

fulfilled. One must determine what is the motivational factor.

Physiological Needs. The first level of Maslow’s hierarchy of needs is

physiological, which means that physical needs such as food and water need to

be met before moving to the next level. If workers do not make enough money to

buy food and water, then it will be hard for them to continue working.

Safety Needs. The second level is safety. Workers need to be in a safe

environment and know that their bodies and belongings will be protected. If

workers don’t feel secure, then they will find it hard to work efficiently. Think of

the many occupations that are highly unsafe. According to an article on the CNN

Money website, [6] the top ten most dangerous jobs in the United States are as

follows:

1. Fisherman

2. Logger

3. Airplane pilot

4. Farmer and rancher

5. Mining machine operator

6. Roofer

7. Sanitation worker

8. Truck driver/delivery person

9. Industrial machine repair person

10. Police officer

According to Maslow’s basic theoretical premise, these individuals will have a

harder time worrying about needs at the higher levels unless they can overcome

the inherent lack of safety within these jobs.

Love, Affection, and Belongingness Needs. The third layer is called love,

affection, and belongingness needs. Maslow believed that if an individual met

the basic physiological and safety needs, then that individual would start

attempting to achieve love, affection, and belongingness needs next. “He [sic]

will hunger for affectionate relations with people in general, namely, for a place

in his [or her] group, and he [or she] will strive with great intensity to achieve

this goal.” [7] Maslow believed that organizations would have better worker

retention and satisfaction if they kept their employees in a cohesive environment.

Furthermore, if a worker feels isolated or ostracized from the work environment,

then he or she feels less motivated to work, which will lead to a decrease in

overall productivity.

Esteem Needs. The fourth layer is called esteem, and is represented by two

different sets of needs, according to Maslow. First, individuals are motivated by

the “desire for strength, for achievement, for adequacy, for confidence in the

face of the world, and for independence and freedom.” [8] Maslow goes on to

discuss a second subset of esteem needs: “We have what we may call the desire

for reputation or prestige (defining it as respect or esteem from other people),

recognition, attention, importance or appreciation.” [9] While Maslow originally

separated these two lists from each other, they clearly have more in common

than not. If employees do not feel that their input is valued at the organization,

they will seek out other places of employment that will value their input, because

humans have an intrinsic need to be appreciated for their efforts.

Self-Actualization Needs. The fifth layer is called self-actualization, and it is

the hardest to attain. Self-actualization “refers to the desire for self-fulfillment,

namely, to the tendency for [a person] to become actualized in what he [sic] is

potentially. This tendency might be phrased as the desire to become more and

more what one is, to become everything that one is capable of becoming.”

Maslow goes on to explain, “A musician must make music, an artist must paint,

a poet must write, if he [or she] is to be ultimately happy. What a man [or

woman] can be, he [or she] must be. This need we may call self-actualization.” [10] Maslow felt that if individuals could have their needs met in order of the

layers, then they would both be motivated and seek opportunities to excel.

All in all, Maslow’s hierarchy of needs helps us understand how to motivate

workers to strive for more in the organization. Hence communication is very

important, because we need to understand what our employees need in order to

motivate them to work more proficiently and productively. In organizational

communication, we must understand that people will be more responsive to the

organization if their needs are fulfilled in order. If they are not fulfilled, then

workers will be frustrated and unable to work efficiently.

Figure 3.2 Maslow’s Hierarchy of Needs

Source: http://en.wikipedia.org/wiki/File:Maslow's_Hierarchy_of_Needs.svg

Frederick Herzberg's Motivation-Hygiene Theory

Another researcher to enter the fray of human motivation was Frederick

Herzberg. Originally trained as a clinical psychologist, Herzberg switched focus

over the course of his career and became one of the first researchers in the

growing field of industrial psychology. The original notion of Frederick

Herzberg’s motivation-hygiene theory was that traditional perspectives on

motivation, like Maslow’s, only looked at one side of the coin—how to motivate

people. Herzberg and his original colleagues [11] theorized that what ultimately

motivated individuals to work were not necessarily the same factors that led to

demotivation at work. In Herzberg’s worldview, motivation on the job should

lead to satisfied workers, but he theorized that satisfaction and dissatisfaction

were not opposite ends of one continuum. Instead, he predicted that the factors

that lead to positive job attitudes (and thus motivation) were different from the

factors that lead to negative job attitudes (and thus demotivation). For the

purposes of his theory, he called the factors that led to positive job attitudes

motivators and those factors that led to negative job attitudes hygiene factors.

In Table 3.3, the basic motivators and hygiene factors are listed. Notice that the

motivators are all centered on ideas somewhat similar to the esteem needs and

self-actualization needs of Abraham Maslow. On the other hand, the hygiene

factors all examine the context of work.

Table 3.3 Motivators and Hygiene Factors

Motivators Hygiene Factors

Achievement Policy and administration

Recognition Micromanagement

Advancement Relationships (supervisor, peers, and subordinates)

The work itself Job security

Responsibility Personal life

Potential for promotion Work conditions

Potential for personal growth Status

Salary Salary

Upon looking at Table 3.3, you may notice that Salary is entered for both

motivators and hygiene factors. In The Managerial Choice, Herzberg reversed

his previous thinking that salary was purely a hygiene factor: “Although

primarily a hygiene factor, it [salary] also often takes on some of the properties

of a motivator, with dynamics similar to those of recognition for achievement.” [12]

Decision Making

Douglas McGregor's Theory X and Theory Y

As we discussed earlier, the classical perspective felt that leadership should

control and order subordinates. Then, in the human-relations approach, we

learned that superiors need to cultivate and support their employees. Douglas

McGregor, [13] a management professor at the Massachusetts Institute of

Technology in the 1950s and 1960s, felt that there are two different perspectives,

which he termed Theory X and Theory Y. These theories were based on

assumptions that managers have about their workers.

McGregor defined a Theory X manager as one who believes that most people do

not like work. Workers are not smart or creative. People do not care about the

organization, and will adequately work when there are promises for rewards and

potential punishments. Moreover, a Theory X manager believes that people want

to have direction in order to evade responsibility.

On the other hand, Theory Y managers feel that people want to do what is best

for the organization and can direct themselves under the right conditions. Table

3.4 illustrates the differences between Theory X and Theory Y.

Table 3.4 Differences between Theory X and Theory Y

Theory X Theory Y

Workers:

• dislike work and find ways to avoid it

• avoid responsibility

• want direction

• resist change

• are not intelligent

• are not creative

Workers:

• perceive work as natural and find it enjoyable

• want responsibility

• prefer self-direction

• want to work toward organizational goals

• have the potential to develop and adapt

• are intelligent

• believe managers must control, reward, and/or

punish employees to maintain performance

• are creative

• believe work conditions need to be set to

achieve worker and organizational goals

KEY TAKEAWAY

Human resources encourages an environment where employees

have the ability to be creative and take risks in order to maximize

outcomes.

Human resources places an emphasis on more communication

than does human relations.

Maslow’s hierarchy of needs helps us to understand what

motivates people in organizations.

McGregor’s Theory X and Theory Y are assumptions that

managers have about their employees. They differ in the type of

communication involved, as well as the expectations of workers.

EXERCISES

1. Describe what you think are the most important characteristics of

human relations and human resources. Which do you prefer?

Why?

2. Think of examples where you see scientific management

principles, for example, “time is money,” being implemented today.

Maslow’s Hierarchy Of Needs:

Theory X:

Theory Y:

Hygiene Factors:

Motivators :

3. Create your own hypothetical Maslow’s hierarchy of needs. What

would motivate you to work in an organization? Use Figure 3.2 as

a guide when creating your pyramid.

4. Do you agree or disagree with the statement “The happy worker

is a productive worker”? Why or why not? Discuss your answers

as a group to determine if happiness is associated with

productivity in the workplace.

KEY TERMS AND DEFINITIONS

Model that suggests there are certain levels of human motivation and each level must be met before moving to the next level. Shaped like a pyramid, the model shows that humans’ most basic needs from lowest to highest are physical, then safety, love/belonging, esteem, and self-actualization.

This approach is similar to the scientific-management approach, where workers are expected only to work. In this perspective, managers believe that workers are apathetic toward work and people need direction. In addition, managers believe that workers are not smart, do not seek advancement, and avoid responsibility.

This approach is similar to the human-relations approach. In this perspective, managers believe that people want to succeed and they can excel if you give them the right to be creative. In addition, people want to work, seek direction, and are ambitious.

The list of factors that lead to negative job attitudes according to motivation theorist Frederick Herzberg.

The list of factors that lead to positive job attitudes according to motivation theorist Frederick Herzberg.

[1] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157.

[2] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157, p. 150.

[3] Miles, R. E., & Ritchie, J. B. (1971). Participative management:

Quality vs. quantity. California Management Review, 13(4), 48–56, p. 48.

[4] Miles, R. E. (1965). Human relations or human resources? Harvard

Business Review, 43(4), 148–157.

[5] Maslow, A. H. (1943). A theory of human motivation. Psychological

Review, 50, 370–96.

[6] Christie, L. (2011, August 26). America’s most dangerous jobs: The 10

most dangerous jobs in America. CNNMoney [website]. Retrieved from

http://money.cnn.com/galleries/2011/pf/jobs/1108/gallery.dangerous_jobs/index.html

[7] Maslow, A. H. (1943). A theory of human motivation. Psychological

Review, 50, 370–96, p. 381.

[8] Maslow, A. H. (1943). A theory of human motivation. Psychological

Review, 50, 370–96, p. 381.

[9] Maslow, A. H. (1943). A theory of human motivation. Psychological

Review, 50, 370–96, p. 381–382.

[10] Maslow, A. H. (1943). A theory of human motivation. Psychological

Review, 50, 370–96, p. 382. Emphasis in original.

[11] Herzberg, F., Mausner, B., & Snyderman, B. S. (1959). The

motivation to work. New York, NY: Wiley.

[12] Herzberg, F. (1976). The managerial choice: To be efficient and to be

human. Homewood, IL: Dow-Jones-Irwin, p. 71.

[13] McGregor, D. (1960). The human side of enterprise. New York, NY:

McGraw-Hill.

3.4 Chapter Exercises

REAL-WORLD CASE STUDY

McDaniel’s Burger Restaurant is a family-owned restaurant located

in a small town in Texas. The family has had the restaurant for three

generations. People come from far and wide to eat at the restaurant,

because McDaniel’s takes pride in cooking each burger to the

customer’s wants and needs. The restaurant prides itself in having

the most selections for meat and vegetarian burgers. In addition,

they carry a wide variety of toppings, such as ordinary toppings like

tomatoes, bacon, cheese, onions, and lettuce, but also unique

toppings like cucumbers, salsa, salad dressing, pineapple, and

sprouts. Customers can decide how they would like their burger

cooked: grilled or fried. Everyone in town loves McDaniel’s Burgers

because they are personalized and delicious.

Lately, business has been increasing because the population has

increased. The McDaniel family can no longer keep up with the

demand and decided to sell their business to a bigger firm, Burger

Business. Burger Business has many establishments and is used to

catering to large crowds. Burger Business executives liked

McDaniel’s Burgers but felt that the restaurant was not very efficient,

because customers would have to wait a long time before their

order was completed. Over time, the executives and consultants of

Burger Business felt that they needed to have five different stations.

The first station was for meat selection. For instance, the customer

can choose from beef, bison, elk, chicken, or veggie patty. The

second station was for meat preparation. The customer can choose

if they want their meat fried or grilled and to what degree. The third

station was for toppings. An attendant would help the customer with

the toppings for their burger. The fourth station was the side bar,

where customers could choose drinks and sides such as French

fries. The last station was the cashier, where customers would pay

for their meal. Most of the employees of McDaniel’s Burgers were

already trained in all areas of operations. Hence they could work in

any station and in any order. The Burger Business executives felt

that this would help with employee satisfaction because they could

work in a variety of stations and they could have more flexibility.

However, over time, the profits for McDaniel’s Burgers were not very

high. Moreover, employee retention was at an all-time low. However,

executives felt they could replace workers, because the task was so

simple. In addition, several customers no longer liked dining in the

restaurant as in the past. More customers were requesting to take

their orders home. The executives were confused because they felt

they had made productive and efficient changes. Initially, the

executives felt that the reason customers felt negative about the

business was because certain stations tended to have longer lines,

such as the toppings and sides bar. Hence they divided the toppings

stations into original toppings and unique toppings. They also

divided the sides bar into fries and drinks. The executives also

decided to get rid of toppings that customers rarely ordered, such as

anchovies and sauerkraut. Overall, the executives were happy with

the changes they made and felt that they could open more

McDaniel’s Burgers in other locations.

1. In the end, Burger Business executives had a positive perspective

of the future of McDaniel’s Burgers. Do you agree? Why? What

are some potential risks or pitfalls that the executives need to be

cautious about? What could they do to motivate workers?

2. Can you identify some of the classical theories presented in this

case study? What are some of the advantages and

disadvantages of these theories in this case study?

3. Let’s pretend Burger Business hired you as a communication

consultant for McDaniel’s Burgers. What information would you

collect? How will this information help you predict the future

outcome of this business? What would you expect the findings to

be? How would you use this information to make suggestions to

the executives?

4. Pretend you are a customer of McDaniel’s Burgers. How do you

feel communication can be improved for the customers of

McDaniel’s Burgers? What would customers prefer or dislike with

this establishment?

5. Pretend you are an employee of McDaniel’s Burgers. How do you

feel that communication can be improved? Why is there such a

high employee turnover rate? How can executives help with the

employee retention rate?

REAL-WORLD CASE STUDY

Clancey Shoe Factory has a reputation for good shoes made with

pride and love. Clancey Shoe Factory is a small family business that

supports many of the businesses in the major metropolitan area of

Lubbock, Texas. However, a new generation of Clancey children

would like to see their business grow and have expanded their

market online. Now, the business is getting even busier. More and

more orders are coming in every day from all around the world. To

keep up with the demand, the Clancey family had to hire more

workers to make shoes. However, with more workers also come

more problems. In order to keep production moving in an efficient

and timely order, they had three main work areas. The first station

was in charge of advertising and taking orders and inventory. The

second station was in charge of shoe development and creation.

The third station was in charge of shoe delivery and order

completion. Every worker had different perceptions about the other

stations and believed that their own work was harder. Hence they

wanted more compensation and more benefits compared to the

other workers in the various stations. Within stations, there was

friction among the workers with more experience or higher customer

satisfaction. At first, everyone was paid the same amount. However,

workers felt that was not fair due to their personal tasks or

experiences. The Clanceys have many orders to fill, but they will

lose business if they cannot satisfy their workers.

1. Pretend you have been asked to be a human-resources expert for

the company. What can you do to improve the company?

2. How can you fix this problem? What changes can be made to the

company?

3. If you were a worker for this company, what would you want?

Why?

4. If you were the owner of this company, what would you do? Why?

END-OF-CHAPTER ASSESSMENT

1. The word theory originally derives its name from a Greek word theoria, θεωρία, which roughly translated means:

a. generalization b. affiliation c. contemplation d. harmonization e. actualization

2. Sara gets a job where she has to stamp letters all day. She is given no other task or opportunity to talk with others. What classical perspective best describes her job?

a. scientific management b. bureaucracy c. Theory Y d. Hawthorne effect e. authority

3. Weber stated that the best way to select authority was:

a. bureaucracy b. traditional ways c. charismatic d. b and c e. all of the above

4. Fayol believed that there is a hierarchical order of authority, a sequence and succession to how communication is transferred from one person to another. This is known as:

a. scalar chain b. subordination of individual interests to general interest c. order d. authority e. unity of command

5. All of the following are characteristics of the human relations

approach except:

a. workers’ desire to feel as though they are a useful part of the organization

b. if workers’ needs are filled, they will comply c. when employee needs and desires are met, they are more

satisfied d. management should tap into worker capabilities e. management should allow employees to offer input but

keep important decisions to themselves

Answer Key

1. c

2. a

3. a

4. a

5. d

Chapter 4

Modern Theories of Organizational Communication

Expanding Your View

Up to now, your introduction to organizational communication has been fairly

straightforward. The definition of an “organization” presented in Chapter 1

emphasized aspects of the workplace that you probably expected, such as

structure, goals, and personnel. Likewise, the definition of “communication”

featured elements that can be easily understood—source, message, channel,

receiver. Then in Chapter 3, we explored classical theories of organizational

communication that are driven by attitudes you have likely encountered on the

job—your supervisor’s desire for machinelike efficiency, your company’s view

of employees as “human resources” that must be beneficially managed.

In this chapter, however, we are going to complicate these pictures. Yet by

expanding your view of “organization” and “communication,” you can better

understand the often bewildering and messy realities of everyday life on the job.

Modern theories of organizational communication—the subject of this chapter—

are driven by a recognition that “real life” in the workplace seldom conforms to

such ideals as smoothly operating hierarchies and clearly transmitted messages.

For example, has your boss ever yelled at you? Irrational behavior can be

difficult to square with classical theories of organization and communication.

Though a message is obviously being transmitted from a source (your boss) to a

receiver (you), insults generate far more mental stimulation than is necessary

and, in fact, introduce inaccuracies that will likely cause you to misinterpret the

message. Cursing hardly reflects the scientific management advocated by

Frederick Taylor, the impersonal environment espoused by Max Weber, and the

precise wording of commands favored by Henri Fayol. So by these lights, your

boss’s yelling is inefficient and counterproductive. Neither are curses and insults

conducive to good human relations in the workplace or to satisfying your

hierarchy of needs, or giving you positive motivation and enjoyment in your job,

or encouraging your involvement in workplace decisions. By all these accounts,

yelling and cursing is bad management and yet, as we will see in Chapter 13, it

occurs daily in organizations worldwide. One study estimated that 37 percent of

workers will be subjected to workplace bullying in the course of their careers. In

the United States alone, that amounts to more than fifty-six million people. [1]

In this chapter, we will expand our view of organization and communication in

ways that allow us to consider some new perspectives: Did your boss yell to

assert power over you? Was this assertion of power rooted in historical

prejudices or in attitudes that prevail in the surrounding society? Is aggression

tied to the very nature of organizing itself? Or is aggression rooted in the culture

of your particular organization, a pattern that employees past and present have

established, so that yelling is a way that people “make sense” of a

supercompetitive work environment?

Learning about modern theories of organizational communication will help us

explore such questions. Before describing these theories, however, we must

revisit the assumptions that we have built up in the preceding chapters. This is

because modern theories are often based on different assumptions about the

nature of organizations and communication than are classical theories. We are

not asking you to discard classical thinking; the theories of Taylor, Weber and

Fayol, and those of human relations and human resources, address real issues in

the workplace and remain influential. Rather, we are asking you to build on the

foundation of classical theory and now expand your view.

[1] Namie, G. (2010). 2010 U.S. workplace bullying survey. Workplace

Bullying Institute. Retrieved from

http://www.workplacebullying.org/wbiresearch/2010-wbi-national-survey

4.1 Rethinking the Organization

LEARNING OBJECTIVES

1. Differentiate among the four approaches to theorizing about

organizations: postpositive, interpretive, critical, and postmodern.

2. Understand how these approaches are driven by three decisions

about ontology (how things exist), epistemology (how things are

known), and axiology (what is worth knowing).

In Chapter 1, we read fifteen representative definitions of “organization” (see

“Defining Organization” sidebar). All fifteen contained one or more of the

following words (or their variants): system, structure, unit, collective, pattern,

coordination.

When we think of a “system” or “structure,” we usually think of an object, a

thing that exists independently of the people in it. People come and go, but the

system endures. Yet when we think of a system as a “thing,” we are thinking

metaphorically. As noted in the introduction to Chapter 3, a metaphor is not a

literal description but rather a linguistic means to grasp a concept by comparing

it to something from the real world. Thus we think of time as an object in such

metaphors as “time flies” and “time is money.” [1] In the same way, although a

system is not an actual, literal, physical object that you can hold in your hands,

thinking of it that way helps you picture how a system functions.

Similarly, when you think of an “organization,” you probably think of it as an

object with its own existence. Most people do. A corporation, for example, is

considered a “person” under US law for purposes ranging from taxation to free

speech. Clearly, however, thinking of an organization as an object is a metaphor.

Nevertheless, the way that we conceptualize an “organization” has very real

consequences for organizational communication theory.

Three Decisions about Theory

The assumption that an organization is an object with an independent existence

—that is to say, it has an “objective” rather than “subjective” reality—is

characteristic of the postpositive (sometimes called positivist or functionalist)

tradition in organizational communication scholarship. In this section we will

review the postpositive perspective and then, as alternatives, introduce the

interpretive, critical, and postmodern perspectives on organizations. Each

approach to how we conceive of organizations involves different assumptions.

For theorists, their assumptions imply three decisions: ontology, epistemology,

and axiology.

Ontology: How things Exist

Our ontology is how we think about the nature of being. Do we think of an

organization as having its own existence and own behaviors that continue

independently of the various managers and employees who come and go over

time? Or do we believe these individuals create and continuously recreate the

organization and therefore drive its behaviors? Or is our concept of the

organization, and our expectations for the form it should take and what it should

do, determined by larger historical and cultural forces?

Epistemology: How Things Are Known

Our epistemology is our philosophy of how things come to be known. Do we

believe that knowledge about an organization is attained by observing collective

actions and measuring aggregate behaviors? Or by listening to individual

members of an organization and interpreting organizational life on their terms?

Or by tracing the historical and cultural forces that have shaped people’s

expectations for what an organization should be and the roles that managers and

employees should play?

Axiology: What is Worth Knowing

Our axiology is what we believe is worth knowing, a decision that involves a

value judgment. Many social scientists believe that only empirical evidence, or

what can be directly and impartially observed and measured, is worth knowing.

Others ask whether any research is truly value neutral or can be based on “just

the facts.” Does not the choice of research method influence what is found?

Indeed, is not a decision to accept only what can be measured in itself a value

judgment? Where some scholars strive to produce impartial knowledge that

organizational management can use to improve results, others believe such a

goal implicitly supports the current system and those in power. Furthermore,

where some researchers measure aggregate responses, others strive to hear

organizational members on their own terms while giving voice to the powerless

and thereby effecting social change.

All three issues—ontology, epistemology, and axiology—are deeply implicated

in both classical and modern theories of organizational communication.

Four Questions about Organizations

What is now called the postpositive (or sometimes positivist or functionalist)

approach dominated organization studies through the 1970s. [2] Most scholars in

the field took it for granted that organizations could, and should, be studied

through scientific methods. Then in 1979, Gibson Burrell and Gareth Morgan

published an influential work that proposed new paradigms for organizational

studies. [3] They started with four basic questions about the assumptions of social

science:

1. Do social realities, such as organizations, have objective or subjective

existence; that is, do they exist on their own or only in people’s minds?

2. Can one understand these social realities through observation or must they

be directly experienced?

3. Is knowledge best gained by scientific methods or by participating in a

social reality from the inside?

4. Do people have free will or are they determined by their environments?

According to Burrell and Morgan, these issues boil down into two fundamental

debates: whether social realities exist objectively or subjectively and whether

their basic state is order or conflict. These two questions form the axes of a 2x2

matrix, which we have adapted from Burrell and Morgan and show in Figure

4.1.

Figure 4.1 Burrell and Morgan’s Approaches to Organizations

During the 1980s and beyond, scholars used Burrell and Morgan’s matrix to

flesh out new approaches for organizational research. [4] More recently, Stanley

Deetz took stock of how the field has developed since Burrell and Morgan’s

original analysis. [5] For him, the two fundamental issues in research are whether

order or conflict is the natural state of an organization and whether researchers

apply “knowledge to” or derive “knowledge from” an organization—that is,

whether they start with an existing theory and see how an organization might fit

or study an organization on its own terms. Thus some researchers begin with a

general theory of why organizations produce order (or conflict) and then apply

the theory to explain a specific case. Other researchers, however, first study a

specific organization to discover its patterns of order (or conflict) and then

explain these patterns by citing an existing theory or proposing a new one.

Our own survey of the literature suggests that theorizing about organizations is

governed by two basic questions. First, do social realities (such as organizations)

have objective or subjective existence? In other words, do social phenomena

“have a reality that is independent of their being perceived by someone” or

“exist only in relation to some point of view”? [6] Second, what is the source of

structure? Here, theorists debate the issue of structure versus agency—or

whether people are determined by their environments (structures) or have free

will (agency). Applied to an organization, the question is whether its structures

are determined by larger social forces or created by its members. From our two

basic questions—the nature of reality, the source of structure—we derive the

four approaches to modern organizational communication theory that are used

throughout this book:

1. Postpositive theorists hold that an organization’s structures, although

originally created by its members, literally take on a life of their own and

over time become objectively real.

2. Interpretive theorists hold that an organization’s structures exist

subjectively (i.e., only in relation to its members’ perceptions) and so are

constantly created and recreated.

3. Critical theorists hold that an organization’s structures are objectively real,

but they believe these structures originate in the larger social environment,

which determines who is privileged and who is not.

4. Postmodern theorists hold that structure is subjective and, further, is

constantly in flux because organization members are preconditioned by

competing social forces to perceive reality in competing ways.

Thus a postpositive researcher might study how an organization’s hierarchy

endures even as individual managers and employees come and go; an

interpretive researcher would investigate how managers and employees

constantly adapt the hierarchy to changing needs. On the other hand, a critical

researcher might demonstrate how an organization’s hierarchy reflects

unquestioned assumptions of male domination that prevail throughout society,

and a postmodern researcher might show how power relations in a given

organization are constantly shaped and reshaped by members’ competing

perceptions.

As we will describe later, your task is not to choose one “best” approach to

organizational communication but to appreciate and draw from each. Toward

that end, let us now explore each of the four approaches in more detail. In so

doing, we will focus on their ontologies, epistemologies, and axiologies, which

are summarized for you in Figure 4.3 at the end of this section. For now, we are

only describing the approaches and not specific theories within each approach.

Postpositive Approach

The word postpositive suggests the approach is a successor to a “positive”

philosophy. The two terms have specific meanings in the history of science. As

Steven Corman explained, where positivist scientists of the early twentieth

century believed reality matters only when it can be perceived, today’s

postpositivists hold that reality exists independently of perception. [7] Thus as we

have already seen, the postpositive approach holds that an organization is

objectively “real” and does not depend for its existence on its members’

subjective perceptions.

Lex Donaldson succinctly captured the implications of this approach: “In any

situation, to attain the best outcome, the decision-makers must choose the

structure that best fits that situation…with the ideas of the decision-makers

making no independent contribution to the explanation of the structure.” Since

an organization can survive only if it performs well, managers are ultimately

forced—no matter how they individually perceive the problem—to choose the

course of action that gets the best results. Even when managers choose second-

best options, the resulting performance deficit forces managers to correct the

mistake. In the end, “the consciousness of the actors [is] superfluous” because

“there will be an irresistible tendency for organization managers to choose

options that conform to the situational imperative…with no moderation by

managerial ideas.” [8] In other words, because the organization is objectively

“real,” no matter what any single individual thinks, the needs of the organization

come first.

The same holds true when managers communicate; they are forced, in the end, to

choose messages and channels that best contribute to the bottom line. In the

postpositive view, then, the purpose of organizational communication is

instrumental—that is, an instrument for achieving results. Accurate messages

and precise instructions are therefore seen as the best guarantors of optimal

performance.

Given this conception of the organization, we can see how the postpositive

approach exhibits a distinctive ontology (belief in how things exist),

epistemology (belief in how things are known), and axiology (belief in what is

worth knowing). Because the organization has an independent reality, its

imperatives—to survive, to get the best results—drive what people do (rather

than vice versa). And because individual mind-sets ultimately do not matter,

researchers learn about an organization by observing its aggregate behaviors.

Thus Frederick Taylor’s classical theory of scientific management is based on

the assumption that what comes out of the organization is a function of what

went in. This idea is expressed in the popular acronym GIGO, for “garbage in,

garbage out.” So when managers observe poor output, they must scientifically

adjust input so their metaphorical well-oiled machine can work at maximum

capacity. The goal, not only for managers but for postpositive organizational

theorists, is to move from description and explanation to prediction of causes

and effects, which implies the ability to control effects by adjusting causes.

Figure 4.2 illustrates this progression. In organizational research, studies

undertaken from a postpositive perspective are often intended to generate

knowledge that can be applied to improving management practices.

Figure 4.2 Goals for Postpositive Research

Even as Taylor did a century ago with his time-and-motion studies, those today

who study organizations from a postpositive perspective see themselves as social

scientists. They practice nomothetic research methods that emphasize scientific

testing of hypotheses and employ quantitative methods, such as surveys and

experiments, which generate numerical data. For postpositive researchers, this is

the only data worth knowing; they disfavor the ideographic data generated by

such qualitative methods as ethnographic fieldwork, interviews, journals, and

diaries. Postpositive scholars believe that ideographic data is inherently

subjective and thus unable to describe the objective reality of organizational

communication. The ultimate goal of nomothetic research is to discover general

laws that, ideally, can be applied to all cases. Classical examples of the

nomothetic approach to research are described in Chapter 3, including the

Hawthorne Studies of Elton Mayo and the pajama factory study of Kurt Lewin.

In fairness, we must point out that people who conduct postpositive research

generally do not use that term. Since the field of organizational communication

arose in the early twentieth century as an outgrowth of management science,

scholars today who draw on that tradition in their studies of communication call

themselves social scientists—as do their counterparts in allied fields such as

industrial psychology and organizational behavior. Even today, the social-

scientific approach to organizational communication accounts for nearly half of

the research published within the field. [9] As noted earlier, you can refer to

Figure 4.3 for a summary of postpositive ontology (how things exist),

epistemology (how things are known), and axiology (what is worth knowing).

Interpretive Approach

Where postpositive theorists believe the organization drives what its people do,

interpretive theorists believe the reverse: that people drive what their

organizations do and, in fact, what their organizations are. As Dennis Mumby

and Robin Clair put it, “Organizations exist only in so far as their members

create them through discourse,” with discourse being “the principal means by

which organization members create a coherent social reality that frames their

sense of who they are.” [10] In other words, communication is not just one

activity, among many others, that an organization “does.” Rather, the

organization itself is constituted through its members’ communication; it does

not exist objectively, but only in relation to its members’ points of view.

This explains the ontology of interpretive theorists, or their belief in how

organizations have being. Their epistemology, or how these theorists believe

knowledge is gained, is expressed by the word interpretive. Recall that

postpositive theorists believe the mind-sets of individuals do not matter since

they are irresistibly forced to choose the most effective courses of action; thus to

know an organization it is sufficient to observe its aggregate behaviors. By

contrast, interpretive theorists believe that simple observation is insufficient; the

mind-sets of organization members must also be interpreted. Hence this

approach to studying organizational communication is called interpretive.

But how do you interpret what is going on inside someone’s mind? Many

methods are used. These usually begin with collecting primary data such as

interviews with people at various levels of the organization and copies of

organizational documents such as mission statements, annual reports, policy

manuals, internal memoranda, and the like. Researchers who engage in

organizational ethnography do fieldwork in which they may spend a year or

more visiting an organization, attending weekly staff meetings, participating in

rituals such as office parties and company picnics, joining in ordinary

conversations around the water cooler, and then recording their observations.

Techniques for analyzing these ideographic data are also varied and may include

discourse analysis, conversation analysis, genre analysis, rhetorical analysis, and

other methods.

These analytical methods involve an examination of how organization members

use language to construct a shared social reality. By interpreting how language is

used (e.g., company slang, recurring phrases, common metaphors, use of active

and passive voice, what arguments employees find persuasive, how people

address one another, how people take turns in talking), researchers uncover the

underlying assumptions within an organization that its people take for granted

and may not explicitly verbalize. Interpretive researchers, then, believe that

organizational communication is not merely an instrument for getting results.

Rather, people in organizations communicate with each other to make sense of

their workplace and negotiate their places within the organization. Though

managers may believe that precise instructions maximize productivity, directives

that ignore employee perceptions can be disregarded, misinterpreted, and even

counterproductive.

The axiology of interpretive scholars is evident from their research. Where

postpositive researchers do not regard organization members’ individual mind-

sets (which cannot be directly observed or measured) as worth knowing,

interpretive researchers believe these data and their interpretation are essential to

understanding organizational life. Moreover, where the goal of postpositive

researchers is to move from description and explanation to prediction of

organizational behaviors, interpretive scholars believe that studying an

organization on its own terms means producing a description and interpretation

of organizational life that is faithful to its members’ own understandings.

Interpretive researchers can, and do, make their findings about an organization’s

communication and culture available to their subjects; in turn, organizations may

use this information to address negative perceptions and to change a

dysfunctional company culture into a more humane one. Interpretive researchers

see their role not as changing the status quo but describing it. Yet identifying the

unspoken assumptions that circulate within an organization may be the first step

in addressing inhumane practices. For a summary of interpretive ontology (how

things exist), epistemology (how things are known), and axiology (what is worth

knowing), see Figure 4.3.

Critical Approach

A generation ago, you might have read a company manual that stated, “When an

employee is late to work, he must report immediately to his supervisor.” Today

we read that sentence and, right away, notice its use of sexist language. But at

the time, it was common to use the masculine pronoun as an inclusive reference

for both sexes. For decades, even centuries, the practice was so widely accepted

as natural and self-evident that people did not question this use of the masculine

pronoun. In the 1960s, for example, the mission of the starship Enterprise in the

Star Trek television series was “to boldly go where no man has gone before.”

Not until a sequel series debuted in the late 1980s was the mission statement

rephrased, “To boldly go where no one has gone before.” Living in the twenty-

first century, we now wonder how an earlier generation could have accepted

sexist language without question. Yet consider this: which of our own

assumptions will someday seem “unenlightened” to our children and

grandchildren?

Think of some things we take for granted about the workplace. If someone asked

you who “owns” the company you work for, you would answer with the name of

person who is the “owner” in a financial sense. It just seems natural and self-

evident that the one who holds the purse strings is the owner—even though you

too have a tangible stake in the company and help make its activities possible.

And in a free enterprise economy, we take for granted the notion that increased

profits benefit everyone. Even college students, before they enter the workforce,

accept this premise. Most young people attend college to “make more money”

by learning job skills that will fit them into the needs of money-making

corporations. Therefore, as corporations and their employees all make more

money, everyone wins.

These assumptions illustrate what critical theorists call the reification and

universalization of managerial interests. Reification is the process by which

something historical is made to seem natural. For example, what we call the

profit motive did not always exist; it emerged under specific historical conditions

as premodern feudal economies gave way to modern capitalist economies. But

we have so reified the profit motive that its pursuit seems natural, normal, self-

evident, and beyond questioning. This process of reification produces a “double

move” by ensuring that managerial interests are considered the only legitimate

interests, while simultaneously hiding the domination of those interests by

making them seem perfectly natural. Thus the interests of management are

universalized and represented as identical to everyone’s interests. To speak of

“company interests” is, in reality, to speak of managerial interests. Such

distortion becomes, from a critical perspective, the very purpose of

organizational communication—that is, the operation of dominant interests to

create a “false” consensus between management and employees.

Critical theorists, like the postmodern theorists we will review later in this

section, see the organization as created by larger forces of history and society.

But unlike postmodern theorists who see the organization in constant flux within

the swirling streams of those forces, critical theorists tend to see the structures of

power and domination as being so reified that they constitute “a concrete,

relatively fixed entity.” [11] Again, this requires a decision about ontology or the

nature of existence—in our case, about the nature of organizational existence.

In addition to reification and universalization, critical theorists are concerned

with two more questions: how reasoning in organizations becomes grounded in

“what works” and how dominant managerial interests gain the consent of

subordinate interests. Jurgen Habermas noted how the modern age has

increasingly supplanted practical reasoning that seeks mutual consensus with

technical reasoning that calculates the means and controls needed to accomplish

a desired end. [12] Critical theorists have applied this insight to organizational life

by critiquing how corporations make technical reasoning—or determination of

“what works” in achieving managerial interests—appear to be the only rational

approach. Practical reasoning that fosters mutual determination of organizational

goals either is made to seem irrational or is even leveraged by management as

another “technique” to further its own interests. Thus ideas such as promoting

worker participation are either dismissed as inefficient or used as a new means to

bring workers into alignment with corporate interests. Why do workers consent

to such domination? Critical theorists have looked at bureaucratic forms,

coercions and rewards, and organizational cultures. These structures may

provide no chance for alternative modes of thinking—or may cause employees

to identify so completely with an organization, they no longer require control but

willingly discipline themselves.

But if organizational structures have been made to seem natural, then how,

according to critical scholars’ epistemology, can these taken-for-granted

structures become known? Most critical-organization researchers engage in

ideology critique. These researchers bring to their subjects an existing theory

and then use it as a framework to expose how a dominant ideology has operated

to reify and universalize its interests. A good example is provided by Karl Marx,

the originator of ideology critique. He theorized that differences between capital

and labor are built into the very structure of the capitalist system and its

ideology. Then he employed his theory to explain how the few (who owned

capital) could not only exploit the many (who owned only their labor) but also

make their domination appear legitimate and natural. Notions of economic class

differences remain an influential strand of ideology critique. Yet other bases for

criticism have also become important. More recently, feminist theory offers

another example of ideology critique as researchers bring theories about gender-

based structures of domination and use these as frameworks to expose or

“denaturalize” the patriarchal assumptions that organizations take for granted.

In addition to ideology critique, a second stream of critical scholarship has

emerged that follows the theories of Jurgen Habermas about “communicative

action.” [13] Where critical scholars have traditionally plumbed the ways that

meaning, thought, and consciousness itself are distorted by dominant discourses,

Habermas began in the late 1970s to explore how communication is distorted.

He proposed that, ideally, a communicative act should satisfy three conditions:

participants should have equal opportunities to speak, should be heard without

preconceptions of what is “true” or preconceptions of what is “proper,” and

should be able to speak according to their own lived experiences. Scholars, then,

can critique how organizations distort these conditions. The following are

examples:

Managers have more opportunities to speak.

“Bottom-line” considerations are a privileged form of knowledge and seen

as the only rational basis for resolving issues.

The organization’s structure dictates, in advance, the proper relations

between management and labor.

Discussions of workplace concerns must take place within the context of

“company” (i.e., managerial) interests.

Yet Habermas’s model for communicative action also suggests possibilities for a

positive agenda. A number of scholars have proposed how legitimate

organizational communication can be restored through democratization of the

workplace. [14]

As we learned previously in this section, postpositive and interpretive theorists

look for order to emerge in organizations. Postpositive researchers look for the

ways that organizational imperatives for efficiency and productivity bring

members into alignment; interpretive researchers look for the ways that members

create, through their communication, stable communities and shared cultures. By

contrast, critical theorists believe that organizations are sites where historical and

societal ideologies are in conflict and where reified structures produce dominant

and subordinate discourses. Other researchers may look for surface stability, but

critical theorists’ axiology regards an organization’s submerged voices—

workers, women, people of color—as worth knowing. Critical theorists’

scholarship aims to recover these marginalized voices, lay bare an organization’s

reified structures for all to see, reopen possibilities previously foreclosed by

those structures, and replace false consensus with true consensus. Given that

emancipation is their goal, critical researchers combine scholarship with

activism. Again, you can see Figure 4.3 for a summary of critical ontology (how

things exist), epistemology (how things are known), and axiology (what is worth

knowing).

Postmodern Approach

Many critical theorists hold that larger social forces produce structures of power

—such as male domination or racial discrimination—with fixed and objective

existences. But postmodern theorists of organizational communication take a

different view. “Reality” constantly fluctuates in the ongoing contests among

competing social forces or “discourses.” Humans themselves are sites of

competition between these discourses. So, despite our conceit that we have an

independent “self” and control our own intentions, we are products of the

multiple voices that shape and condition us. As Robert Cooper and Gibson

Burrell explained, postmodern theorists “analyze social life in terms of paradox

and indeterminacy, thus rejecting the human agent as the center of rational

control and understanding.” In contrast to the modernist approach in which the

“organization is viewed as a social tool and an extension of human rationality,”

the postmodern approach sees the “organization [as] less the expression of

planned thought and calculative action and more a defensive reaction to forces

extrinsic to the social body which constantly threaten the stability of organized

life.” [15]

Perhaps an analogy can help. Imagine the sweep of great historical and cultural

discourses as an ocean. Its constantly swirling waves and currents determine the

actions and perceptions of all who sail upon it. An organization, then, is like a

flotilla of ships that negotiate a temporary agreement to sail as a convoy until

land is reached. Though an organization may last for decades, rather than days or

weeks, in time the currents of history and society that brought it together will

pull it apart. Postmodern theorists therefore reject the notion that, as a social

object, the “organization” has an objective and enduring existence.

As postmodern theories of organizational communication have developed over

the past generation, several themes have emerged. First is the centrality of

discourse, so that an organization is regarded as a “text” that postmodern

analysts can “read.” The goal in “reading” this “text” is to unravel the underlying

—and hidden—historical and cultural discourses reflected in the organization.

This focus on discourse also means that postmodern scholars view language,

rather than thought or consciousness, as the decisive factor in the social shaping

of organizations. Individuals are not the bearers of meaning but are caught in

webs of meaning that language creates.

Following on this idea, a second theme emerges. Organizations are said to be

decentered; the free will of their members is not the central driving force since

people are preconditioned by language. Moreover, since organizations are only

clusters of temporary consensus between competing discourses, over time these

discourses tend to produce fragility rather than unity. Different levels of

organization—from executives and middle managers to office employees and

field personnel—look at things according to their own experiences and interests.

These multiple voices generate varying perspectives, producing multiple social

realities rather than a single organizational culture. Thus postmodern scholars

say that organizations are fragmented. Nor is clash of voices without effect on

individuals, who are shaped by the multiple discourses operating across the

organization and surrounding society. For this reason, postmodernists say

individuals’ organizational identities are overdetermined and therefore

precarious and unstable.

Given that each organization is a unique “text” that is ever fluid, a third theme in

postmodern analysis is what Jean-François Lyotard called an “incredulity toward

metanarratives.” [16] In contrast to critical scholars who look at organizations

through the prism of an overarching theory—such as Marx’s theories about class

struggle or Habermas’s theories about communicative action—postmodern

scholars deconstruct the “text” of an organization for what it is; they do not fit

the “text” into an existing theory or “metanarrative.” Thus a fourth theme in the

postmodern approach to organizations is the need to deconstruct the particular

connections, within each organization, between knowledge and power.

Organizational communication, then, amounts for postmodernists to the ongoing

contest between discourses. The dominant interest works to sustain its power by

ensuring that organizational knowledge is rendered on its own terms; any other

interpretations are made to seem unnatural. Postmodern scholars strive to reopen

taken-for-granted discourses of knowledge and power, trace their formation, and

help recover the voices that have been marginalized.

In tracing out the knowledge-power connection, many postmodern

organizational scholars follow the work of French philosopher Michel Foucault. [17] Like Foucault, these scholars are concerned with the ways that modern

organizations have eliminated the need to enforce discipline through physical

punishment and real-time surveillance but have “manufactured consent” and

thereby “produced” employees who willingly discipline themselves.

Nevertheless, Foucault did not see power only in terms of constraint. Power also

enables action by charting possibilities and the channels to realize them.

Postmodern scholarship lays bare the power relations within organizations,

putting these relations back into play and helping marginalized voices restructure

the field of action to open up previously foreclosed possibilities. [18]

Figure 4.3 Approaches to Organizational Theory and Research

Combining Approaches

Until the 1970s, organizational research mostly proceeded from what we have

called a postpositive approach. Articulating new paradigms, Stanley Deetz

noted, “gave legitimacy to fundamentally different research programs and

enabled the development of different criteria for the evaluation of research.” [19]

At the same time, however, labeling has created distinct communities of

researchers that each favor a particular paradigm and can sometimes ignore or

even dismiss the work of others.

The authors of this textbook individually take different approaches to

organizational communication research. Yet we believe all perspectives make

valuable contributions. For example, we share a common interest in

communication by members of organized religions. Jason Wrench and Narissra

Punyanunt-Carter are postpositive researchers who have conducted, with other

colleagues, extensive surveys of religious believers to produce an aggregate

statistical picture of their communication behaviors. [20] By contrast, Mark Ward

is an interpretive researcher who spent several years visiting local congregations,

participating in worship and rituals, observing communication firsthand, and

learning how members talk among themselves. [21] Yet we see these different

approaches not as an “either/or” choice but as complementary. The more detailed

case studies we have, the more possible it is to build reliable theories about

organizational communication. And the more reliable our theories become, the

more we can make sense of individual cases.

KEY TAKEAWAY

Different conceptions of an “organization” are behind different

approaches to theorizing about organizational communication.

The postpositive approach holds that an organization has an

objective existence; people come and go, but the organization

endures. The interpretive approach holds that an organization has

a subjective existence—people create and sustain it through their

communication. The critical approach holds that the structures of

power within an organization have a fixed existence and reflect

larger historical and cultural forces. The postmodern approach

also holds that the power relations within an organization reflect

larger historical and cultural discourses, but that these discourses

are fluid and ever changing.

Theories of organizational communication reflect assumptions

with regard to ontology (how things, including social phenomena

such as organizations, have existence), epistemology (how things

become known), and axiology (what is worth knowing). In the

previous takeaway, the ontologies of the four approaches to

theorizing about organizational communication are described. The

postpositive approach holds that organizations are known through

scientific inquiry and that only empirical findings are worth

knowing. The interpretive approach holds that organizations are

known by directly experiencing them and that individuals’

perceptions (though these cannot be measured) are worth

knowing. The critical approach holds that hidden power structures

are exposed by applying general theories about domination and

that the voices of marginalized groups are worth knowing. The

postmodern approach also holds that marginalized discourses are

worth knowing, but that hidden power relations are exposed by

deconstructing, or tracing back, how various discourses have

formed in a given organization.

EXERCISES

1. Think of the college or university that you are attending. Then

imagine a prospective student asking you, “What is the best way

to find out what your school is really like?” Would you advise the

prospect to take a survey of current students, or to spend some

time living on campus and participating in school activities? What

is the reason for your advice? Could you imagine how a

combination of both methods could be useful? Explain your

reasoning.

2. We described in this section how most students go to college to

“make more money,” taking for granted that higher education is

about fitting into the needs of corporations. Can you think of other

ways that the corporate world has influenced college students so

that you might think in ways that serve corporate interests? Why

might these thoughts seem natural to you, so that you do not

Critical:

Interpretive:

Postmodern :

Postpositive:

Axiology :

question them?

3. Which approach to theorizing organizational communication—

postpositive, interpretive, critical, or postmodern—makes the most

sense to you? Why? Explain your answer.

KEY TERMS AND DEFINITIONS

An approach to organizational communication that employs theory as a framework to expose the hidden power structures in organizations and the ways that dominant interests distort meaning, thought, consciousness, and communicative action to maintain their domination by marginalizing alternative expressions.

An approach to organizational communication holding that organizations have subjective existences and, in fact, are constituted through their members’ communication. As such, it is not enough to observe aggregate behaviors; individual mind-sets must be also be interpreted.

An approach to organizational communication holding that organizations come into existence as temporary combinations of interests against the threatening fluidity of larger historical and cultural discourses. As a reflection of these discourses, the organization is a “text” that can be “read” in order to trace back how its hidden power relations were formed.

An approach to organizational communication holding that organizations have objective existences. Since the imperative to optimize performance governs the organization, individual mind-sets ultimately are superfluous. Organizational behaviors are therefore best studied in the aggregate through empirical observations that lead to measurable results.

Philosophy of what is worth knowing. Some researchers accept only knowledge gained empirically through observation and measurement of aggregate behaviors; others believe that people’s

Decentered:

Deconstruct :

Epistemology :

Fragmented:

Ideographic :

Ideology Critique:

Nomothetic :

Ontology :

perceptions must be analyzed.

Because postmodernists believe that individuals are not autonomous but are shaped by language, they hold that individual free will is not the central driving force of an organization.

Postmodernists believe that an organization is a “text” that can be “read.” Deconstruction is the method by which analysts trace back the discourses that have formed the power relations within an organization.

Philosophy of how things are known. Some researchers believe it is sufficient to observe and measure an organization’s aggregate behaviors; others believe that the mind-sets and interactions of individuals must also be interpreted.

Because postmodernists believe that organizations are temporary and fluid combinations of differing interests, they hold that the various discourses of the interests do not produce the stability of a single unified pattern but instead generate multiple social realities that lead to organizational fragility and fragmentation.

An approach to knowledge that takes each case on its own terms by considering qualitative data such as ethnographic fieldwork, interviews, journals, and diaries.

An approach to critical scholarship that employs theory to expose how dominant interests distort meaning, thought, and consciousness to simultaneously legitimize and hide their domination.

An approach to knowledge that emphasizes scientific testing of hypotheses and employs quantitative tests, such as surveys, which generate numerical data. The ultimate goal of nomothetic research is to discover laws that can be generally applied across many cases.

Philosophy of how things have being. Some theorists believe an organization exists independently from how people perceive it; others believe an organization exists only in relation to the perceptions of its people or in relation to society.

[1] Lakoff, G., & Johnson, M. (1980). Metaphors we live by. Chicago, IL:

University of Chicago Press.

[2] Redding, C., & Tompkins, P. (1988). Organizational communication—

Past and future tenses. In G. Goldhaber & G. Barnett (Eds.), Handbook

of organizational communication (pp. 5–34). Norwood, NJ: Ablex.

[3] Burrell, G., & Morgan, G. (1979). Sociological paradigms and

organizational analysis. London, UK: Heinemann.

[4] For example, see Redding, C., & Tompkins, P. (1988). Organizational

communication—Past and future tenses. In G. Goldhaber & G. Barnett

(Eds.), Handbook of organizational communication (pp. 5–34). Norwood,

NJ: Ablex; Putnam, L. (1982). Paradigms for organizational

communication research. Western Journal of Speech Communication,

46, 192–206.

[5] Deetz, S. (2001). Conceptual foundations. In F. M. Jablin & L. L.

Putnam (Eds.), The new handbook of organizational communication:

Advances in theory, research, and methods (pp. 3–46). Thousand Oaks,

CA: Sage. See also Deetz, S. (1994). Representative practices and the

political analysis of corporations. In B. Kovacic (Ed.), Organizational

communication: New perspectives (pp. 209–242). Albany: State

University of New York Press.

[6] Corman, S. R. (2005). Postpositivism. In S. May & D. K. Mumby

(Eds.), Engaging organizational communication theory and research:

Multiple perspectives (pp. 15–34). Thousand Oaks, CA: Sage, p. 25.

[7] Corman, S. R. (2005). Postpositivism. In S. May & D. K. Mumby

(Eds.), Engaging organizational communication theory and research:

Multiple perspectives (pp. 15–34). Thousand Oaks, CA: Sage.

[8] Donaldson, L. (2003). Organization theory as a positive science. In H.

Tsoukas & C. Knudsen, The Oxford handbook of organizational theory:

Meta-theoretical perspectives (pp. 39–62). Oxford, UK: Oxford University

Press, pp. 44–45.

[9] Spence, P. R., & Baker, C. R. (2007). State of the method: An

examination of level of analysis, methodology, representation and setting

in current organizational communication research. Journal of the

Northwest Communication Association, 36, 111–124.

[10] Mumby, D. K., & Clair, R. P. (1997). Organizational discourse. In T. A.

van Dijk (Ed.), Discourse as structure and process, Vol. 2 (pp. 181–205).

London, UK: Sage, p. 181.

[11] Deetz, S. (2001). Conceptual foundations. In F. M. Jablin & L. L.

Putnam (Eds.), The new handbook of organizational communication:

Advances in theory, research, and methods (pp. 3–46). Thousand Oaks,

CA: Sage, p. 27.

[12] Habermas, J. (1971). Knowledge and human interests (J. Shapiro,

Trans.). Boston: Beacon. Habermas, J. (1971). Knowledge and human

interests (J. Shapiro, Trans.). Boston: Beacon.

[13] Habermas, J. (1984). The theory of communicative action: Vol. 1.,

Reason and the rationalization of society (T. McCarthy, Trans.). Boston:

Beacon; Habermas, J. (1987). The theory of communicative action: Vol.

2, Lifeworld and system. Boston: Beacon.

[14] For example, see Cheney, G. (1995). Democracy in the workplace:

Theory and practice from the perspective of communication. Journal of

Applied Communication Research, 23, 167–200; Deetz, S. (1992).

Democracy in the age of corporate colonization: Developments in

communication and the politics of everyday life. Albany: State University

of New York Press; Harrison, T. (1994). Communication and

interdependence in democratic organizations. In S. Deetz (Ed.),

Communication yearbook 17 (pp. 247–274). Thousand Oaks, CA: Sage.

[15] Cooper, R., & Burrell, G. (1988). Modernism, postmodernism, and

organizational analysis: An introduction. Organization Studies, 9, 91–112,

p. 91.

[16] Lyotard, J.-F. (1984). The postmodern condition: A report on

knowledge (G. Bennington & B. Massumi, Trans.). Minneapolis:

University of Minnesota Press, p. xxiv.

[17] See Foucault, M. (1977). Discipline and punish: The birth of the

prison (A. Sheridan, Trans.). New York, NY: Pantheon; Foucault, M.

(1980). The history of sexuality (R. Hurley, Trans.). New York, NY:

Pantheon; Foucault, M. (1988). Technologies of the self. In L. H. Martin,

H. Gutman, & P. H. Hutton (Eds.), Technologies of the self: A seminar

with Michel Foucault (pp. 16–49). Amherst: University of Massachusetts

Press.

[18] Foucault, M. (1982). The subject and power. Critical Inquiry, 8, 777–

795, p. 791.

[19] Deetz, S. (2001). Conceptual foundations. In F. M. Jablin & L. L.

Putnam (Eds.), The new handbook of organizational communication:

Advances in theory, research, and methods (pp. 3–46). Thousand Oaks,

CA: Sage, p. 8.

[20] Punyanunt-Carter, N. M., Corrigan, M. W., Wrench, J. S., &

McCroskey, J. C. (2010). A quantitative analysis of political affiliation,

religiosity, and religious-based communication. Journal of

Communication and Religion, 33, 1–32; Punyanunt-Carter, N. M.,

Wrench, J. S., Corrigan, M. W., & McCroskey, J. C. (2008). An

examination of reliability and validity of the Religious Communication

Apprehension Scale. Journal of Intercultural Communication Research,

37, 1–15; Wrench, J. S., Corrigan, M. W., McCroskey, J. C., &

Punyanunt-Carter, N. M. (2006). Religious fundamentalism and

intercultural communication: The relationship among ethnocentrism,

intercultural communication apprehension, religious fundamentalism,

homonegativity, and tolerance for religious disagreements. Journal of

Intercultural Communication Research, 35, 23–44.

[21] Ward, M., Sr. (2009). Fundamentalist differences: Using ethnography

of rhetoric (EOR) to analyze a community of practice. Intercultural

Communication Studies, 18, 1–20; Ward, M., Sr. (2010). “I was saved at

an early age”: An ethnography of fundamentalist speech and cultural

performance. Journal of Communication and Religion, 33, 108–144;

Ward, M., Sr. (2013). Managing the anxiety and uncertainty of religious

otherness: Interfaith dialogue as a problem of intercultural

communication. In D. S. Brown (Ed.), Interfaith dialogue: Listening to

communication theory. Lanham, MD: Lexington; Ward, M., Sr. (in press).

Cognition, culture, and charity: Sociolinguistics and “donor dissonance” in

a Baptist denomination, Voluntas: International Journal of Voluntary and

Nonprofit Organizations; Ward, M., Sr (in press). The PowerPoint and the

glory: An ethnography of pulpit media and its organizational

impacts. Journal of Media and Religion.

4.2 Rethinking Communication

LEARNING OBJECTIVES

1. Differentiate among the three models for how communication

functions—linear, interactional, and transactional—and the

limitations of each model.

2. Differentiate among the seven traditions of communication theory

and understand how each approaches the nature of

communication and how meaning is exchanged.

In Section 1, we challenged you to rethink the concept of organization. Now we

turn to “communication.” You were introduced in Chapter 1 to the SMCR

(source, message, channel, receiver) model of communication. For two good

reasons, numerous textbooks in communication begin with this longstanding

model. First, its components—source, message, channel, receiver—are easy to

grasp. In our modern world of phones, computers, networks, and mass media,

we encounter the basic idea of the SMCR model on a daily basis. Second, the

model is effective in getting students to think—often for the first time—about

communication as more than just a reflex action, more than something that just

“happens.”

Now, however, we will consider two questions: how communication works and

what communication is. The SMCR model, for example, suggests

communication works by traveling in a straight line from source to receiver. But

scholars have largely moved beyond this simple linear model and have

described communication as an interactional or, more recently, a transactional

process. In “How Communication Works: Three Models, we will review these

three models of how communication works. Yet an even more basic question

concerns what communication is. The SMCR model belongs to a body of

theories that conceive of communication as information processing, an approach

that is called a “cybernetic” concept of communication. Yet the cybernetic

concept is not the only body of communication theories. Robert Craig has

described seven distinct traditions of communication theory. [1] Since modern

theories of organizational communication are often built on a different concept

of communication than a cybernetic one, later in this section we will review the

seven approaches to answering this question: what is communication?

How Communication Works: Three Models

At the most basic level, the three models of how communication works—linear,

interactional, and transactional—can be represented by the three graphics in

Figure 4.4. The linear model originated in the 1940s, the interactional in the

1950s, and the transactional in the 1970s. That the original linear model of

communication remains influential is attested to by its inclusion in so many

introductory textbooks, including this one. But theorists have long noted its

limitations: the assumptions that listeners are passive, that only one message is

transmitted at a time, and that communication has a beginning and an end. In

fact, a source could transmit a confusing or nonsensical message rather than a

meaningful one, and the linear model would work just as well; there is no

provision for gauging whether a message has been understood by its receivers.

Neither is the context of a communication situation taken into account.

Nevertheless, the linear model introduces helpful concepts and terms that are the

basis for understanding, as we will see later, the interactional and transactional

models of communication.

Figure 4.4 Three Concepts of Communication

Linear Model

Inspired by postwar research at Bell Laboratories on telephone transmissions,

Claude Shannon and Warren Weaver developed the “mathematical model” of

human communication shown in Figure 4.5. [2] In their model, successful

sending and receiving of a message is a function of the channel’s capacity to

handle signal degradation caused by static noise on the line. When applied in

general to human communication, “noise” can be physical (background noises

that make the message harder to hear), physiological (impairments such as

hardness of hearing), semantic (difficulties in understanding choices of words),

and psychological (predispositions and prejudices that affect how the message is

interpreted). As you can see in Figure 4.5, communication travels in a straight

line.

Figure 4.5 Shannon and Weaver’s Linear Model of Communication

A decade after Shannon and Weaver, David Berlo adapted their concepts into the

now-familiar SMCR model. [3] This is the model we introduced in Chapter 1 and

have reproduced in Figure 4.6. Berlo’s adaptation was “tremendously

influential” in offering a more flexible and “humanized conception of Claude

Shannon’s model” that facilitated its application to oral, written, and electronic

communication. [4] Moreover, the notion of feedback provided a means for

gauging reception and understanding of the message. Yet, as we will see in the

descriptions of the interactional and transactional models, subsequent theorists

have attempted to show how communication is better understood as circular

rather than linear, how listeners are also active participants in communication,

how multiple messages may be sent simultaneously, and how context and culture

impact understanding.

Figure 4.6 Berlo’s Linear Model of Communication

Interactional Model

Only a few years after Shannon and Weaver published their one-way linear

model, Wilbur Schramm proposed an alternate model that portrayed

communication as a two-way interaction. [5] Writing several years before Berlo,

he was the first to incorporate feedback—verbal and nonverbal—into a model of

communication. The other important innovations in Schramm’s interactive

model, which we have adapted in Figure 4.7, were the additions of the

communication context (the specific setting that may affect meaning) and of

“fields of experience” (the frames of reference and the cultures that each

participant brings to the communication).

Figure 4.7 Schramm’s Interactional Model of Communication

With Schramm’s model, communication moves from a linear to a circular

process in which participants are both senders and receivers of messages. Yet the

model portrays communication like a tennis match: one participant serves up a

message and the other participant then makes a return. Each waits, in turn,

passively for the other. Thus communication goes back and forth as one person

(on the left of Figure 4.7) initiates a message and waits until the other (on the

right) responds. But if you think about times when you have engaged in

conversation, you will recognize how the other person is simultaneously sending

messages—often nonverbally—while you are talking. Unlike a tennis match,

you do not wait passively until the “ball is in your court” before acting

communicatively. To demonstrate the simultaneity of communication, we move

next to a transactional model.

Transactional Model

Perhaps the first model to portray communication as a simultaneous transaction

is attributed to Dean Barnlund. [6] Later theorists have developed this idea of

simultaneity, which is illustrated in Figure 4.8. As you can see, messages and

feedback are being exchanged at the same time between communicators. And

because they are engaged together in the transaction, their fields of experience

overlap. Useful concepts such as noise and context can likewise be added to the

model.

Figure 4.8 Transactional Model for Communication

An expanded view of how communication functions can help us to better

understand how individuals within organizations communicate. But for a firmer

grip on modern theories of organizational communication, we will now go

beyond message-centered models and take a meaning-centered approach.

What Communication Is: Seven Traditions

You have probably heard the proverbial question, If a tree falls in the forest and

no one is around to hear, does it make a sound? Similarly, we might ask, If you

send a message that the receiver does not understand, has communication taken

place? This question introduces the idea of meaning into the equation. Let us

borrow from the SMCR model one more time to explore the place of meaning in

communication.

Some theorists believe (as you probably do) that the meaning of a message lies

in the sender. You think up a message and transmit it, and then the receiver must

decode what you mean. But other theorists believe the meaning of a message is

something that the sender and receiver construct together as they interact

through their communication. Still other theorists believe that meaning resides in

the channel—perhaps in the signs and symbols that, over time, humans invest

with implied meanings, or perhaps in the larger structures of history and culture

that condition how we perceive the world. As noted at the start of this section,

Craig has identified seven traditions in communication, each of which will be

described in this section. [7] Each tradition wrestles with the question of how

people derive meaning from a communication. And if we grant that

communication only takes place when meaning is exchanged, then the issue of

how people derive meaning is another way of putting the question: what is

communication?

A helpful way of grasping the seven theoretical traditions is to pose a single

communication scenario and then consider it from each of the seven approaches.

For our purposes, we will pick a common scenario from organizational life—

namely, the annual employee recognition luncheon in which awards are given to

those who reach five, ten, or fifteen years of service, and so on up until

retirement. During this festive event a catered lunch is served in a large room,

speeches are made by key executives, long-serving employees come forward as

their names are called and receive a certificate or plaque, and the luncheon

concludes on a light note as employees organize a mock ceremony to give out

humorous awards. For our overview of the seven traditions, let us begin with the

tradition to which you have already been introduced—the cybernetic tradition—

and see how it might explain our communication scenario.

Cybernetic Tradition

Theorists in the cybernetic tradition start with the assumption that an

organization is a system composed of many parts that mutually depend on each

other and therefore must communicate to share and process information.

Cybernetic theorists chart the pathways that information travels within an

organization and how a system continually makes adjustments to sustain itself.

Indeed, the word cybernetics was coined from the Greek word for “steersman”

by Massachusetts Institute of Technology scientist Norbert Wiener. [8] In

devising a new antiaircraft firing system during World War II, he addressed a

major problem: though existing systems could feed back information on firing

trajectories, targets would pass by before human operators could make

adjustments. He saw that the new system must regulate itself by acting on its

own feedback, a principle Wiener then extended to human societies.

Communication theorists picked up on this idea by casting the communication

process as a self-regulating system in which feedback loops connect the various

parts of the system into networks so that people can adjust their messages,

gradually eliminate distortions, and arrive at intended meanings. Now, let’s see

how the annual employee awards luncheon shows this cybernetic process in

action.

A Cybernetic Take on the Awards Luncheon

Consider all the parts of the organization that must communicate to

successfully stage the annual employee awards lunch: executives who make

speeches and set policies for giving awards; managers who implement the

policies; the human resources department that generated the list of

employees eligible for awards and organized the luncheon; the corporate

communications department that will issue a news release after the event;

the accounting department that processed purchase orders and payments to

the caterer; the information technology department that set up the

audiovisual equipment for the ceremony; the maintenance department that

prepared the room and will clean up afterward; and the employees who

attended the luncheon, received awards, and put on the humorous

entertainment.

Each part depended on communicating with another part: for example,

human resources needed feedback from maintenance on the room setup and

from the accounting department on the event budget; corporate

communications needed feedback from top executives on the desired theme

of the press release; and so on. Through all these avenues of organizational

communication, the system processes the information it needs to keep going.

Phenomenological Traditional

According to the phenomenological tradition of communication theory, you

derive meaning by directly experiencing a particular phenomenon. Thus you

come to know your organizational world by directly and consciously engaging in

it, pondering the organization’s meaning for you, interpreting that meaning

through language to define and express it through dialogue (another important

phenomenological concept) with coworkers, and then continually reconstructing

the interpretation in light of new experiences. As you will see, phenomenology

—though far different from cybernetics—offers another productive framework

for understanding the annual awards luncheon.

A Phenomenological Take on the Awards Luncheon

Imagine yourself as a new employee attending the luncheon for the first time.

As you watch the first group of honorees go forward and accept their five-

year service certificates, you picture yourself in their shoes and ponder, “Is

this company a place I want to be in five years? Or is it a stepping stone?”

Then you see the ten-year honorees and think, “Wow, ten years! If I’m still

here in ten years, that means I’m committed long term.” Also, you notice that

ten-year employees tend to be people who have better job titles and higher

pay, so longevity has its rewards. Finally, you see plaques handed out to

retirees and say to yourself, “I can’t even relate! What will my career have

been like when I look back on it someday? What do I want to be known for?”

In the days after the luncheon, you run into some five- and ten-year honorees

you know, tactfully engage them in conversation, and try to feel out their

answers to the question, “Is it worth it to stay long enough to earn a service

award?”

At the luncheon, then, you were confronted with the phenomenon of

employee loyalty and longevity. Based on this experience, you weigh your

perceptions. The annual luncheon was a dialogue as you listened to the

various speeches and presentations. And after the event, you dialogued with

coworkers who had been honored for their long service. Through these

dialogues, you open yourself to the experiences of others and can integrate

this into your own experience.

Sociopsychological Tradition

In Chapter 1, you were introduced to a definition of human communication as a

“process whereby one individual (or group of individuals) attempts to stimulate

meaning in the mind of another individual (or group of individuals) through

intentional use of verbal, nonverbal, and/or mediated messages.” We offered

this definition in the opening chapter because it is a good place to start. For one,

the definition is held by many communication theorists. For another, it accords

with what most laypeople (probably including you) believe about

communication and about personhood. You likely see yourself as a distinct

individual—your mind is your own. This is the basic assumption of

sociopsychological theories about communication—that people control their

own intentions. Human communicative behaviors are thus seen as rooted in

human psychologies since, by definition, communication is one person’s

intention to impact another person’s intention. If that is so, the task of the

researcher is to discover what stimuli elicit what responses. Consider, then, how

the sociopsychological tradition might explain the annual employee recognition

luncheon.

A Sociopsychological Take on the Awards Luncheon

Consider first the speeches given by top executives to celebrate company

values and, by implication, the loyalty these values merit from employees.

One theory suggests that, psychologically, you are more likely to be

persuaded if sufficiently motivated to carefully consider the arguments and

less likely if the speakers utter clichés you’ve heard before. [9] Another theory

claims that opinions are best understood not as a single point on a line, but as

a continuum between acceptable and unacceptable; the more that the execs

pitch their arguments on company loyalty toward the edge of this continuum,

the more likely they can push the boundaries of what you will accept.

[10] Still another leading theory proposes that if the speakers can make you

feel an inner conflict between self-interest and group loyalties, you will be

psychologically driven to resolve the conflict rather than feel torn. [11]

Then there are the conversations you had with longer-tenured coworkers. One

theory of interpersonal communication holds that people’s personalities are

structured like the layers of an onion. To elicit your coworkers’ inner feelings

about staying long term with the company, you had to go beyond mere

chitchat about sports and the weather and instead penetrate their goals,

convictions, fears, fantasies, and, at the deepest level, their self-concepts. [12] Another theory claims that people experience an ongoing psychological

tension between their need to be connected and need to feel unique, and

between their need to be open and need to keep some things to themselves. [13] In order to elicit coworkers’ true feelings about their service with the

company—and to expose your own concerns—you must navigate both of

these tensions.

Sociocultural Tradition

For the sociopsychological theorist, the meaning of a communication resides in

each individual. But for the sociocultural theorist, the meaning of a

communication arises from interaction as people engage in discourse and

socially construct what they jointly perceive to be real. George Herbert Mead, a

founder of the sociocultural tradition, noted more than a century ago that—in

contrast to the prevailing view that each individual is autonomous—people only

develop a sense of self by being around other people. Further, since speech is the

means by which people interact, then people develop their sense of self through

communication. Indeed, without language—which arose because humans exist

in society—there would be no thought. [14] Another theorist in the sociocultural

tradition, Erving Goffman, likened social interaction to a drama. Imagine

yourself in an ordinary conversation and (being honest) think how you take a

role (anything from clown to peacemaker) and “play to the audience” by

communicating in ways that (you believe) will make you socially acceptable. [15] W. Barnett Pearce and Vernon Cronen have described conversational

interaction as a “coordinated management of meaning” in which people not only

coconstruct a social world but are, in turn, shaped by that world. [16]

Given these assumptions, theorists in the sociocultural tradition look at the ways

communication is used by people in interactions to produce—and then reproduce

—stable patterns of social order. Sociocultural theorists of organizational

communication, then, are interested in how organizational cultures arise as their

members communicate with one another. And they would take a keen interest, as

we can see next, in the annual employee awards luncheon.

A Sociocultural Take on the Awards Luncheon

The event is a ritual where the people on the platform speak and act in ritual

sequences (an employee’s name is called, he or she comes forward, and the

certificate is given with praise, smiles, and handshakes) that ultimately pay

homage to the company. Second, the awards ceremony constitutes a story that

fosters a “loyalty myth.” As the myth is enacted, the audience learns how

they too are expected to fit into the story. Third, the awards ceremony is a

“social drama” in which awardees gain honor by their perseverance, thus

showing the audience how they can likewise win approval and continue to

belong.

Organizational cultures are maintained not only through public events but

also in natural conversation as employees spontaneously use “insider” talk.

Such talk begins to form patterns that unconsciously express the assumptions

of an organization culture. [17] Over time, the patterns seem so natural that

employees use the talk without thinking and take the underlying assumptions

for granted. So perhaps the employee awards luncheon featured talk about the

company as a “family,” or praised award recipients for being “customer

oriented,” or continually referred to “aggressive” growth, “aggressive”

marketing, and so forth. If you later spoke one on one with award recipients,

chances are their use of such insider language in spontaneous conversation

reflected their integration into the organizational culture.

Semiotic Tradition

The old saying “Where there’s smoke, there’s fire” captures the essence of the

semiotic tradition in communication theory. Semiotics is the study of signs—and

a classic example, of course, is how the presence of smoke is the sign of a fire.

Charles Saunders Peirce, a founding theorist of semiotics, would have called

smoke an index, or a trace that points to another object. [18] Thus thunder is the

sign of an approaching storm, a bullet hole the sign of a shooting, a footprint the

sign of prey. Other signs are icons or abstract representations of another object—

for example, the stylized image of a pedestrian on a traffic-crossing light. Yet

other signs are symbols that have a purely arbitrary relationship to another

object. Again, to use traffic signs as an example, think of how a red octagon

means “stop” and a yellow inverted triangle means “yield.”

The most common symbols of all, of course, are words. Consider this: the word

“dog” has no inherent relation to the actual animal. Instead, as C. K. Ogden and

I. A. Richards famously pointed out, the word “dog” may connote a friendly pet

to one person and a dangerous beast to another. To explain how words work,

they proposed a triangle of meaning. [19] They theorized that meaning emerges

from the interplay between a referent (in our example, a dog), a symbol (the

word “dog”), and the reference (what a person thinks when he or she hears the

word). As such, the meaning of “dog,” whether a cute pet or dangerous animal,

resides not in the word but, rather, in the mind of the person. In this way, as

Robert Craig observed, semiotic theorists regard communication as a process of

“intersubjective mediation by signs.” [20] In other words, the meaning of a thing

is subjective for each person. Thus as we communicate about that thing, there is

an encounter between the different meanings each of us carries. The encounter is

mediated by a sign—whether the sign is a word or an image—and that sign

makes it possible for at least some meaning to be shared between

communicators. As we will see next, the annual employee recognition luncheon

is replete with signs and symbols.

A Semiotic Take on the Awards Luncheon

In addition to the many words used at the annual luncheon, shared meaning is

created by the symbols of the award certificates and plaques, the printed

program with elegant cursive script, the cake and the balloons with

congratulatory messages, the round tables that were set up rather than the

room’s usual classroom-style seating, the festive centerpieces on the tables,

the company posters and slogans posted on the walls, the formal business

attire of the executives who presented the awards, and the large company

logo that is hung on the podium and printed on items ranging from table

napkins to t-shirts.

All these symbols enable important meanings—about company values,

employee loyalty, labor-management relations—to be communicated and

shared by dozens of people, even though each brings his or her own

subjective thoughts to the event. Even the company itself morphs into a

symbol as it assumes a distinctive corporate image. Roland Barthes equated

this kind of “second-order” symbol to mythmaking. [21] Thus, for example,

Apple Corporation has come to symbolize high-tech innovation, a corporate

image that instills in its employees a strong sense of organizational identity.

Critical Tradition

Stanley Deetz, a leading critical scholar in organization studies, has described

“managerialism” as an ideology that systematically distorts communication to

produce a “discursive closure” that renders alternative views difficult to express

or even think. [22] The task of critical scholars is to “denaturalize” unjust

ideologies and structures that are taken for granted, exposing them to resistance

and discussion, and thereby reopening choices and possibilities the system had

foreclosed. Thus a critical scholar infuses research with action. Such a scholar

would have a field day with the annual employee awards luncheon and its array

of hidden meanings that favor management.

A Critical Take on the Awards Luncheon

Who decided that employee loyalty would be the only value recognized with

a special annual celebration? The decision was made by dominant interests to

maintain their power since the luncheon establishes loyalty to the company as

a taken-for-granted part of organizational life. Yet even though employees

must be loyal in order to gain approval, the company has no corresponding

obligation of loyalty to employees and may lay them off as needed. Not only

is this proposition tacitly accepted, but to suggest that a second luncheon be

held to make a public accounting of the company’s loyalty to its workers

would seem irrational. So would the suggestion that workers, rather than the

human resources director, should plan the annual luncheon and decide what

values should be recognized and what awards given. Though employees are

permitted to plan a humorous “awards” segment, that is only a parody and a

way to control workers by giving them a sense of participation without any

real substance.

Then, too, because the luncheon celebrates only those employees who have

served long term, the event actually silences the voices of traditionally

marginalized workers. Women, persons of color, persons with disabilities,

and the working poor have often lacked the ability to acquire skills that

would make them promotable in the corporate world. Put disproportionately

in low-wage jobs, they are the first to be laid off or shunted into temporary

work. Yet they do work the company needs. Why is there no event to

celebrate their contributions? Instead, the emphasis on longevity only

marginalizes them further. The system follows an ideology that, in ways

made to seem natural and inevitable, structures power relations to favor some

at the expense of others.

Rhetoric Tradition

For the last of the seven traditions in communication theory, we come to the

oldest. More than 2,300 years ago, Aristotle wrote The Rhetoric and gave us, as

many believe, the world’s first systematic treatment of human psychology. [23] He lived in Athens, one of the democratic city-states of ancient Greece

where citizens publicly stated their cases in the assemblies and courts. Alarmed

that some used oratory for personal gain rather than public good, Aristotle

examined how speakers persuaded audiences and devised a theory and method

of reasoned public address. [24] Today the phrase “That’s just rhetoric” connotes

hollow or self-serving words. Aristotle had the same concern. Thus rhetorical

theory, from classical times to the present, has concerned itself with the problem

of how things get done. In other words, rhetorical theorists—including those

who study organizational rhetoric—examine the processes by which speaker and

listeners move toward each other, decide what is best, and find common grounds

to go forward.

Studies of organizational rhetoric distinguish between external rhetoric aimed at

stakeholders outside the organization and internal rhetoric aimed at employees.

Mary Hoffman and Debra Ford classified four types of external rhetoric: to

create and maintain an organization’s public identity, to manage issues, to

manage risks, and to manage crises. Internal rhetoric, on the other hand, aims to

align employees with organizational values and imperatives so they are

motivated to do their jobs. [25] Thus the rhetoric of the annual employee

recognition luncheon is internal, an attempt by management to find common

ground with employees and persuade them to adopt company values. After the

luncheon, the company will engage in external rhetoric as the corporate

communications office issues a press release that, when carried by local media,

will hopefully reinforce the company’s image as a great workplace that inspires

employee loyalty. Rhetorical theory offers many avenues for analyzing the

speeches heard at the awards luncheon.

A Rhetoric Take on the Awards Luncheon

Aristotle held that speakers must invent a persuasive argument, effectively

arrange its points, word it in an appropriate style, deliver it in a suitable

manner, and draw on a memory of phrases and stories to extemporaneously

flesh out the argument for a given occasion or audience. Today we call this

method the five canons of rhetoric. Yet to be compelling, arguments must be

grounded on points of commonality between speaker and audience. Thus if

everyone agrees profit is good for both management and labor, speeches at

the awards luncheon can extol honorees for their contributions to the bottom

line. But if the organization is nonprofit, arguments based on profits would

fall flat. Aristotle also theorized that skillful speakers can employ three types

of proofs: logic, emotion, and speaker credibility. Executives who spoke at

the luncheon likely tried all three by stating how loyal employees are

rewarded (logic), how such employees’ dedication is admirable (emotion),

and how management can be trusted and believed (speaker credibility).

New theories have also gained wide acceptance in recent decades. Kenneth

Burke held that persuasion cannot occur without identification between

speaker and audience. [26] Thus company leaders can persuade employees to

be loyal only if the audience feels executives sympathize with their concerns.

Chaim Perelman contended that persuasion cannot occur without presence;

the speaker must highlight “elements on which the speaker wishes to center

attention.” [27] Thus management hopes its appeal for loyalty is enhanced by

staging a special yearly event. Walter Fisher contrasted persuasion through

logic with a narrative paradigm in which audiences are persuaded through

stories. [28] Thus the awards luncheon will foster loyalty only if executives

can tell a story that resonates with the lives of employees.

KEY TAKEAWAY

There are three models for how communication functions have

been proposed: linear, interactional, and transactional. The linear

model holds that a message travels in a straight line from its

source, through a channel, and to its receiver. The interactional

model holds that communication travels in a circle as a sender

transmits a message and then the receiver responds with

feedback; thus both parties become sender/receivers. The

transactional model holds that sending and receiving occur

simultaneously.

Seven traditions in communication theory have been identified by

Robert Craig. The cybernetic tradition theorizes communication

as information processing. The phenomenological tradition

theorizes communication as dialogue and the experience of

otherness. The sociopsychological tradition theorizes

communication as expression, interaction, and influence rooted in

human psychological processes. The sociocultural tradition

theorizes communication as the production and maintenance of a

social order, such as an organizational culture. The semiotic

tradition theorizes communication as intersubjective mediation by

signs, or the ways that a sign (including a word) or symbol of a

thing mediates the different thoughts that people have about the

thing and thus permit meaning to be shared. The critical tradition

theorizes communication as discursive reflection, or reflection on

the ways that discourses create dominant and marginalized

voices. The rhetorical tradition theorizes communication as the

practical art of discourse and how persuasion is accomplished.

EXERCISES

1. Your class in organizational communication is itself a type of

organization. Think about the communication that takes place in

your class, whether the class is face to face or online. Would you

say that communication between the students and the instructor

is best explained as a linear, interactional, or transactional

process? Explain your answer.

2. In the subsection “What Communication Is: Seven Traditions,” we

imagined how the annual employee awards luncheon could be

explained, in turn, by each of the seven traditions. On your own,

think of another communication scenario that occurs in

organizations (perhaps in your college or university, such as

freshman orientation or the annual commencement ceremony)

and then explain your scenario by each of the seven traditions.

Critical :

Cybernetic :

Interactional :

Linear :

Phenomenological :

Rhetorical :

Semiotic :

Sociocultural :

Sociopsychological :

Transactional :

KEY TERMS AND DEFINITIONS

A scholarly tradition that theorizes communication as discursive reflection, or reflection on the ways that discourses create dominant and marginalized voices.

A scholarly tradition that theorizes communication as information processing.

A model of communication holding that communication travels in a circle as a sender transmits a message and then the receiver responds with feedback; thus both parties become sender/receivers.

A model of communication holding that a message travels in a straight line from its source, through a channel, and to its receiver.

A scholarly tradition that theorizes communication as dialogue and the experience of otherness.

A scholarly tradition that theorizes communication as the practical art of discourse and how persuasion is accomplished.

A scholarly tradition that theorizes communication as intersubjective mediation by signs, or the ways a sign (including a word) or symbol of a thing mediates the different thoughts that people have about the thing and thus permit meaning to be shared.

A scholarly tradition that theorizes communication as the production and reproduction of a social order, such as an organizational culture.

A scholarly tradition that theorizes communication as expression, interaction, and influence rooted in human psychological processes.

A model of communication holding that sending and receiving of messages/feedback occurs simultaneously.

[1] Craig, R. T. (1999). Communication theory as a field. Communication

Theory, 9, 118–160.

[2] Shannon, C., & Weaver, W. (1949) The mathematical theory of

communication. Urbana: University of Illinois Press.

[3] Berlo, D. (1960). The process of communication. New York, NY: Holt,

Rinehart & Winston.

[4] Rogers, E. M. (2001). The department of communication at Michigan

State University as a seed institution for communication study.

Communication Studies, 52, 234–248; p. 234.

[5] Schramm, W. (1954). How communication works. In W. Schramm

(Ed.), The process and effects of communication (pp. 3–26). Urbana:

University of Illinois Press.

[6] Barnlund, D. (1970). A transactional model of communication. In K. K.

Sereno & C. D. Mortensen (Eds.), Foundations of communication theory

(pp. 83–102). New York, NY: Harper.

[7] Craig, R. T. (1999). Communication theory as a field. Communication

Theory, 9, 118–160.

[8] Wiener, N. (1954). The human use of human beings: Cybernetics in

society. Boston, MA: Houghton Mifflin.

[9] Petty, R. E., & Cacioppo, J. T. (1986). Communication and

persuasion: Central and peripheral routes to attitude change. New York,

NY: Springer-Verlag.

[10] Sherif, M., Sherif, C., & Nebergall, R. (1965). Attitude and attitude

change: The social judgement-involvement approach. Philadelphia, PA:

Saunders.

[11] Festinger, L. (1957). A theory of cognitive dissonance. Stanford, CA:

Stanford University Press.

[12] Altman, I., & Taylor, D. A. (1973). Social penetration: The

development of interpersonal relationships. New York, NY: Holt, Rinehart

& Winston.

[13] Baxter, L. A., & Montgomery, B. M. (1998). A guide to dialectical

approaches to studying personal relationships. In B. M. Montgomery & L.

A. Baxter (Eds.), Dialectical approaches to studying personal

relationships (pp. 1–15). Mahwah, NJ: Erlbaum.

[14] Mead, G. H. (1934). Mind, self, and society. Chicago, IL: University

of Chicago Press.

[15] Goffman, E. (1959). The presentation of self in everyday life. Garden

City, NY: Doubleday; Goffman, E. (1971).

[16] Pearce, W. B., & Cronen, V. (1980). Communication, action, and

meaning. New York, NY: Praeger.

[17] Philipsen, G. (1997). A theory of speech codes. In G. Philipsen and

T. L. Albrecht (Eds.), Developing communication theories (pp. 119–156).

Albany: State University of New York Press.

[18] Peirce, C. S. (1958). Charles S. Peirce: Selected writings (P. P.

Weiner, Ed.). New York, NY: Dover.

[19] Ogden, C. K., & Richards, I. A. (1923). The meaning of meaning.

London, UK: Kegan, Paul, Trench, Trubner.

[20] Craig, R. T. (1999). Communication theory as a field. Communication

Theory, 9, 118–160.

[21] Barthes, R. (1972). Mythologies (A. Lavers, Trans.). New York, NY:

Hill and Wang.

[22] Deetz, S. (1992). Democracy in the age of corporate colonization:

Developments in communication and the politics of everyday life. Albany:

State University of New York Press.

[23] For example, see Heidegger, M. (1962). Being and time (J.

Macquarrie & E. Robinson, Trans.). San Francisco, CA: Harper & Row, p.

178.

[24] Aristotle. (2006). On rhetoric: A theory of civic discourse (2nd ed.; G.

A. Kennedy, Trans.). Oxford, UK: Oxford University Press.

[25] Hoffman, M. F., & Ford, D. J. (2009). Organization rhetoric:

Situations and strategies. Thousand Oaks, CA: Sage.

[26] Burke, K. (1950). A rhetoric of motives. New York, NY: Prentice-Hall.

[27] Perelman, C., & Olbrechts-Tyteca, L. (1969). The new rhetoric: A

treatise on argumentation. South Bend, IN: University of Notre Dame

Press, p. 142.

[28] Fisher, W. (1987). Human communication as narration: Toward a

philosophy of reason, value, and action. Columbia: University of South

Carolina Press.

4.3 Representative Modern Theories

LEARNING OBJECTIVES

1. Understand the basic precepts of systems theory and Karl

Weick’s theory of organizing and sensemaking.

2. Understand the basic precepts of Giddens’s structuration theory

and its applications made by Poole and McPhee to organizations.

3. Understand how, according to feminist theory, organizations are

gendered and a primary site for configuration of gender roles.

To this point, we have explored approaches to theorizing organizational

communication rather than specific theories. We believe that focusing first on

approaches is important. To speak of “interpretive organizational theory,” or

“critical organization theory,” or “postmodern organization theory” is not to

speak of any one single theory. Rather, each is—along with the postpositive

perspective—a general approach to looking at the problem of organizational

communication. Each approach is informed by its own ontology (belief about

how things exist), epistemology (belief about how things can be known), and

axiology (belief about what is worth knowing). Out of these respective beliefs

emerge specific theories. In the remainder of this section, we will describe

important modern theories of organizational communication that have emerged

from the different approaches. And by first grasping the underlying approaches

and how each looks at the problem in a different way, we believe you will be

better equipped to understand specific theories and “where they’re coming

from.” The theories described in the section, “Postpositive Approach: Systems

Theory” show the innovative work being done on vital problems of

contemporary organizational life through different approaches to organizational

communication and also through blending some aspects of those approaches.

This should persuade us that each approach has something to contribute.

Postpositive Approach: Systems Theory

Systems theory offers a good illustration of how organizational communication

research from a postpositive perspective has continued to develop and even

incorporate insights from other approaches. The story of systems theory begins

in the mid-1950s when, as we saw in Chapter 3, the heyday of classical

management theory had passed and the human-resources approach was

ascendant. In 1956, Canadian biologist Ludwig von Bertalanffy first published

his “general system theory,” which proposed that traits found in biological

systems could be applied to any system. [1] A decade later, the notion of applying

the theory to organizations was popularized in an influential book by Daniel

Katz and Robert Kahn. [2] The old metaphor of the organization as a machine

was replaced by the metaphor of a biological organism. As a result, the

conception of the organization as a closed system was replaced by that of an

open system. Where a machine operates on its own, a biological organism can

survive only by interacting with and gathering inputs from its surrounding

environment. Thus, compared to the input-output of a machine, the operations of

a biological organism involve input-throughput-output (a concept we

encountered in Chapter 1; see Figure 1.1). Through systems theory, other

principles from biology have been applied to organizations as shown in Table

4.1.

Table 4.1 Systems Applications to Organizations

Like a biological organism, an

organization…

This trait is

called… An example in an organization would be…

is not a hodgepodge of parts, but

an ordered system

hierarchical

ordering

An oil refinery has four divisions—finance,

operations, sales and marketing, human resources

—overseen by a CEO.

is composed of parts that rely on

each other to properly function interdependence

The refinery’s operations division manufactures

orders generated by sales and marketing, using

employees recruited by human resources.

is greater than the sum of its parts,

since the parts are interdependent holism

The gasoline that the refinery supplies to customers

is not merely a manufacturing output; all divisions

contribute to success, from sales and customer

service to quality control and delivery.

requires communication between

its parts to correct deviations and

spread information that fosters

growth

feedback

Balance sheets, sales reports, production reports,

time sheets, and more are generated by the week,

month, quarter, and year to keep the refinery on

track.

must trade its outputs with the

outside environment to acquire

the inputs it needs to function;

otherwise, it will feed on itself

and die

exchange

The refinery sells the products it manufactures and

generates revenue to purchase needed raw

materials, technology, labor, and market

information.

has boundaries that set it apart

from the environment, yet also

permit exchanges with the

environment

permeability

Though the refinery is legally chartered in the

United States, it purchases crude oil supplies from

around the world.

freely permits the resources it

needs to pass into its system and

thus can grow

negative

entropy

While a closed system eventually tends to break

down, an open system can reverse this tendency by

importing new resources; thus the diversity of

resources acquired and processed by the refinery

leads to greater order rather than disorder.

must be as complex as the inputs

it requires from the environment,

in order to handle those inputs

requisite variety

To refine oil into gasoline, the plant must

distinguish between light, heavy, sweet, and sour

crude.

deals with a complex environment

by having multiple means to

achieve its goals and not

depending on any single option

equifinality

Because crude supplies vary as market conditions

fluctuate, the refinery must adjust its

manufacturing processes as needed to produce

gasoline that meets industry and government

specifications.

The most influential theory to emerge from the systems approach was proposed

in the 1960s by Karl Weick and refined by him over the next three decades. [3] The theory begins with the observation that an organization’s environment

includes information as well as material resources. Since the late twentieth

century, the information environment has grown increasingly complex. Many

communication situations cannot be handled by routines and rules. Moreover,

the organization and its members both shape and are shaped by the information

environment in which they operate—a principle Weick borrowed from the

interpretive approach. Because all these factors introduce what he called

“equivocality,” the goal of organizational communication is equivocality

reduction. To meet the challenges of a complex information environment,

organization members’ natural response is the enactment of their own internal

informational culture—again, a notion taken from the interpretive approach and

yet also an aspect of the interdependency predicted by systems theory. Next,

Weick proposed a concept drawn from Charles Darwin’s theory of evolution and

natural selection. Though organization members have enacted an information

environment, they each bring different interpretations of what that environment

means. Thus a part of the organizing process is selection of the best

interpretations and then their retention to guide future enactments and selections.

This collective process of enactment, selection, and retentions is, in Weick’s

model, called retrospective sensemaking and is represented in Figure 4.9.

Organization members muddle through complexities, perceive over time what

works, and collectively reduce equivocality and make sense of their workplace.

Thus Weick has constructed a theory of organizing that is rooted in systems

theory and follows a postpositive research agenda of observing and measuring

aggregate behaviors. And yet his theory usefully draws on interpretive principles

about the social constructedness of collective environments.

Figure 4.9 Weick’s Retrospective Sensemaking

Interpretive Approach: Structuration Theory

Weick’s theory of organizing blends interpretive perspectives into a systems

theory. But a key systems concept—that the parts of a system are interdependent

—is given a new, interpretive twist through structuration theory and its

applications to organizational life. In traditional systems theories about

organizations, the parts of the system are the various departments that have been

hierarchically ordered to compose an organization. But in structuration theory,

the system is a system of human practices, where practices are understood as

patterns of activity that have meaning for participants. Thus the organizational

system is not the operations department, the marketing department, the

accounting department, and so on. Rather, the organizational system is

composed of patterns of practices—from the way that sick leave is handled, to

the way that purchase orders are processed, to the way that meetings are

conducted. At the end of this section is a brief scenario about company dress

codes and casual Fridays. In structuration theory, then, “structure” is not used in

the conventional sense of a hierarchy. Rather, structure refers to the

interrelationships between practices.

By basing notions of system and structure on practices, and defining practices as

meaningful patterns, we can see how structuration theory reflects an interpretive

approach. This move sprang from, as Marshall Scott Poole and Robert McPhee

have related, the concerns of scholars in the 1960s who felt that the

sociopsychological or individual-oriented emphasis in communication studies

did not adequately allow for group effects. “The properties of systems were most

often cast as constraints on behavior that acted from outside the individuals

involved,” such that individuals were not seen as agents involved in constructing

those systems. [4] Then in the late 1970s and 1980s, communication scholars

discovered the work of British theorist Anthony Giddens. [5] His theory of

structuration resolved the structure-versus-agency debate with an innovative

move. Giddens proposed that structure and agency are not “either/or” but are

“both/and,” or, as he put it, not a dualism but a duality. In other words, people

create a structure through their actions—but they also perpetuate, or reproduce,

the structure by acting within it. As Giddens explained, structure is both “a

medium and an outcome” of social action. Structure not only constrains action

but also enables it, even as action produces and reproduces the structure—and

thus we have the process of structuration, which gives the theory its name.

In this theory, the concept of rules and resources has special meaning.

Individuals act within the structure’s enablements and constraints by drawing on

shared rules to guide their actions, as well as resources (whether material or

nonmaterial) they can employ to take action. And as the process of structuration

goes forward, a system of practices evolves that guides signification (how things

are interpreted), legitimation (what is deemed moral and should be done), and

domination (how power is distributed to get those things done). Nevertheless,

people are mostly unaware that their actions are grounded in, and impact upon,

larger structurational process, because their actions and consequences are

separated in space and time.

Poole and McPhee outlined how structuration theory might be generally applied

to communication studies. In the early 1980s, they began exploring applications

to organizational communication. [6] First, they suggested that structuration can

explain the formation of an organization’s climate (a concept discussed in

Chapter 6) or “collective attitude, continually produced and reproduced by

members’ interactions.” [7] Climate emerges from a concept pool of shared terms

and phrases that members use to describe the organization, culminating in a

kernel climate as members adopt a commonly shared abstraction to capture their

basic understandings of the organization, and then progressing into particular

climates that guide members’ attitudes and actions in specific situations. [8]

Further developments in organizational structuration theory have asserted that

organizational communication occurs at three centers of structuration:

conception, implementation, and reception. [9] Though much overlap and

conflict can occur, top management typically dominates conceptual

communication, middle management oversees implementation, and employees

receive and enact what has been decided. These communications may be classed

into four flows that are respectively concerned with membership negotiation

(who can be a member), activity coordination (what members do), self-

structuring (how activities are organized), and institutional positioning (how the

organization differentiates itself from others). Meanwhile, structurational

processes also operate at the individual level to drive organizational identity (a

phenomenon addressed in Chapter 8). Through an identity-identification duality,

the more that organization members are linked with other members who share

the same premises, the more they will all cultivate a like identity for themselves

and, in turn, be self-actualized by relationships with like-minded individuals. [10]

Giddens’s original stucturation theory addressed processes at the societal level

and the institutions that societies create and sustain. A societal institution, he

observed, can accrue and channel great power as it becomes a nexus for

concentrating, organizing, controlling, and then projecting resources.

Structurational processes govern how things are interpreted, what is deemed

moral and should be done, and how power is distributed to do those things. This

same attention to the ways in which power operates through a system has

continued to be a concern for scholars who apply structuration theory to

organizations. In looking back on two decades of theory development, Poole and

McPhee believed, “Structuration theory…has the potential to bring a critical

edge to the analysis of organizational systems because it charges scholars to

look for the role of power and domination in structuring processes that underlie

organizations.” Further, the theory “shows how organizations are created and

sustained by human action and how, potentially, they can be changed.” [11] Thus,

they concluded, “We hope future researchers will take a more critical stance in

developing the future of the structurational perspective.” [12]

The Structuration of "Casual Fridays"

Your office observes the human practice of “casual Fridays.” Since this

implies that people don professional attire the rest of the week, your office

has an unspoken system for what people wear. The relationship between the

two practices—professional dress Monday to Thursday, casual on Friday—

provides a structure that guides daily norms and the permitted exception.

Though casual Fridays were started by a management decision several years

ago, everyone now reproduces the structure by following the rule to dress

professionally four days a week and casually on Friday, and by acquiring the

resource of a suitable personal wardrobe. Through structuration, your office

has evolved the assumption that one’s personal appearance signifies

professionalism. This structure legitimates proper attire on proper days and is

enforced through office etiquette.

The word “Friday” has entered the office concept pool as shorthand slang for

proper dress. Common putdowns are “I guess you thought it was Friday” (for

underdressed employees) and “Don’t you know it’s Friday?” (for the

overdressed). This produces a climate that guides employee dress choices.

Interestingly, ideas of “professional” and “casual” dress differ among

executives, managers, and employees. Still, talk around the office about what

to wear fosters a group consciousness, coordinates dress choices, structures

when each choice should be worn, and positions your company as different

from others that do not observe casual Fridays. Yet some employees are

starting to complain that casual Fridays have become a way to exert more

control over personal appearance. Managers can push for “higher” standards

(usually their own preferences) during the week with the excuse, “Well, you

can relax on Friday.”

Critical/Postmodern Approaches: Feminist Theory

Feminist theory provides an apt subject to conclude this chapter on modern

theories of organizational communication—and to conclude this section, which

has highlighted ways that modern theories often blend perspectives from

different approaches. First, a cohesive body of work in feminist organizational

communication studies is a newer development, having emerged only since the

1990s. Second, despite its recent pedigree, feminist theorizing about

organizational communication draws on diverse schools of thought, which have

enriched one another in innovative ways. Katherine Miller identified five distinct

approaches to feminist theorizing; [13] Marta Calas and Linda Smircich identified

seven; [14] and Michael Papa, Tom Daniels, and Barry Spiker recently identified

eight. [15] Feminist theorizing that specifically addresses organizational

communication is generally identified with the critical approach to

organizations, although Dennis Mumby also identified a postmodern strain in

feminist inquiry about organizational life. [16]

While feminist theorizing has generated a diverse body of research, some

common themes emerge. Yet before describing these, let us review some ideas

that retain a large influence on popular culture (so that you have probably heard

about them) but do not represent current directions in feminist organizational

communication studies. Karen Lee Ashcraft has recounted how research in the

1980s and 1990s frequently focused on sex differences. [17] Women were

depicted as “different” from men. Even if a “feminine style” of communication

and leadership was celebrated as valuable, the notion nevertheless perpetuated a

stereotype. Moreover, “feminine style” and “women’s concerns” were largely

equated with those of middle-class white women. Finally, the workplace was

seen as neutral territory into which individuals brought their sex differences and

societal prejudices; organizations were simply places where people played out

gender issues imported from the outside. Two decades of feminist organizational

communication scholarship has altered this picture. The workplace is no longer

viewed as neutral; instead, organizations are seen as profoundly gendered

institutions and a primary source of gendering (i.e., configuring gender roles) in

contemporary society.

To explain this phenomenon, let us begin with the basic concept of “male” and

“female.” The concept inherently lends itself to “either/or” thinking, or what

scholars call a binary mode of thought. Another binary common to Western

society is the “mind/body” dualism, which holds that the mind is nonmaterial

and the body is physical. A tendency to think in terms of binaries, feminist

scholars have shown, suffuses modern organization in ways that (as critical

theory tells us) work simultaneously to make “masculine” values dominant and

yet hide that domination by making it seem natural. For example, the modern

bureaucratic organization is based on ordered hierarchies. Such ordering

privileges the abstract (a “masculine” value) over the personal (a “feminine”

value), establishes the workplace on the basis of individual categorization rather

than egalitarian cooperation, and fosters a management/labor binary. [18] Hierarchy promotes linear modes of thinking and communication so that

organizations extol a cause/effect binary as the only rational way to make

decisions, rather than a holistic approach. [19] Indeed, the rational/emotional

binary is another mode of thought that gives a “masculine” gendering to

organizations. [20] Likewise, the leader/follower binary, which is inherent to

hierarchy, is patriarchal and fosters a dependency that “feminizes” workers. [21] Conflict management is another area where “masculine” values reign; even

when individuals agree to set aside the win/lose binary, settling their differences

through negotiation privileges the skill of bargaining. [22] Modern organizations

even configure female bodies according to masculine values, as a woman’s

“professional body” is expected to be trim and thus show discipline. [23] Finally,

Weber’s ideal of the impersonal-but-fair bureaucracy (see Chapter 3) is alive

today in the public/private binary that governs most organizations. That

“masculine” values are the standard is ensured by the rule that public workplace

performance takes precedence over private concerns. [24]

The connections between feminist theory and critical theory are clear. Today, a

growing body of feminist research employs fieldwork and ideology critique to

show how organizations reify and universalize “masculine” values. Recently,

other feminist scholars have demonstrated how a postmodern approach to

organizations can inform research by deconstructing how discourses of

domination—such as male domination—have formed over time. An example is

Ashcraft and Mumby’s study of airline pilots, a profession in which white males

predominate. They documented how early aviators were romanticized as

daredevils but, when the prospect of commercial aviation arose, celebrated

“lady” pilots made aviation seem less intimidating. As commercial flights

became a reality and the public worried about safety and reliability, the industry

promoted the image of the fatherly (white) professional pilot in a crisp naval-

style uniform. [25] Their project also explores the issue of race and illustrates

how the feminist approach to organizational communication has come to span

questions of race, class, sexuality, and ability.

As our look at systems theory, structuration theory, and feminist theory affirms,

modern theories of organizational communication are diverse. In addition, they

afford opportunities for innovative, as well as blended, approaches to explaining

problems of organizational life in the twenty-first century.

KEY TAKEAWAY

Systems theory is based on the metaphor of the organization as a

biological organism. Its parts, though hierarchically ordered, are

interdependent and the whole is greater than the sum of the parts.

Feedback between parts spreads needed information. But an

organization is an open system with permeable boundaries,

engaging in exchange with its environment to gather resources

required for growth. Because its environment is complex, the

organization must have the requisite variety to deal with that

complexity. This is aided through equifinality, or the ability to take

multiple paths for achieving the same goal. Karl Weick’s theory of

organizing holds that information is part of an organization’s

environment. Since the information is increasingly complex, a

goal of organizational communication is equivocality reduction

through processes of sensemaking.

Structuration theory provides a new answer to the question, Do

people have free will or are they determined by their

environments? Anthony Giddens theorized that structure and

agency are not a dualism but a duality. That is, people’s actions

produce structure but, by acting within a structure, they also

perpetuate or reproduce it. This is called structuration. Thus

structure is both an outcome of and a medium for social action.

For Giddens, a system is composed of human practices that have

meaningful patterns for participants. Poole and McPhee, and

subsequent scholars, have applied the theory of structuration to

explain the processes of organizational climate, organizational

communication, and organizational identity.

Feminist scholarship on organizational communication

encompasses a diversity of approaches and theories. However,

these approaches share a conception of the modern organization

as being gendered (rather than a neutral site where sex

differences and societal prejudices play out) and as a primary site

in the modern world for configuring gender roles. The male/female

distinction reflects a binary mode of thought that suffuses

organizations. Other binaries found in organizations include

cause/effect, rational/emotional, leader/ follower, win/lose, and

public/private. Bureaucratic hierarchy “feminizes” workers by

making them dependent, while basing organizational life on

individual categorization rather than egalitarian cooperation.

EXERCISES

1. Where classical theory is based on the metaphor of the

organization as a machine, systems theory is based on the

metaphor of the organization as a biological organism. Make a list

of other possible metaphors that might be used and explain how

each one can help us understand the ways that an organization

works.

2. In developing a theory of organizational structuration, Robert

McPhee proposed that communication occurs in four flows:

membership negotiation (who can be a member), activity

coordination (what members do), self-structuring (how activities

are organized), and institutional positioning (how the organization

Feminist Theory:

Systems Theory:

Binary :

differentiates itself from others). Think of an organization to which

you belong and then make a list of the types of communication

that occur within each of the four flows. Can you identify any

patterns or structures in these communication practices? Do

these structures help people in the organization get their

messages across and be understood? Or do they limit what

people can say? Or both?

3. Again, think of an organization to which you belong. Name some

examples of binary thinking (e.g., cause/effect, rational/emotional,

leader/follower, win/lose, public/private) you have observed. How

does this binary thinking affect what you have experienced in the

organization? Does this type of thinking tend to make “masculine”

values (e.g., competition, individualism, being rational, showing

no emotion, taking action) more favored than “feminine” values

(e.g., cooperation, integration)?

KEY TERMS AND DEFINITIONS

Not a single theory, but an approach to organizational communication scholarship that sees organizations as gendered and as sites for configuring gender roles.

A theory based on the metaphor of the organization as a biological organism, so that the organization is seen as an open system that interacts with its environment in order to acquire the resources it needs to survive and grow.

An opposition such as male/female, cause/effect, rational/emotional, leader/follower, win/lose, or public/private. Feminist

Enactment, Selection, And Retentions:

Equivocality Reduction:

Human Practices:

Interdependency :

Open System:

Reproduce:

Retrospective Sensemaking:

Rules And Resources:

Structuration Theory:

theory holds that binary thinking in organizations leads to the domination of “masculine” values such as competition over “feminine” values such as cooperation.

In Weick’s theory, organizations respond to equivocality in their environments by enacting their own information system, selecting their best responses for reducing equivocality, and retaining them to guide future responses.

Because modern organizations are confronted by an increasingly complex information environment then, according to Weick’s theory, they seek to reduce the amount of equivocality (uncertainty) they experience.

In structuration theory, patterns of activity that have meaning for participants.

The notion in systems theory that the parts of the system depend on one another in order to function properly.

A system that is open to its surrounding environment, as opposed to a closed system that is not. A closed system is only concerned with input and output, whereas an open system encompasses input, throughput, and output.

Structuration theory holds that individuals act within a structure by drawing on shared rules to guide their actions and by employing resources (material or nonmaterial) to take action.

Name given in Weick’s theory to the process of enactment, selection, and retention by which organization members make sense of their environment.

Structuration theory holds that individuals act within a structure by drawing on shared rules to guide their actions and by employing resources (material or nonmaterial) to take action.

A theory proposed by Giddens to answer the question, Do people have free will, or are they determined by their environments? He theorized that structure and agency are not a dualism but a duality. That is, people’s actions produce structure but, by acting within a structure, they also perpetuate or reproduce it.

Structure :

System :

In structuration theory, the interrelationships between human practices.

In structuration theory, a system is composed not of parts (such as an organization’s various departments) but of human practices.

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Addison-Wesley; Weick, K. (1995). Sensemaking in organizations.

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4.4 Chapter Exercises

REAL-WORLD CASE STUDY

The Walt Disney Company and its theme parks have drawn the

interest of organization and management scholars for decades.

Books and articles praising Disney management began appearing in

the 1960s. The runaway 1982 bestseller In Search of Excellence, by

Thomas Peters and Robert Waterman, remains in print and lauds

the Disney organization as a “best example” of customer service

and employee relations. [1] The high profile of the Disney theme

parks in US and global culture have prompted studies not only by

industrial psychologists and management scientists but by scholars

who take interpretive, critical, and postmodern approaches to

organizational communication. [2]

One innovative study, though conducted some thirty years ago,

reads like today’s news. The Disneyland theme park in California

was dealing with the economic effects of a recent recession. Since

the park was founded in 1955, management had succeeded in

building up an unusually close-knit organizational culture. So a 1984

strike by park employees, protesting a management proposal to

freeze wages and reduce benefits, made national headlines. Two

organizational communication researchers, Ruth Smith and Eric

Eisenberg, decided to investigate these labor troubles by taking an

interpretive approach to the Disney organizational culture. [3] They

interviewed managers from several departments, reviewed

company documents, and found that management carefully

cultivated the metaphor of Disneyland as a “drama” or “show.”

Customers were “guests” and employees, as the “cast,” were

expected to play their “roles” by talking in approved phrases that

followed the “script.” Dress codes and grooming requirements were

called “costuming.” The park’s “onstage” and “backstage” areas

were clearly delineated.

Then Smith and Eisenberg interviewed striking workers and were

surprised by what they discovered. The company founder, Walt

Disney, had died in 1966. His successors worked diligently to carry

on his legacy so that the show might go on. In fact, according to

Smith and Eisenberg, management was so successful in cultivating

this idea that the park employees also took satisfaction in being

caretakers of the Disney legacy. And with Disneyland’s emphasis on

family entertainment, park employees began to see their workplace

as a “family.” When management was compelled by the recession to

emphasize the bottom line, employees believed the company was

forsaking the Disney legacy and violating the spirit of the “Disney

family.” Management responded by suggesting that families go

through hard times but to no avail. The strike lasted twenty-two

days, the union went public with its concerns, management

implemented a separate wage scale for new employees, and the

organizational culture was profoundly changed.

1. Smith and Eisenberg took an interpretive approach for their

research on the organizational culture of Disneyland by analyzing

company documents and interviewing managers and employees.

If you were a postpositive researcher, how might you have

conducted surveys of Disneyland employees to supplement the

interviews? Would such knowledge of aggregate responses alone

have helped you understand the Disneyland culture? Or would

you have needed to interpret the mind-sets of individual

managers and employees? In other words, could nomothetic

research by itself have sufficed, or was ideographic research

essential?

2. If you had worked with Smith and Eisenberg, how might you have

extended their study through ethnographic fieldwork? What

Disneyland management and employee activities and rituals

might you have observed and participated in? Smith and

Eisenberg analyzed the metaphors that managers and employees

used in their interviews; managers emphasized a “drama”

metaphor, while employees also added a “family” metaphor. How

might ethnographic fieldwork—as you participated in and directly

experienced Disneyland culture for yourself—have extended the

findings?

3. What might a critical organizational communication scholar have

said about the culture that Smith and Eisenberg found at

Disneyland? Many organization and management scholars have

praised the Disney company. But a critical scholar might ask, Did

management use its “show” discourse to reify and universalize its

interests? Was this discourse a kind of technical reasoning to gain

a desired managerial goal and make practical reasoning toward

mutual consent seem irrational? Did the discourse distort

employees’ consciousness to favor management? Did it distort

communication so that all communicative action took place on

managerial terms? And as a postmodern scholar might have

asked, did the discourse “manufacture consent” so that workers

willingly disciplined themselves? What do you think?

4. Reread the description in the case of the “show” discourse that

governed the organizational culture at Disneyland. Then reread

the discussion in this chapter about the seven traditions in

communication theory: cybernetic, phenomenological,

sociopsychological, sociocultural, semiotic, critical, and rhetorical.

Now try to explain the “show” discourse according to each

tradition.

5. Karl Weick’s system theory holds that people collectively “make

sense” of their workplace by enacting responses to its

complexities, selecting the best responses, and retaining those

responses to guide future enactments and selections. Try to

interpret the Disneyland “show” culture that Eisenberg and Smith

discovered through this framework.

6. Anthony Giddens’s structuration theory holds that even as people

create a structure, they simultaneously perpetuate or reproduce

the structure by acting within what the structure enables and what

it constrains. Try to explain our case study through this

framework. Robert McPhee’s application of structuration theory to

organizations holds that structuration occurs differently at the

executive, middle management, and employee levels. Does this

help explain why Disneyland employees went on strike?

7. What might a feminist organizational communication scholar have

said about the culture that Smith and Eisenberg discovered at

Disneyland? Does their description suggest that the organization

was gendered? Do you see any evidence of binary thinking in the

Disneyland culture that Smith and Eisenberg describe?

END-OF-CHAPTER ASSESSMENT

1. In Chapter 4, we learned that theorists must make decisions about ontology, epistemology, and axiology. Select the answer that gives the definitions of these three terms in the order of ontology, epistemology, and axiology.

a. how things are known; what is worth knowing; how things exist

b. what is worth knowing; how things exist; how things are known

c. how things exist; what is worth knowing; how things are known

d. how things exist; how things are known; what is worth knowing

e. what is worth knowing; how things are known; how things exist

2. The belief that a social phenomenon (such as an organization) has a subjective existence, and that it naturally tends toward order, is characteristic of which approach to organizations?

a. postpositive b. interpretive c. critical d. postmodern e. feminist

3. The belief that a social phenomenon (such as an organization) is known by applying prior theoretical knowledge to the phenomenon, and that it naturally tends toward conflict, is characteristic of which approach to organizations?

a. postpositive b. interpretive c. critical d. postmodern e. functionalist

4. The belief that a social phenomenon (such as an organization) exists independent of human perception, and that its structures are created through human agency, is characteristic of which approach to organizations?

a. postpositive b. interpretive c. critical d. postmodern e. social constructionist

5. Which model depicts communication as a process by which communicators send messages/feedback simultaneously to one another?

a. sociopsychological b. sociocultural c. linear d. interactional e. transactional

Answer Key

1. d

2. b

3. c

4. a

5. e

[1] Peters, T. J., & Waterman, R. H., Jr. (1982). In search of excellence:

Lessons from America’s best companies. New York, NY: Harper & Row.

[2] For example, see Boje, D. M. (1995). Stories of the story-telling

organization: A postmodern analysis of Disney as “Tamara-land.”

Academy of Management Review, 38, 997–1035; Van Maanen, J. (1991).

The smile factory: Work at Disneyland. In P. J. Frost, L. F. Moore, M. R.

Lewis, C. C. Lundberg, & J. Martin (Eds.), Reframing organizational

culture (pp. 58–76). Newbury Park, CA: Sage; Van Maanen, J. (1992).

Displacing Disney: Some notes on the flow of organizational culture.

Qualitative Sociology, 15, 5–25; Van Maanen, J., & Kunda, G. (1989).

Real feelings: Emotional expression and organizational culture. Research

in Organizational Behavior, 11, 43–103.

[3] Smith, R. C., & Eisenberg, E. M. (1987). Conflict at Disneyland: A

root-metaphor analysis. Communication Monographs, 54, 367–380.

Chapter 5

Communicating Between and Among Internal Stakeholders

© Thinkstock/iStock

Communication Structure

As discussed in Chapter 1, one of the fundamental parts of an organization is the

presence of a hierarchy. Since the 1950s, researchers have been very interested

in how information is passed around the various levels of an organization’s

hierarchy. How information is passed around an organization is commonly

referred to as communication structure, and there are three dominant

perspectives: channels, perceived networks, and observable networks. [1] The

channels perspective sees messages as concrete objects that can be passed along

clearly established channels of communication within an organization. [2] In

essence, the channels perspective focuses on how the message moves along the

channels of communication and not on the relationship between the sender and

the receiver. Under this perspective, the receiver becomes a passive individual in

the communication process. In Chapter 1, we mentioned Redding’s ten

postulates of organizational communication. [3] One of his postulates explains

that the message received, not the one sent, is the one that a receiver will

ultimately act upon in an organization. The channels perspective violates this

basic tenet of organizational communication.

The second prominent perspective of organizational communication structure

discussed is the perceived network perspective. [4] One way that some scholars

have attempted to ascertain how communication is transmitted within an

organization is to ask organizational members. In essence, this method involves

interviewing organizational members and asking them whom they talk to and

how they pass on information to their coworkers. According to Steven R.

Corman and Craig R. Scott, perceived networks are innately flawed: “This

formulation denies the existence of a network of communication, suggesting

instead that the network is a structure of perceived communication relationships.

It is a kind of latent knowledge that guides members’ manifest communication

behavior. We believe members’ reports of communication reflect this knowledge,

not their recollections of specific communication episodes.” [5]

Corman and Scott’s argument against the use of perceived networks is twofold.

First, Corman and Scott argue that when researchers ask participants about their

communication networks, the participants respond by thinking of whom they

should be communicating with, not necessarily whom they actually

communicate with at all. Second, the perceptions that participants have about

their communicative networks is more a generalized understanding of how they

communicate and not how they actually communicate during specific

communicative episodes. In other words, people often believe that they utilize

specific channels of communication within the organization, whereas in reality,

they are communicating in a completely different way.

The third prominent perspective of organizational communication structure is the

observable network perspective. [6] Another way that scholars can examine how

communication actually happens within an organization is to literally watch it

happen. While actually watching how communication occurs within an

organization provides the most accurate information, the research process is very

time consuming. When actually observing an organization’s communication

network, you cannot hope to get all the necessary information in a short period

of time. For this reason, data collection in this type of research is very laborious.

Furthermore, a researcher’s ability to observe actual communication networks is

only as good as the researcher’s access to those communication networks.

People who talk outside of work or in inaccessible areas of the organization (like

the bathroom) can lead to an incomplete picture of the actual communication

networks within the organization.

Overall, watching how people interact within an organization and how

information is transmitted within an organization is a very difficult task.

Furthermore, how researchers and organizations view communication networks

also differs. Corman and Scott noted, “We believe…there is no network of

communication in the sense analogous to a network of computers or telephones

or television stations. Instead, the network is an abstract structure of perceived

communication relationships that functions as a set of rules and resources actors

draw upon in accomplishing communication behavior.” [7] Ultimately, this

abstract structure can be broken down into two basic parts: formal

communication networks and informal communication networks. The rest of this

chapter will examine formal and informal communication networks.

[1] Papa, M. J., Daniels, T. D., & Spiker, B. K. (2008). Organizational

communication: Perspectives and trends. Thousand Oaks, CA: Sage.

[2] Koehler, J. W., Anatol, K. W. E., & Applbaum, R. L. (1981).

Organizational communication: Behavioral perspectives (2nd ed.). New

York, NY: Holt, Rinehart & Winston.

[3] Redding, W. C. (1972). Communication with the organization: An

interpretive review of theory and research. New York, NY: Industrial

Communication Council.

[4] Papa, M. J., Daniels, T. D., & Spiker, B. K. (2008). Organizational

communication: Perspectives and trends. Thousand Oaks, CA: Sage.

[5] Corman, S. R., & Scott, C. R. (1994). Perceived networks, activity foci,

and observable communication in social collectives. Communication

Theory, 4, 171–190, p. 174.

[6] Papa, M. J., Daniels, T. D., & Spiker, B. K. (2008). Organizational

communication: Perspectives and trends. Thousand Oaks, CA: Sage.

[7] Corman, S. R., & Scott, C. R. (1994). Perceived networks, activity foci,

and observable communication in social collectives. Communication

Theory, 4, 171–190, p. 181.

5.1 Formal Communication Networks

LEARNING OBJECTIVES

1. Explain Weber’s (1930) beliefs on downward communication.

2. Understand Katz and Kahn’s (1966) typology of downward

communication.

3. Clarify Hirokawa’s (1979) two problems associated with

downward communication.

4. Be able to explain Hirokawa’s (1979) four functions of upward

communication.

5. Understand Katz and Kahn’s (1966) typology of upward

communication.

6. Explain the importance of employee silence and organizational

dissent.

7. Explain Fayol’s (1916/1949) perspective on horizontal/lateral

communication.

8. Understand Hirokawa’s (1979) four functions of horizontal/lateral

communication.

9. Analyze Charles and Marschan-Piekkari’s (2002) five

organizational behaviors to increase the quality and quantity of

horizontal/lateral communication in multinational corporations.

The word formal describes adherence to a set of conventional requirements of

© Thinkstock/iStock

behavior. Formal communication consists of the rules and

norms established by an organization for communicative

behavior. A communication rule is a standard or directive

governing how communication occurs within an

organization. Communication rules are explicitly stated and

may be found in your organization’s policies and

procedures manual. For example, maybe your organization

has very strict policies established for what happens in case

of an emergency. One of the authors of this book worked in

a hospital that had very explicit communication rules to be

followed if someone was accidentally stuck by a needle.

First, the individual was required to go immediately to the emergency room for

testing and the initiation of preventive pharmaceutical measures. Second, the

head of the hospital’s risk-management office was to be contacted. The risk-

management head would then investigate the matter and submit a formal report

of all accidents to the CEO of the hospital on a monthly basis. These steps were

not perceived as optional at all and were clearly written in the employee

handbook.

Communication norms, on the other hand, are standards or patterns of

communication regarded as typical. Where communication rules are explicitly

discussed within an organization, communication norms are learned only

through active observation of communicative behavior within the organization.

In fact, one of the most common ways to learn a communicative norm in an

organization is to accidentally violate the norm. For example, in the same

hospital discussed earlier, the head of risk management had to formally

communicate to the CEO on a monthly basis any accidents that had occurred.

However, the head of risk management would also send the CEO an e-mail as

soon as she had an incident report, just to keep him updated more frequently.

When the head of risk management went on a two-month leave of absence, one

of her subordinates took over the position. The subordinate followed the

guidelines as set forth in the policies and procedures manual to the letter.

However, the CEO got very angry when at the end of the month he received his

formal briefing of accidents, because he hadn’t been kept up to date throughout

the month. In this case, the subordinate had followed the formal communication

rules of the organization but had violated what had become a formal

communication norm.

Obviously, understanding how formal communication functions within an

organization is very important, which is why a considerable amount of the early

research on organizational communication examined formal communication. To

help us further understand formal communication in the organization, we’re

going to look at it by examining the three directions communication happens

within an organization: downward, upward, horizontal/lateral.

Downward Communication

Downward communication consists of messages that start at the top of the

hierarchy and are transmitted down the hierarchy to the lowest rungs of the

hierarchy. Downward communication can be considered a top-to-bottom

approach for organizational communication. The earliest thinker in the area of

downward communication was Max Weber. [1] Weber believed that there were

two ways to get employees to follow one’s directives: power and authority.

Weber defined power as the ability to force people to obey regardless of their

resistance, whereas authority occurs when orders are voluntarily obeyed by those

receiving them. Weber argued that individuals in authority-based organizations

were more likely to perceive directives as legitimate. [2] While this process

sounds simplistic, individuals in management positions have often had to

determine how to communicate with employees. Randy Hirokawa noted that

there are two general types of downward communication in modern

organizations: “(1) information concerning the current/future status of specific

aspects of the organization, new organizational policies, recent administrative

decisions, and recent changes in the standard-operating-procedures; and (2)

information of a task-related nature which generally provide subordinates with

the technical know-how to accomplish their tasks or assignments with greater

efficiency and productivity.” [3]

While Hirokawa’s two-pronged approach to downward communication is fairly

consistent with the type of communication that occurs in modern organizations,

this type of communication is not always present.

Types of Downward Communication

While numerous typologies examine the various types of messages transmitted

down a hierarchy from management, the most commonly cited typology was

created by Daniel Katz and Robert L. Kahn. [4] Katz's and Kahn’s typology

breaks downward communication into five distinct types: job instructions, job

rationales, procedures and practices, feedback, and indoctrination.

Job Instructions

The first type of message that management commonly communicates to

employees is job instructions, or how management wants an employee to

perform her or his job. Often this type of downward communication occurs

through training. Depending on the difficulty of the job, communicating to an

employee how to perform her or his job could take days, months, or years. Some

organizations will even send employees outside the organization for more

specialized training.

Job Rationales

The second type of message Katz and Kahn identified as commonly

communicated downward in an organization is job rationales. [5] A job rationale

is a basic statement of the purpose of a specific job and how that job relates to

the overarching goal of the organization. Every job should help the organization

achieve its goals, so understanding how one’s position fits into the larger scheme

of the organization is very important. Furthermore, the job rationale will also

illustrate how a single job relates to other jobs within the organizational

hierarchy.

Procedures and Practices

The third type of message Katz and Kahn identified as commonly communicated

downward in an organization is procedures and practices. [6] Procedures and

practices typically come in the form of an employee manual or handbook when

you start working within an organization. Procedures are sequences of steps to

be followed in a given situation. For example, in an organization, there may be

procedures in place for reporting sexual harassment or procedures for hiring new

members. Practices, on the other hand, are behaviors people should do

habitually. For example, maybe you are required to punch in and out using a

time clock, or you are not allowed to wear open-toed shoes. There are

procedures and practices related to policies (courses of action taken in the

organization), rules (standards or directives governing behavior), and benefits

(payment and entitlements one receives with the job).

Feedback

The fourth type of message Katz and Kahn identified as commonly

communicated downward in an organization is feedback. [7] Providing feedback

to one’s subordinates is a very important feature of any supervisory position. [8] Employees can grow and become more proficient with their jobs only if they

are receiving feedback from those above them. This feedback needs to contain

both positive and negative feedback. Positive feedback occurs when a supervisor

explains to a subordinate what he or she is doing well, whereas negative

feedback occurs when a supervisor explains to a subordinate areas that need

improvement. Furthermore, feedback should not only occur in formal review

sessions often referred to as “summative feedback.” Instead, supervisors should

utilize formative feedback, or periodic feedback designed to help an employee

grow and develop within the organization.

Employee Indoctrination

The last type of downward communication discussed by Katz and Kahn is

employee indoctrination. [9] Indoctrination is the process of instilling an

employee with a partisan or ideological point of view. Specifically, organizations

use indoctrination messages in order to help new members adopt ideological

stances related to the organization’s culture and goals. The ultimate goal of

organizational indoctrination is organizational identification, or “the extent to

which that person’s self-concept includes the same characteristics he or she

perceives to be distinctive, central, and enduring to the organization.” [10] We’ll

examine employee indoctrination in more detail in Chapter 12.

Katz and Kahn’s typology of downward communication is very useful to

remember when examining how communication in an organization is conducted. [11] Often, managers may be competent at one or two of the types of downward

communication but not as competent in the other three. When this is the case,

managers need training in how to become effective downward communicators.

Furthermore, managers must also think of the most appropriate communication

channels to use when sending downward messages. A 2004 article in

Management Report titled “Downward Communication” listed a wide range of

possibilities for communicating information downward: staff meetings, one-on-

one meetings, internal newsletters, employee information sheets, bulletin boards,

employee handbooks, and e-mail. [12] While all of these are options for

downward communication, not all of them are appropriate for every

communication situation. For example, you probably don’t want to chastise an

employee’s tardiness in a company newsletter, on a bulletin board, or during a

staff meeting; however, this form of downward communication could be

appropriately sent during a one-on-one meeting, through employee information

sheets, or in an e-mail. Ultimately, managers must be competent in how they

communicate down the hierarchy to their subordinates.

Now that we’ve looked at the types of messages sent down the hierarchy and the

different mediums a manager could use to send messages down the hierarchy,

let’s examine some of the problems with downward communication.

Problems with Downward Communication

Downward communication is an extremely important part of any organization.

However, Randy Hirokawa noted two primary problems associated with

downward communication: accuracy and adequacy. [13] Accuracy of information

refers to how truthful a message is that has been received. There are two primary

ways that the accuracy of a message can be distorted. First, some messages are

simply based on inaccurate information. For example, a manager who hears a

false rumor and then passes the rumor on to her or his subordinates has passed

on inaccurate information. Obviously, when the truth of the rumor is learned by

subordinates, the manager’s credibility will be negatively impacted, because her

or his subordinates will perceive the manager as not being a trustworthy source

of information. The second way messages can contain inaccurate information is

as a result of multiple people in the communication chain or, as W. Charles

Redding calls it, serial transmission. [14] As we know from playing the telephone

game in school, when A communicates to B and B communicates to C and C

communicates to D, the chances of the message becoming distorted with each

passing person become more likely. Even in the case of serial transmission of

information (AàBàCàD), managers who are caught communicating inaccurate

information can expect to have employees question their credibility. Another

ramification of passing on inaccurate information is that some subordinates will

start to question how connected their supervisor is to the organizational

hierarchy. Basically, if my supervisor is passing on inaccurate information, then

clearly he or she doesn’t really know what’s going on at all.

A second problem associated with downward communication refers to the

adequacy of the information being communicated. Adequacy of information

refers to whether or not the information being communicated is sufficient to

satisfy a requirement or need for information in the workplace. When discussing

adequacy, there are two possible extremes that managers could swing to:

communication underload and communication overload. Communication

underload occurs when subordinates are not provided enough information to

complete their jobs. Communication underload can come in the form of

inadequate on-the-job training, limited feedback from one’s supervisor, or

insufficient information on policies and procedures in the organization. Often,

communication underload is completely accidental and occurs as an inadvertent

omission. In this case, supervisors themselves may have too many things going

on, and information is accidentally not passed on to their subordinates in a

timely fashion or at all. At other times, communication underload can occur

because a supervisor feels the need to hoard information in an effort to secure

her or his power base. Individuals often see information as power and

transmitting that information to another person as a loss of power. [15] When

information hoarding occurs, subordinates may be given just enough information

to not make their supervisor look bad but not enough information to truly excel

at their jobs. For obvious reasons, information hoarding can be a very large

problem in organizations.

The second problem associated with adequacy of information involves

communication overload, or when subordinates are provided too much

information to complete their jobs. In an ideal work environment, supervisors

will function as gatekeepers of information and make sure that adequate

information is passed on to a subordinate to help the subordinate excel in her or

his job. Unfortunately, some supervisors do not know how to function as

gatekeepers, so they pass along any information they receive to their

subordinates without filtering information that is not useful for their

subordinates. Eventually, subordinates can become so overwhelmed with the

number of messages being received that they spend much of their workday

simply sifting through information, which decreases their ability to be

productive. [16] Other individuals faced with communication overload simply

start ignoring all the information coming in, because it’s easier to ignore

information than to sift through it all. Communication overload is generally a

product of channel capacity, or an individual’s limits to receiving information. [17] Some information is easy for an individual process, but other information

involves considerably more effort on the part of the receiver. The more technical

and complex the information, the smaller an individual’s channel capacity for

handling the information will be.

In addition to Randy Hirokawa’s two primary problems associated with

downward communication, we believe there is a third problem with downward

communication: utility. [18] Utility involves whether or not the information

provided is actually useful. Often, information that is transmitted to an

individual within an organization is completely useless to that individual. For

example, one of the coauthors of this book was paid to go to a meeting about

new computer software the organization wasn’t planning on purchasing. In this

instance, the subordinate (our coauthor) was actually sent for training on a

software package that the subordinate would never see and never use. In this

case, our coauthor not only wasted time going to this meeting, but the

organization paid our coauthor to go to this meeting, and the organization paid

the person making the presentation. In essence, both time and money were

wasted on information that had no utility to either the individual employee or the

organization.

Effective Methods for Downward Communication

Now that we’ve looked at some of the problems organizations face with

downward communication, let’s examine some best practices for downward

communication. First, individuals who are engaged in downward communication

need to make sure that the information they are passing on to those below them

is first and foremost accurate. If this means spending a little extra time verifying

information, then verify the information. A supervisor may have to spend a

couple of extra minutes verifying information, but this is a better trade-off than

having to rebuild one’s credibility.

Second, make sure that the amount of information you are passing along to your

subordinates is adequate and can be utilized. To ensure that you are avoiding

communication underload and communication overload, you should do two

things: filter and ask. The first way to ensure your subordinates are receiving

adequate information is to filter out information that isn’t necessary for your

subordinates. Filtering out information for one’s subordinates is not an easy task.

One easy way to help filter information is to ask yourself, “Will this information

help my subordinates personally or professionally?” Some information could

help your subordinates personally—workshops on avoiding stress, time

management, or conflict management. Other information can help your

subordinates professionally: information related to job duties, information on

career advancement, and information related to organizational policies and

procedures. In addition to attempting to filter information for your subordinates,

you can always ask your subordinates if they feel they are getting enough

information. Often, subordinates will be the first to tell you when they feel

under- or overinformed.

The third best practice in downward communication involves the source of the

message. Obviously, the source of the message has a strong impact on how

people interpret the importance of the message itself. For example, messages

received from the CEO of an organization will receive more weight than a

message from a midlevel manager. For this reason, important messages should

come from the top of the hierarchy and be transmitted as directly as possible to

the employees to avoid serial transmission.

The fourth best practice in downward communication involves the type of

communication channels utilized for the downward transmission of a message.

By communication channels, we are referring to the traditional notion of

communication channels commonly held in organizations. When encoding a

message for transmission through the organizational hierarchy, one needs to

think about the most expedient method for delivering the message itself. As

previously discussed, the more individuals a message is transmitted through, the

greater the likelihood that the message itself will become distorted.

The fifth best practice in downward communication involves mindfully choosing

the communicative medium utilized for downward communication. As discussed

earlier in this chapter, Katz and Kahn’s typology of downward communication

consists of five different types: job instructions, job rationales, procedures and

practices, feedback, and indoctrination. [19] When encoding various messages

related to these five types of downward communication, managers need to

realize that the same communicative medium may not be the most effective tool

for every message communicated. A variety of different types of communicative

mediums could be utilized: staff meetings, one-on-one meetings, internal

newsletters, employee information sheets, bulletin boards, employee handbooks,

e-mail, employee social networking sites, and so on. In fact, if a piece of

information is extremely important, communicating the information through

multiple mediums may also be important. One of our coauthors had a former

student named Chad who worked for a large discount chain as a frontline

customer services representative in the technology department. Chad found out

one day that he had violated a new rule set forth by the organization but that he

didn’t know existed. When he asked his manager about the new policy, Chad

was told that he should have received an e-mail about the new rule in his

employee e-mail account. To make this situation even more problematic, Chad

didn’t know that he had an employee e-mail account. Chad discovered that the

corporation had an intranet, and all employees were supposed to check their e-

mail prior to clocking in for work. Chad asked some of his coworkers if they

knew about employee e-mail accounts and found that apparently no one knew

about the e-mail accounts. This example illustrates what can happen when

organizations utilize only one communicative medium for important downward

messages.

The story about Chad also illustrates our final recommendation for best practices

in downward communication—checking for understanding. The message

received, not the one sent, is the one that a receiver will ultimately act upon in an

organization. [20] Or, as in the case of Chad, the lack of message reception is also

a problem. It’s one thing to tell someone something and completely different to

have communicated with someone. Telling is a sender-centered communicative

strategy because the sender encodes a message and transmits the message. [21] However, the sender does not make sure that a receiver actually receives the

message or correctly interprets the message itself. Furthermore, the meaning of a

message is one that is determined by the receiver, not by the sender. [22] In the

case of telling, the receiver is completely taken out of the communication

process, so the chance of misunderstandings and missed communication

increases dramatically. For this reason, we recommend that downward

communication be followed up by some kind of interaction with the individuals

being sent a message to ensure that the message is being received and interpreted

in a manner consistent with the sender’s original intent. To ascertain message

reception and interpretation, supervisors need to encourage their subordinates to

participate in upward communication.

Upward Communication

Upward communication consists of messages that start at the bottom of the

hierarchy and are transmitted up the hierarchy to the highest rungs. Upward

communication can be considered a bottom-up approach to organizational

communication. Randy Hirokawa noted that upward communication serves four

very important functions in the modern organization. [23] First, upward

communication allows management to ascertain the success of previously

relayed downward communication. Second, upward communication allows

individuals at the bottom of the hierarchy to have a voice in policies and

procedures. Hirokawa clarifies, “Perhaps even more importantly, upward

communication, because it allows subordinates to participate in the decision-

making process, also facilitates the acceptance of those decisions which they had

a part in making.” [24] Third, upward communication allows subordinates to

voice suggestions and opinions to make the working environment better. As

Elton Mayo discovered during the employee interview program as part of the

Hawthorne Works Studies, employees have a lot to say about their working

conditions and how to make the organization more efficient. [25] Furthermore,

simply asking employees for their suggestions and opinions was found to

increase job satisfaction. Lastly, upward communication allows management to

test how employees will react to new policies and procedures. Often, before

radical changes are made to an organization, management will try to use focus

groups of subordinates to gauge their reactions to impending changes. These

reactions can then be used in the framing of the communicative messages about

the impending changes to the entire organization.

As a side note, we feel it is important to also stress research examining sex

differences in upward communication. [26] The researchers noted females who

provide more upward communication are more likely to advance and be

promoted than those females who did not. As such, in a world where women are

still underpromoted in many organizations, mastering upward communication

can be very important for female workers.

Now that we’ve examined some of the basic reasons for upward communication

in organizations, we’re going to examine the types of upward communication in

organizations, problems with upward communication in organizations, and

effective methods for upward communication.

Types of Upward Communication

While numerous typologies examine the various types of messages transmitted

up a hierarchy, the most commonly cited typology was created by Katz and

Kahn. [27] Katz and Kahn’s typology breaks upward communication into four

distinct types: information about the subordinate herself or himself, information

about coworkers and their problems, information about organizational policies

and procedures, and information about the task at hand. Dennis Tourish and Paul

Robson argue that a fifth form of upward communication needs to be included in

this list: critical upward communication. [28]

Information about the Subordinate

The first form of upward communication discussed by Katz and Kahn involves

information about the subordinate herself or himself. [29] Information that can be

communicated upwardly about oneself typically falls into one of two categories:

personal information and professional information. Personal information that can

be communicated upwardly involves information that is more intimate in nature.

For example, you can talk to your supervisor about your friends and families,

hobbies, psychological/medical problems, and so forth. This information helps

subordinates establish a more understanding relationship with their supervisors.

Professional information that can be communicated upwardly involves issues

related to job performance or problems related to work. For example, maybe

you’re having a great quarter and want to communicate this to your supervisor.

On the other hand, maybe you’re really having a problem with one specific facet

of your job, and you need help or more time. Perhaps you’re supposed to write a

report, but the report keeps getting pushed further and further down your priority

list as new projects come your way.

Information about Coworkers and Their Problems

The second form of upward communication discussed by Katz and Kahn

involves information about coworkers and their problems. [30] Often managers

are completely removed from what is actually going on with their subordinates,

because the managers’ attentions are not completely focused on their

subordinates. Despite what subordinates often think, managers have their own

workloads that must be taken care of in addition to their managerial duties. For

this reason, managers are often simply unaware of what is going on with their

subordinates. In order to combat this lack of clarity, managers often rely on

subordinates to report problems. One of our coauthors worked for a medical

school overseeing medical students, interns, residents, and teaching faculty. One

of the medical interns was actually showing up to work intoxicated. The only

reason our coauthor found out about this was when one of the teaching faculty

called to report the problem. While it was our coauthor’s job to oversee

situations like these, if our coauthor had never been told there was a problem, the

problem would have continued and could have led to serious consequences both

medically and legally. Another facet of this problem occurs when subordinates

are not able to complete their job duties. People can become very adept at hiding

what they don’t know and can’t do when necessary. Others will only actively

work when they are under immediate supervision; however, once the supervision

leaves, the individuals stop working. The only way a supervisor has any chance

of finding out about either of these situations is to rely on other subordinates to

report what’s happening. While children are taught that tattling is a horrible

thing, often telling a supervisor what a coworker is or is not doing is extremely

important. Whether the coworker simply needs more training or needs to be

reprimanded, the only way a supervisor can correct behavior is if he or she

knows about the problem in the first place. To help with this process, many

organizations have actually initiated anonymous complaint/report phone lines.

Individuals who see someone behaving in a dangerous or unethical manner can

anonymously call the phone line and leave a message about the problem, and the

organization can then start an internal investigation.

Organizational Procedures and Practices

The third form of upward communication discussed by Katz and Kahn involves

information about organizational procedures and practices. [31] As previously

discussed in this chapter, procedures are sequences of steps to be followed in a

given situation, whereas practices are behaviors people should do habitually.

Within any organization there are procedures and practices related to policies

(courses of action taken in the organization), rules (standards or directives

governing behavior), and benefits (payment and entitlements one receives with

the job). Upward communication about procedures and practices can help

management see where policies, rules, and benefits can be more influential or

streamlined. Often, management creates procedures and practices for how things

ought to be accomplished without ever having to implement the procedure or

practice themselves. The only way management can know if the procedures and

practices are causing unneeded stress or loss of resources is if the people who

have to enact those procedures and practices explain the problem.

Task at Hand

The last form of upward communication discussed by Katz and Kahn involves

information about the task at hand. [32] This last form of upward communication

is specifically directed to communicate information to management that helps an

individual complete her or his job. Types of messages that could fall into this

category include asking for more information, asking to have a task clarified,

asking for additional resources to complete the task, keeping a supervisor

informed of a timetable for completion, or explaining the current status of a

project. All these different types of messages enable the subordinate to either ask

questions about the task or inform his or her supervisor about the task. While

communicating information about oneself is probably most important during the

initial stages of relationship development with one’s supervisor, communicating

information about tasks to one’s supervisor is the most common form of upward

communication and the most important over time.

Critical Upward Communication

In addition to the four forms of upward communication discussed already,

Tourish and Robson argue that a fifth form of upward communication needs to

be included in this list: critical upward communication. [33] Critical upward

communication is “feedback that is critical of organizational goals and

management behavior.” [34] Critical upward communication has been discussed

under many different terms: “employee voice, issue selling, whistle-blowing,

championing, dissent and boat rocking.” [35] Everyday individuals in

organizations around the world make decisions about whether to communicate

critically about organizational goals and management behavior. To help us

understand upward communication, let’s briefly examine two communication-

related variables: employee silence and organizational dissent.

Employee Silence

A lot of the focus in communication research is on talking, but Richard

Johannesen explained that researchers needed to start understanding the vital

role that silence can play in human communication within a variety of contexts. [36] The first researchers to examine in the organizational literature the impact

silence can have in the workplace were Elizabeth Morrison and Frances

Milliken. [37] Employee silence is fundamentally understood as a

communication phenomenon in which employees intentionally or

unintentionally withhold information that might be useful to a leader or her or

his organization. [38] Morrison and Milliken argued that employees remain silent

because of their manager’s behavior with regard to upward communication.

Specifically, “Silence is an outcome that owes its origins to (1) managers’ fear of

negative feedback and (2) a set of implicit beliefs often held by managers.” [39] Imagine you’re working in a pizza shop and you try to explain to your

manager that simply rearranging some of the ingredients would actually make

putting the pizza together faster. If the manager shoots you down or gives you

dirty looks at the suggestion, you will be less likely to offer advice in the future.

There are three common forms of employee silence: acquiescent silence,

defensive silence, and prosocial silence. [40] First, acquiescent silence occurs

because employees are disengaged in the workplace and feel they simply cannot

make a difference. As such, they withhold information or simply do not bother

offering suggestions because they believe that it is impossible to make a real

difference in their organization. Second, defensive silence occurs as a form of

self-protection for employees. If an employee believes that speaking up will put

her or him at risk, then that employee will be less likely speak up. These people

withhold information or omit facts because they fear some kind of organizational

retaliation. Lastly, prosocial silence occurs because employees want to appear

cooperative and/or altruistic in the workplace. Organizations where conflict is

discouraged or avoided can lead people to withhold information to appear

cooperative or protect “proprietary knowledge to benefit the organization.” [41]

In a study examining employee silence in the workplace, Surahmaniam

Tangirala and Rangaraj Ramanujam found that employees who were “silenced”

in the workplace perceived their working environments as unjust, did not

identify with their organizations, and were not professionally committed to their

organizations. [42] In another study, Jason Wrench operationalized a set of

theoretical items originally proposed by Morrison and Milliken into a research

measure. [43] In the study, Wrench set out to examine the relationship between

organizational politics and various other organizational constructs. Specifically

related to employee silence, Wrench found that acquiescent and defensive

silence negatively related to employee motivation and job satisfaction.

Conversely, prosocial silence positively related to employee motivation and job

satisfaction. Overall, this study demonstrates the impact that silence can have on

an individual’s happiness in the workplace.

While employee silence has received a lot of traction in academic circles since

2000, a number myths about employee silence have developed: [44]

Myth: “Women and nonprofessional employees withhold more information

than men and professional staffers because they are more concerned about

consequences or more likely to see speaking up as futile.” Reality:

Research has found no evidence that any of this is true. In fact, the studies

that have examined gender differences have turned up no evidence to

support that women and men utilize silence in the workplace to differing

degrees. Furthermore, neither education nor income is also a good predictor

of who will be silent.

Myth: “If my employees are talking openly to me, they’re not holding

back.” Reality: Research has found that 42 percent of people admit to

purposely withholding information when there is nothing to gain or

something to lose by divulging that information. [45] As such, people may

be talking, but they may not be actually giving management a complete

picture.

Myth: “If employees aren’t speaking up, it’s because they don’t feel safe

doing so, despite all my efforts.” Reality: While there are many employees

who will remain silent out of fear, 25 percent of employees withhold

information simply to avoid wasting time. [46] Unfortunately, when

employees make decisions on what is useful or nonuseful information,

those decisions may not be completely informed or accurate.

Myth: “The only issues employees are scared to raise involve serious

allegations about illegal or unethical activities.” Reality: Obviously,

whistleblowing, the act of disclosing an illegal or unethical activity, can

definitely make people a little anxious. However, 20 percent of employees

admit that “fear of consequences has led them to withhold suggestions for

addressing ordinary problems and making improvements. Such silence on

day-to-day issues keeps managers from getting information they need to

prevent bigger problems.” [47]

Overall, employee silence is a stifling behavior that has numerous negative

effects on how people communicate and interact within the workplace. Let’s

switch our attention to the other end of the communication spectrum and discuss

how employees articulate dissent within the workplace.

Organizational Dissent

Jeffrey Kassing proposed a model for what he termed organizational dissent as

having two basic processes: (1) individual employee feels apart from her or his

organization, and (2) the employee expresses disagreement about some aspect of

her or his organization’s philosophy or behavior. [48] The second of these

processes is similar to Tourish and Robson’s notion of critical upward

communication. [49] Kassing believed that dissent is a “subset of employee voice

that entails the expression of disagreement or contradictory opinions in the

workplace.” [50] Ultimately, the concept of organizational dissent stems out of

the basic American value of freedom of speech, where it is promoted that good

citizens should be able to express their disagreement. However, in the

organizational realm, employees must carefully decide whether expressing

disagreement is worth the possible ramifications of disagreeing: “employees

assess available strategies for expressing dissent in response to individual,

relational, and organizational influences and that they actually express dissent

after considering whether they will be perceived as adversarial or constructive

as well as the likelihood that they will be retaliated against.” [51] Ultimately,

Kassing argued that there are three primary types of organizational dissent:

articulated/upward, latent/lateral, and displaced. [52] The “Organizational Dissent

Scale” sidebar contains the scale created by Kassing to measure employee

dissent.

Organizational Dissent Scale

This is a series of statements about how people express their concerns about

work. There are no right or wrong answers. Some of the items may sound

similar, but they pertain to slightly different issues. Please respond to all

items. Considering how you express your concerns at work, indicate your

degree of agreement with each statement by placing the appropriate number

in the blank to the left of each item.

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. I am hesitant to raise questions or contradictory opinions in my

organization. _____

2. I refuse to discuss work concerns at home. _____

3. I criticize the inefficiency in this organization in front of everyone.

_____

4. I do not question management. _____

5. I’m hesitant to question workplace policies. _____

6. I join in when other employees complain about organizational changes.

_____

7. I make it a habit not to complain about work in front of my family.

_____

8. I make certain everyone knows when I’m unhappy with work policies.

_____

9. I don’t tell my supervisor when I disagree with workplace decisions.

_____

10. I discuss my concerns about workplace decisions with family and

friends outside of work. _____

11. I bring my criticism about organizational changes that aren’t working to

my supervisor or someone in management. _____

12. I let other employees know how I feel about the way things are done

around here. _____

13. I speak with my supervisor or someone in management when I question

workplace decisions. _____

14. I rarely voice my frustrations about workplace issues in front of my

spouse/partner or nonwork friends. _____

15. I make suggestions to management or my supervisor about correcting

inefficiency in my organization. _____

16. I talk about my job concerns to people outside of work. _____

17. I do not express my disagreement to management. _____

18. I hardly ever complain to my coworkers about workplace problems.

_____

19. I tell management when I believe employees are being treated unfairly.

_____

20. I talk with family and friends about workplace decisions that I am

uncomfortable discussing at work. _____

Scoring

To compute your scores, follow these instructions:

1. Articulated

Step 1: Add scores for items 11, 13, 15, and 19 Step 2: Add scores for items 1, 4, 5, 9, and 17 Step 3: Add 24 to Step 1

Step 4: Subtract the score for Step 2 from the score for Step 3

2. Displaced

Step 1: Add scores for items 2, 10, 16, and 20 Step 2: Add scores for items 7 and 14 Step 3: Add 12 to Step 1 Step 4: Subtract the score for Step 2 from the score for Step 3

3. Latent

Step 1: Add scores for items 3, 6, 8, and 12 Step 2: Add scores for item 18 Step 3: Add 6 to Step 1 Step 4: Subtract the score for Step 2 from the score for Step 3

Interpreting Your Score

For Articulated Dissent, scores should be between 9 and 45. If your score is

36 or higher, you engage in above-average levels of articulated dissent. If

your score is 35 or below, you engage in below-average levels of articulated

dissent.

For Displaced Dissent, scores should be between 6 and 30. If your score is 19

or higher, you engage in above-average levels of articulated dissent. If your

score is 18 or below, you engage in below-average levels of articulated

dissent.

For Latent Dissent, scores should be between 5 and 25. If your score is 14 or

higher, you engage in above-average levels of articulated dissent. If your

score is 13 or below, you engage in below-average levels of articulated

dissent.

Source: Kassing, J. W. (1998). Development and validation of the

Organizational Dissent Scale. Management Communication Quarterly, 12,

183–229. Reprinted with permission by Jeffrey W. Kassing.

Articulated/upward dissent “involves expressing dissent within organizations

to audiences that can effectively influence organizational adjustment and occurs

when employees believe they will be perceived as constructive and that their

dissent will not lead to retaliation.” [53] Kassing further noted that subordinates

can employ five different types of dissent strategies: direct-factual appeal,

solution presentation, repetition, circumvention, and threatening resignation. [54] The first articulated dissent strategy is direct-factual appeal, which is when

“people provide factual information based on their own work experience and

their understanding of company policies and practices when they express their

disagreement to their supervisors.” [55] The second articulated dissent strategy is

solution presentation, which is when a subordinate offers a solution to a

workplace problem while raising concerns about the problem itself. The third

articulated dissent strategy is repetition, or when a subordinate raises the same

issue over and over again over a period of time. The idea behind repetition is that

if the problem is brought up repeatedly, the supervisor may be more inclined to

eventually do something about the problem. The fourth articulated dissent

strategy is circumvention, which is when a subordinate goes around her or his

immediate supervisor to someone higher up the hierarchy in an attempt to get

some kind of action taken. While circumventing one’s immediate supervisor can

be very dangerous, there are often times when it is necessary. For example, many

organizations have procedures for reporting sexual harassment. The most

common first step in sexual harassment procedures is to report any harassing

behavior to your immediate supervisor, but what if your immediate supervisor is

the one harassing you? Many organizations realize that supervisor harassment

can be a problem, so they actually designate someone within the organization as

the “go-to” person for incidents of harassment. In these cases, individuals lower

on the hierarchy are able to circumvent their supervisors and report the

harassment to someone higher on the hierarchy. The last articulated dissent

strategy is to threaten resignation. This dissent strategy is fairly simple: do what

I want or I quit. Of course, this dissent strategy is only effective if the person

dissenting is actually ready to resign. Never use threatening resignation as a

bluffing tactic, because your supervisor may just decide to call your bluff.

The second type of organizational dissent, latent/lateral dissent, consists of

communicative behavior “that involves complaining to coworkers and voicing

criticism openly within organizations.” [56] Kassing labeled this form of dissent

“latent dissent” because the term “suggests that dissent readily exists but is not

always observable and that dissent becomes observable when certain conditions

exists (i.e., when frustration mounts).” [57] This form of organizational dissent is

actually a form of horizontal or lateral organizational communication, which will

be discussed later in this chapter.

The third type of organizational dissent, displaced dissent, occurs when an

individual decides to express her or his frustration about the workplace to friends

and family members not involved in the work itself. Let’s face it, there are times

when we all need to vent about the place we work, so most people do engage in

some form of displaced dissent. Displaced dissent becomes problematic when it

is the only form of dissent expressed, because organizational leadership and

followers have no idea that there is dissent. One of our coauthors had a job

where they were disconnected and unhappy with their working conditions. Over

time, the work felt less and less interesting, so our coauthor started looking for

another job. When our coauthor finally submitted a letter of resignation,

everyone was completely surprised because no one saw it coming.

Related Research

Investigating the Relationship between Superior-Subordinate Relationship

Quality and Employee Dissent

By Jeffrey W. Kassing (2000) [58]

In this study, Kassing set out to examine the relationship between

subordinate-supervisor relationship quality and subordinate utilization of

articulated and latent dissent. He recruited 232 employees who worked in

various organizations throughout Arizona. His sample consisted of 113

females (56 percent) and 99 males (43 percent) with 1 percent not responding

to the question regarding biological sex. The mean age of the participants was

37.08, and the average length of time on their current job was 5.72 years. The

study contained individuals at various levels of organizational hierarchies: 6

percent held top-management positions, 30 percent held management

positions, 57 percent held nonmanagement positions, and 6 percent held other

organizational positions.

In this study, Kassing had two basic hypotheses he wanted to test:

H1: Subordinates who perceive having high-quality relationships with their

supervisors will report using significantly more articulated dissent than

subordinates who perceive having low-quality relationships with their

supervisors.

H2: Subordinates who perceive having low-quality relationships with their

supervisors will report using significantly more latent dissent than

subordinates who perceive having high-quality relationships with their

supervisors.

To test these two hypotheses, Kassing used his measure of organizational

dissent along with a measure of subordinate-supervisor relationship quality.

Using the measure of subordinate-supervisor relationship quality, Kassing

created two groups by taking those who scored above the median (indicating

high relationship quality) and those who scored below the median (indicating

low relationship quality). Kassing then examined if these two groups differed

in their use of articulated and latent dissent.

The results for the first hypothesis indicated that those individuals who

reported having high relationship quality with their supervisors were more

likely to engage in articulated dissent than those who reported having low

relationship quality with their supervisors. Ultimately, the first hypothesis

was supported by the results.

The results for the second hypothesis indicated that those individuals who

reported having low relationship quality with their supervisors were more

likely to engage in latent dissent than those who reported having high

relationship quality with their supervisors. Ultimately, the second hypothesis

was supported by the results.

Based on the results from this study, we learn that the quality of relationship

an individual has with her or his immediate supervisor has a direct impact on

both articulated and latent organizational dissent.

The final type of dissent is referred to as displaced dissent and occurs outside the

confines of the organization itself. When an employee feels that dissent in the

workplace could be harmful, he or she will often express dissent to friends and

family members. Ultimately, whether an individual decides to express dissent

within the organization (upward or lateral) depends on how he or she views the

risks of doing so. If someone fears retaliation, bullying, or ostracism because of

dissent, he or she will be less likely to engage in dissent within the workplace. [59]

Research has also shown a relationship between employee silence and

organizational dissent. [60] Specifically related to employee silence, Wrench

found that acquiescent and defensive silence negatively related to articulated

dissent and positively related to latent dissent. Conversely, prosocial silence

positively related to articulated dissent and negatively related to latent dissent.

Overall, this research demonstrates a clear relationship between the use of

silence within an organization and the way an employee expresses her or his

dissent.

Problems with Upward Communication

Randy Hirokawa noted two primary problems associated with upward

communication: distortion and filtering. [61] Researchers have found that 85

percent of individuals had on at least one occasion “felt unable to raise an issue

or concern to their bosses even though they felt that the issue was important.” [62] In essence, subordinates purposely do not communicate information to their

supervisors, which ultimately distorts the overall picture a supervisor has of what

is going on in the workplace. The first study conducted on the issue of upward

distortion was Glen Mellinger’s groundbreaking work on the subject. [63] Frederic Jablin summarized Mellinger’s findings in this manner: “Results of

this early inquiry into message distortion revealed that when Individual A does

not trust Individual B, Individual A will conceal his/her feelings when

communicating to B about a particular issue. Moreover, concealment of

Individual A’s true feelings was found to be often associated with evasive,

compliant, or aggressive communicative behavior on his/her part and with

under- or overestimation of agreement on the issue by individual B.” [64]

In essence, when a subordinate is not forthcoming with her or his thoughts on an

issue, a supervisor often guesses what she or he thinks about the specific issue.

Now that we’ve examined Randy Hirokawa’s first problem associated with

upward communication (distortion), [65] we need to focus on the “three possible

culprits” of failure in upward communication: trust, influence, and mobility. [66] The first reason upward distortion may happen is because a subordinate

doesn’t trust her or his supervisor. If a subordinate does not perceive her or his

supervisor as trustworthy, the subordinate is simply more likely to avoid telling

the supervisor anything other than absolutely necessary information. The second

reason upward distortion may occur is a result of subordinate perceptions of

supervisor influence over the subordinate’s future. Subordinates who perceive a

supervisor as having a great effect on their futures could react in two totally

different ways. Some subordinates will be very open with communication in an

effort to build a stronger relationship with their supervisor, whereas other

subordinates will actually go along with whatever a supervisor wants even if the

subordinate thinks it’s a bad idea. In one case, a subordinate could end up

overcommunicating, while in the other case a subordinate ends up

undercommunicating, and either way the result is upward distortion. The third

reason for upward distortion relates to an individual’s desire to move up within

the hierarchy. It’s one thing for a supervisor to have influence over your career

path and a completely different thing to either care or not care about mobility.

In one study, the researchers examined four different organizations to see the

effect of trust, influence, and mobility on the quantity of upward communication. [67] They found that trust and influence both positively related to the quantity of

upward communication, and mobility did not really play a role in the quantity of

upward communication. This study was later replicated with the same results. [68] In essence, people who trust their supervisors and perceive their supervisors

as influencing their careers engage in more upward communication.

Communicating Ethically

From a subordinate’s perspective, is upward distortion ever an ethical

communicative practice? Often supervisors will want information from a

subordinate that could harm the subordinate or her or his coworkers, so

determining whether one should distort information or not can be a hard

thing. For example, what if your supervisor asks you about the recent

performance of one of your coworkers and your coworker’s performance was

subpar? Do you tell your supervisor the truth, knowing that the coworker

could be reprimanded or fired, or do you distort the facts in an effort to

“save” your coworker? People in organizations often distort information to

help themselves or their peers, but is it ever ethical?

On the other hand, what if your supervisor asked you about her or his

performance, which has been problematic; do you tell him the truth?

Obviously, it would be easy to say that communication distortion is always

unethical, but is that really the case? Can communication distortion be

ethical?

The second problem Randy Hirokawa noted with upward communication relates

to filtering. [69] Organizations today often suffer from what they term info-glut or

data smog, which is to say communication overload. [70] Just as we discussed

earlier in this chapter that downward communication can lead to communication

overload so can receiving too much information from one’s subordinates.

Ultimately, there is a fine line between the necessity of ensuring honest upward

communication and receiving too much upward communication. Supervisors

must learn how to filter out information from all directions that isn’t necessary,

but this is a skill that takes time and energy to learn. At the same time,

subordinates also need to learn what information is necessary for their

supervisors to have and what information is not necessary.

Effective Methods for Upward Communication

While there is no magic bullet for improving upward communication within an

organization, we do believe there are four best practices that all supervisors

should engage in: establish trust, use multiple mediums, show utility, and

decrease barriers. First, and definitely the most important best practice for

ensuring quality upward communication, is establishing a trusting relationship

with one’s subordinates. As discussed earlier in this section, trust clearly leads to

an increase in upward communication from one’s subordinates. [71] [72] When

subordinates trust their supervisors, they are more likely to engage in two-way

communication that is honest and productive.

Second, Hirokawa recommends that managers utilize multiple strategies when

soliciting upward communication. [73] Supervisors should use a variety of

strategies for increasing upward communication: routine discussion meetings,

supervisor’s appraisals of individual employees, manager’s appraisals of

individual supervisors, attitude surveys, employee suggestion programs,

grievance procedures, open-door policies, and exit interviews. [74] All these

different strategies can definitely help increase upward communication.

However, not all the strategies may be the most beneficial for all types of

information a supervisor needs, so a supervisor should think critically before

implementing one strategy over another.

The third best practice for increasing upward communication is to clearly show

that subordinate input is taken seriously. Too often people become discouraged

when their feedback is given and the feedback is never acknowledged or nothing

is done with it. Obviously, not all ideas subordinates have can be legitimately

implemented; however, we do recommend establishing a method for responding

to all ideas. For example, if you have an employee suggestion program, you may

also want to implement a section for responses to employee suggestions in the

organization newsletter. When employee suggestions cannot be implemented for

legitimate reasons, simply explaining why the suggestions cannot be

implemented is the best way to make employees feel that their ideas were taken

seriously even if not implemented. Furthermore, when you implement an

employee’s suggestion, make sure to communicate to everyone that this has

occurred, because it will increase the likelihood of future upward

communication by all employees. [75]

Lastly, Hirokawa also recommends decreasing physical barriers between

superiors and subordinates in an effort to increase interaction. [76] Based on

research in Japanese organizations, Hirokawa argued that Japanese managers

have more effective upward communication with their subordinates because the

managers spend more time on the workshop floor directly interacting with their

subordinates. [77] The idea of decreasing barriers is nothing new in the United

States. Bill Hewlett and David Packard created a management strategy in the

1940s simply titled Management by Walking Around (MBWA). MBWA is an

easy way for management to increase interaction with subordinates and ward off

potential organizational problems. [78] Too often, managers are overtaxed with

duties, and overseeing people is just one of many things managers have to

accomplish during a workday. However, the only way to really establish a

trusting relationship with one’s subordinates is through consistent face-to-face

interaction. However, three conditions are necessary for MBWA. [79] First,

managers need to interact with each subordinate and be prepared for honest

feedback. During these interactions, managers can learn about potential

problems and about what individual subordinates are doing. Second, managers

should encourage dialogue about nonwork topics. If a manager sticks strictly to

work topics, subordinates may perceive her or him as distant and

noncommunicative. Lastly, managers should not be critical of subordinates while

engaging in MBWA. The goal of MBWA is to encourage subordinates to open

up and communicate. If a manager is constantly criticizing people during her or

his treks out of the office, people will start to dread seeing the manager and will

be more likely to engage in upward distortion.

Horizontal/Lateral Communication

Horizontal or lateral communication consists of messages transmitted to other

individuals on the same rung of the organizational hierarchy. In essence,

horizontal or lateral communication occurs when individuals who have roughly

the same status interact with one another in an organization. Occasionally, these

lines of communication are firmly established within the organizational

hierarchy chart, but typically these lines of communication are not part of the

traditional hierarchical chart. As discussed in Chapter 3, one of the earliest

theorists on the nature of horizontal/lateral communication was a French mining

engineer named Henri Fayol. Fayol published his treatise on administration

called Administration Industrielle et Générale in 1916, [80] but he did not reach

English readers until 1949 when the text was translated by Constance Storrs as

General and Industrial Management. Fayol had lots of ideas on how

organizations should function, but his ideas on horizontal communication are

what we are interested in here. Fayol believed that communication within an

organization should travel up and down very clear channels. In Figure 5.1, we

see an example of an organizational hierarchy with one head administrator, two

supervisors, and six subordinates. Three of the subordinates work directly under

Supervisor A and three work directly under Supervisor B. According to Fayol, if

Subordinate 3a working under Supervisor A needs to communicate something to

Subordinate 1b working under Supervisor B, the message would have to go up

the hierarchy and then back down the hierarchy. In this case, Subordinate 3a

would communicate the message to Supervisor A, who would then communicate

the message to the head administrator. The head administrator would then

communicate the message to Supervisor B, who would finally communicate the

message to Subordinate 1b. However, Fayol did believe that an alternate chain of

communication is necessary during periods of crisis. When information needed

to get to someone quickly because of a crisis, Fayol created a mechanism that

would temporarily bridge two individuals on the same level of the hierarchy.

Figure 5.2 illustrates how the Fayol Bridge would work. During a crisis,

Subordinate 3a would communicate to Supervisor A the importance of getting

the information to Subordinate 1b quickly. If Supervisor A believes that the

speed at which Subordinate 1b receives the information is important, then

Supervisor A will give permission to Subordinate 3a to transmit that information

directly to Subordinate 1b.

Figure 5.1 Scalar Chain

Figure 5.2 Fayol’s Bridge

The idea of hierarchical control over messages was very commonplace all the

way through the 1950s: “Although communication between departments on the

same level occurs, theoretically it is not supposed to be direct. Reports, desires

for services, or criticisms that one department has of another are supposed to be

sent up the line until they reach an executive who heads the organizations

involved. They are then held, revised, or sent directly down the line to the

appropriate officials and departments. The reason for this circuitous route is to

inform higher officials of things occurring below them.” [81]

When one reads this quotation from Miller and Form, one is led to believe that

vertical (upward and downward) communication is the most common channel of

communication in organizations, and it should be. [82] However, the type of

organization is the ultimate determinant of whether primarily vertical

communication or horizontal communication is occurring. [83]

By the 1960s and 1970s, researchers began to realize that the idea of primarily

vertically oriented communication was highly unrealistic and not necessarily

beneficial to organizations. Furthermore, horizontal/lateral communication

actually enabled lower-level supervisors to engage in automatic

horizontal/lateral communication. By automatic, Joseph Massie was referring to

“habitual, routine, and spontaneous reaction of managers to a problem

situation.” [84] Ultimately, enabling lower-level managers to decide courses of

action on some decisions relieved high-level administrators “not only from

making some decisions but also from consciously structuring the decision-

making pattern for lower level managers.” [85] This process of allowing

individuals at various levels of the hierarchy to participate in decision making

and implementing courses of action is called decentralization, because the

decision making is disbursed through the organization instead of being centered

at the top of the hierarchy. [86] [87] Furthermore, decentralization of decision

making greatly reduces the problems associated with serial transmission of

messages. Earlier in this chapter, we discussed how serial transmission of

messages leads to all kinds of problems, and the more rungs up and down a

hierarchy a message must travel, the greater the chance of message distortion. [88] Now that we have examined the basic perspectives on horizontal/lateral

communication, we can examine the types of horizontal/lateral communication,

problems with horizontal/lateral communication, and effective methods for

horizontal/lateral communication.

Types of Horizontal/Lateral Communication

According to Randy Hirokawa, there are four functions to horizontal

communication: task coordination, problem solving, sharing of information, and

conflict resolution. [89] The function of horizontal/lateral communication is to

help organizational members coordinate tasks to help the system achieve its

goals. Often people in different departments are completely unaware of how

their department impacts another department’s ability to function. When

different departments are brought together and shown how each department

helps the organization strive for its goals, departments are able to ascertain how

they can actually help each other more effectively.

The second function of horizontal/lateral communication is to allow

organizational members to solve problems. The basic process of “brainstorming”

is always more effective when you have numerous departments thinking about

how to solve specific problems. For example, if your entire organization is

having problems with recycling, it wouldn’t be beneficial if members from only

one department got together to talk about the problem. When there are

systemwide problems facing an organization, the organization needs systemwide

solutions.

The third function of horizontal/lateral communication is sharing information

among organizational members. As we’ve already mentioned in this chapter,

there are numerous reasons individuals may be reluctant to share information,

but when people hoard information the overall organization suffers. The need for

sharing can be explained in this way: “It is through the sharing of information

that organizational members become aware of the activities of the organization

and their collegues [sic].” [90]

The final function of horizontal/lateral communication is conflict resolution.

When individuals are in conflict, the easiest way to solve the conflict is through

direct interaction. Often, simple conflicts are a result of misunderstandings that

can become exacerbated if not handled quickly and efficiently. For this reason,

“In the presence of conflict between organizational members within a

department or section, the ability to discuss the matter of concern can often lead

to a resolution of the conflict.” [91] If an organization opts to utilize Fayol’s

(1916) ideas of horizontal communication, “One would have to go half-way

around the organizational hierarchy to get a message to a collegue [sic] if one

were to remove horizontal channels.” [92] As always, the more direct the path of

communication is, the more likely the message will remain uncorrupted.

Problems with Horizontal/Lateral Communication

As with both vertical types of communication, horizontal/lateral communication

is not without its share of problems. In fact, Valerie McClelland and Richard

Wilmot reported a study conducted by the consulting group Wilmot Associates

in which “more than 60 percent of employees in a variety of organizations say

that lateral communication is ineffective. [93] More specifically, about 45 percent

say communication between peers within departments is inadequate, and 70

percent claim that communication between departments must improve.” [94] In

fact, the literature has shown us four basic issues that negatively affect

horizontal/lateral communication within an organization: lack of rewards,

competition, intraorganizational conflicts, and lack of lateral understanding.

No Reward Structure

The first issue that can negatively affect horizontal/lateral communication within

an organization occurs as result of no reward structure for horizontal/lateral

communication. Classical theories of organizational communication didn’t even

recognize horizontal/lateral communication as an important function, let alone

something that should be openly encouraged. [95] People who work in

organizations are often given numerous tasks, and behaviors that are not

rewarded by the organization are simply ignored and seen as nonessential. For

this reason, many organizations have a serious lack in both quantity and quality

of horizontal/lateral communication.

Interdepartmental Competition

The second issue that can negatively impact horizontal/lateral communication

occurs as a result of interdepartmental competition. Both Hirokawa and

McClelland and Wilmot note that many organizations purposefully pit

departments against each other. [96] [97] When departments are forced to

compete, there should be no surprise that hoarding information becomes a

common phenomenon. Hirokawa noted that this desire for interdepartmental

competition is a uniquely American concept. In his analysis comparing

American and Japanese organizations, this sense of competition often “as long

as American management continues to stress and encourage individual initiative

and achievement, problems of restricted organizational communication and

information hoarding are bound to continue, because employees realize the

power that information gives them.” [98] Japanese organizations, on the other

hand, foster a sense of collaboration, which actually leads to an increase in both

the quality and quantity of horizontal/lateral communication.

Intraorganizational Conflicts

The third issue that can negatively impact horizontal/lateral communication

arises from intraorganizational conflicts. “Any time that individuals from

different departments within an organization interact, there is always a potential

for conflict.” [99] The most common reason for interdepartmental conflict is a

perception of incompatible goals. If the software development department wants

to take time to get the kinks out of a new product, but the marketing department

wants to get the product in customers’ hands immediately, there will be conflict.

When people perceive conflict as an innately negative endeavor, they are more

likely to resist any contact that could lead to a conflict. We will discuss the

process of conflict in much greater detail in Chapter 13.

Inadequate Lateral Understanding

The final issue that can negatively impact horizontal/lateral communication

occurs as a result of inadequate lateral understanding. [100] Lateral understanding

is the degree to which individuals within an organization understand the purpose

and functions of what individuals do in various departments throughout the

organization. Employees often waste very valuable time trying to figure out who

does what in an organization when a problem arises. As McClelland and Wilmot

wrote, “Employees don’t understand the goals, responsibilities and capabilities

of other departments…this is evident even at senior levels.” [101] There are three

major outcomes related to inadequate lateral understanding: waste of time, work

overlapping, and poor decision making. First, people ultimately waste a lot of

time attempting to determine who they should be contacting in the first place.

Second, you may end up with two employees in two departments basically

performing the exact same task without realizing that someone else is

completing the task. Lastly, managers will often make decisions that negatively

impact other departments without even knowing this has occurred.

Effective Methods for Horizontal/Lateral Communication

In an attempt to help organizations communicate more effectively, McClelland

and Wilmot devised a series of seven best practices that organizations should

adopt to improve horizontal/lateral communication: develop lateral

understanding, have a flexible chain of command, share clear and consistent

direction, set the example, institute lateral teams, ensure accountability to

departments and organization, make training available, and develop dialogue

between shifts and locations. [102] The first way to improve horizontal/lateral

communication is to increase lateral understanding. As previously discussed,

when people don’t understand what other parts of the organization are doing, the

result is people wasting time and resources, duplicating work, and/or making

decisions that negatively impact other departments. Lateral understanding should

become a priority for all individuals within an organization from the very top to

the very bottom. In fact, holding “a forum in which to provide supervisors with

an understanding of the opportunities, challenges, goals and structures of their

area of responsibility” [103] is an excellent idea. Only when people start learning

about the opportunities, challenges, goals, and structures of other departments

can they see how to improve horizontal/lateral communication.

McClelland and Wilmot’s second suggestion for increasing the quality and

quantity of horizontal/lateral communication is to establish a flexible chain of

command. [104] When organizational members are forced to adhere to rigid lines

of communication, the likelihood of productive horizontal/lateral communication

is decreased. Only when top administrators realize that Fayol’s scalar chain isn’t

effective will they stop feeling the need to micromanage information flow at all

levels of the organization. [105]

The third best practice for increasing the quality and quantity of

horizontal/lateral communication is to ensure that clear and consistent messages

are delivered downward. When all supervisors are on the same page, the chance

of mixed or conflicting messages getting sent down the hierarchy is greatly

reduced. Furthermore, when all subordinates within an organization receive the

message simultaneously, supervisors prevent the appearance of senior

administration favoring one department over another. Systematic downward

communication decreases the likelihood of mixed messages, and even though

“an inconsistent message is unintentional, it can be destructive to relationships

between employees and management.” [106] Therefore, ensuring effective

horizontal/lateral communication among supervisors and coordinating

downward messages can help to foster relationships between employees and

management.

The fourth best practice for increasing the quality and quantity of

horizontal/lateral communication is for senior administration and supervisors to

set the example. If an organization wants to increase the quality and quantity of

horizontal/lateral communication, then all members of the organization should

be actively engaged in horizontal/lateral communication. When people on the

lower rungs of the hierarchy witness effective horizontal/lateral communication

among those individuals above them in the hierarchy, they are more likely to

participate in horizontal/lateral communication as well. Ultimately, the only way

to ensure organizationwide effective horizontal/lateral communication is to start

it at the top and expect it to occur throughout the entire organization.

Another way to increase horizontal/lateral communication in organizations is to

establish lateral teams. The establishment of teams that include individuals from

various departments can help initiate contact and understanding between various

members of the organization. However, McClelland and Wilmot do recommend

that these teams actually have some level of individual autonomy to make

decisions and then be held accountable for creating tangible results. [107] When

teams are allowed to participate in the decision-making process and follow

through with those decisions, team members end up taking a considerable

amount of ownership of their decisions. Furthermore, the more an organization

utilizes lateral teams, the more adept an organization becomes at foreseeing

possible problems and warding them off.

Another important practice for improving the quality and quantity of

horizontal/lateral communication is to hold everyone accountable to the

organization. When managers are accountable for decisions that adversely affect

others, they’re more likely to work together on changes and solve problems

jointly. At the same time, all departments should also be held accountable for

making sure that they are helping the organization’s goals. The only way for

departments to demonstrate they are helping the organization’s goals is to

demonstrate how they fit into the larger piece of the puzzle, which requires them

to know what the larger puzzle actually looks like.

McClelland and Wilmot also recommend providing training for new

organizational members and existing organizational members in effective

horizontal/lateral communication, decision making, and teamwork. For many

individuals, the thought of actually interacting with individuals in other

departments is a completely new concept, so training becomes very important:

“Many employees reveal a lack of understanding about how to work with others

constructively without putting co-workers on the defensive. Through continual

involvement and interaction, they’ll be sensitized to the value of interpersonal

communication and internal networking.” [108]

The final best practice for increasing the quality and quantity of horizontal

communication in the workplace is to develop dialogue between shifts and

locations. Let’s handle these topics separately. First, increasing communication

between members of different shifts is extremely important because it allows

people to get a greater grasp of what is occurring. When people do not

communicate during shift changes, the people starting their shifts waste time

determining what needs to be accomplished during their shift. Fundamentally,

increased communication during shift changes leads to a decrease in mistakes

and an increase in efficiency.

Up to this point, most of our discussion of horizontal communication has been

framed for individuals who work within one compound of an organization.

However, in today’s global environment, many people are constantly having to

interact with people in other time zones or different countries who all belong to

the same organization. Often, multinational corporations will even have

individuals within the same department on different continents. Because of the

unique nature of multinational corporations, they have their own set of concerns

relating to horizontal/lateral communication. One of the strongest benefits of the

multinational corporation is its ability to rely on expertise and information from

across the various subsidiaries of the multinational corporation. [109] Five distinct

organizational behaviors can be used to increase the quality and quantity of

horizontal/lateral communication in multinational corporations:

1. Conducting a linguistic audit (helps the organization know where potential

language problems are)

2. Making specific comprehension proficiency a priority (often the ability to

understand a language is more important in business than being able to

speak or write in that language)

3. Encouraging staff to understand and negotiate Global Englishes (English

may be the general language of modern business, but there are multiple

variations people should be aware of)

4. Including native English speakers in communication training (native

English speakers need to be trained to limit their vocabularies and

grammatical structures and to speak slowly and clearly)

5. Avoiding cultural idioms when interacting with nonnative English speakers

and making language and communication a corporate-level function (letting

individual subsidiaries decide language and communication training can

backfire, so they should be seen as part of the corporate level) [110]

In this section, we have examined the world of formal communication networks

in organizations. Specifically, we have examined the roles, problems, and best

practices for downward, upward, and horizontal/lateral communication. In the

next section, we will shift our attention to informal communication networks.

KEY TAKEAWAY

Max Weber (1930) believed organizations had two ways to get

employees to follow one’s directives: power and authority. Power

is the ability to force people to obey regardless of their resistance,

whereas authority occurs when orders are voluntarily obeyed by

those receiving them. Weber argued that individuals in authority-

based organizations were more likely to perceive directives as

legitimate.

Katz and Kahn (1966) created a typology of downward

communication consisting of five distinct types of downward

communication: job instructions, job rationales, procedures and

practices, feedback, and indoctrination.

Hirokawa (1979) noted two primary problems associated with

downward communication: accuracy (how truthful a message is

that has been received) and adequacy (whether or not the

information being communicated is sufficient to satisfy a

requirement or need for information in the workplace).

Hirokawa (1979) believed there are four functions of upward

communication: (1) allows management to ascertain the success

of previously relayed downward communication, (2) allows

individuals at the bottom of the hierarchy to have a voice in

policies and procedures, (3) allows subordinates to voice

suggestions and opinions to make the working environment

better, and (4) allows management to test how employees will

react to new policies and procedures.

Katz and Kahn (1966) created a typology for upward

communication consisting of four distinct types: (1) information

about the subordinate herself or himself, (2) information about

coworkers and their problems, (3) information about

organizational policies and procedures, and (4) information about

the task.

Tourish and Robson (2006) argued that Katz and Kahn’s (1966)

typology for upward communication was incomplete and argued

for a fifth one they called critical upward communication, which

consists of communicative behaviors that are critical of

management behavior. Two common forms of critical upward

communication studied in communication are employee silence

(when an employee intentionally or unintentionally withholds

information that might be useful to a leader or her or his

organization) and organizational dissent (when an employee

expresses disagreement with management behavior).

Henri Fayol (1916/1949) believed that organizations needed a

very strict organizational hierarchy where all information flowed up

and down appropriate channels. During a crisis situation, a lower

employee could ask her or his immediate supervisor to

communicate information to another lower employee located on

the same rung of the hierarchy. Only if the lower-level employee’s

supervisor agreed with the urgency would that lower-level

employee be allowed to interact with someone else on the same

rung of the hierarchy.

Hirokawa (1979) noted four functions to horizontal

communication: task coordination, problem solving, sharing of

information, and conflict resolution. The function of

horizontal/lateral communication is to help organization members

coordinate tasks to help the system achieve its goals.

Charles and Marschan-Piekkari (2002) recommend five distinct

organizational behaviors to increase the quality and quantity of

horizontal/lateral communication in multinational corporations: (1)

conduct a linguistic audit (helps the organization know where

potential language problems are), (2) make specific

comprehension proficiency a priority (often the ability to

understand a language is more important in business than being

able to speak or write in that language), (3) encourage staff to

understand and negotiate Global Englishes (English may be the

general language of modern business, but there are multiple

variations people should be aware of), (4) include native English

speakers in communication training (native English speakers

need to be trained to limit their vocabularies and grammatical

structures, speak slowly and clearly, and avoid cultural idioms

when interacting with nonnative English speakers), and (5) make

language and communication a corporate-level function (letting

individual subsidiaries decide language and communication

training can backfire, so they should be seen as part of the

corporate level).

EXERCISES

1. Using Katz and Kahn’s (1966) typology of downward

communication (job instructions, job rationales, procedures and

Articulated/Upward Dissent:

Communication Underload:

practices, feedback, and indoctrination), how would you describe

the state of downward communication within your own

organization?

2. Using Katz and Kahn’s (1966) typology of upward communication

(information about the subordinate herself or himself, information

about coworkers and their problems, information about

organizational policies and procedures, and information about the

task), how would you characterize the state of upward

communication within your own organization?

3. Think of a time in your own work history that you’ve engaged in

the three types of dissent discussed by Jeffrey Kassing

(articulated, latent, and displaced). Why did you opt to use that

specific type of dissent in that communicative context?

4. Charles and Marschan-Piekkari (2002) recommend five distinct

organizational behaviors to increase the quality and quantity of

horizontal/lateral communication in multinational corporations. Do

you think Charles and Marschan-Piekkari’s ideas hold true with

the revolution of social media in the workplace?

KEY TERMS AND DEFINITIONS

Form of organizational dissent involving the expression of dissent to one’s leaders up the formal chain of the hierarchy.

When workers are not provided enough information to complete their jobs.

Downward Communication:

Employee Silence:

Formal Communication:

Horizontal Or Lateral Communication:

Upward Communication:

Indoctrination :

Acquiescent Silence:

Communication Overload:

Defensive Silence:

Displaced Dissent:

Latent/Lateral Dissent:

Prosocial Silence:

Messages that start at the top of the hierarchy and are transmitted down the hierarchy to the lowest rungs of the hierarchy.

When employees intentionally or unintentionally withhold information that might be useful to a leader or the organization.

Organizational communication that exists within the rules and norms established by an organization.

Messages transmitted to other individuals on the same rung of the organizational hierarchy.

Messages that start at the bottom of the hierarchy and are transmitted up the hierarchy to the highest rungs of the hierarchy.

The process of instilling an employee with a partisan or ideological point of view.

Form of employee silence that occurs when employees are disengaged in the workplace and feel they simply cannot make a difference.

When workers are provided too much information to complete their jobs.

Form of employee silence that occurs when an employee believes that speaking up will put her or him at risk, so the employee opts not to speak out.

Form of organizational dissent that occurs when an employee feels that dissent in the workplace could be harmful, so he or she expresses dissent to friends and family members outside the boundaries of the organization.

Form of organizational dissent consisting of communicative behaviors that include complaining to coworkers and voicing criticism openly to others on the same level of the organizational hierarchy.

Form of employee silence that occurs because employees want to appear cooperative and/or altruistic in the workplace.

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Informal Communication Networks

LEARNING OBJECTIVES

Understand Mishra’s (1990) eight reasons for the existence of

grapevines in organizations.

Differentiate among Davis’s (1969) four informal communication

networks.

Explain the relationship between social capital and

communication networks.

Understand Brass’s (1995) typology for the measurement of ties.

Understand Brass’s (1995) typology for the measures assigned to

individual actors.

Understand Brass’s (1995) typology for the measures assigned to

networks.

© Thinkstock/iStock

In the previous section of this chapter, we examined the three types of formal

communication networks that exist within organizations (downward, upward,

and horizontal/lateral). While formal communication networks are very

important for the day-to-day functioning of any organization, there exists another

set of communication networks that also dramatically impacts the day-to-day

functioning of any organization. This second set of communication networks is

informal communication networks, or communication networks that do

not exist within the structure of the organizational hierarchy. Early research in

organizational communication didn’t even acknowledge the existence or the

importance of these informal networks. However, the Hawthorne Studies

suggested that a great deal of what happens within an organization is a result of

informal communication networks. Often, informal communication networks

have been referred to as “grapevine communication” or “water cooler

communication.”

grapevine was originally coined during the Civil War because the

telegraph lines used by Army intelligence were strung through trees, and the

wires often resembled grapevines. According to Mishra, “The messages that

came over these lines were often so confusing or inaccurate that soon any rumor

was said to come from the grapevine.” [1] Today, organizational grapevines are a

standard part of anyone’s organizational life. In fact, researchers estimate that 70

percent of all communication that occurs within an organization occurs in

informal communication networks. [2] In essence, the bulk of actual

communicative behavior within an organization does not go according to the

prescribed lines of communication desired by upper management. Furthermore,

researchers found that many managers were surprisingly unaware of the informal

communication networks that existed within their organizations. [3] Only 70

percent of top-level managers, 81 percent of middle-level managers, and 92

percent of lower-level managers were even aware that a grapevine existed within

their organizations. We should also note that research has found that informal

communication networks are just as likely to exist among management as among

subordinates. In fact, “Bosses who chose not to pay attention to the grapevine

have 50 percent less credible information than those who do.” [4] Furthermore,

there are eight reasons grapevine communication exists in organizations:

Grapevines are faster than formal communication networks and can easily

bypass individuals without restraint.

Grapevines can carry useful information quickly throughout an

organization.

Grapevines can supplement information being disseminated through formal

communication networks.

Grapevines provide outlets for individuals’ imaginations and apprehensions.

Grapevines satisfy individuals’ need to know what is actually going on

within an organization.

Grapevines help people feel a sense of belonging within the organization.

Grapevines serve as early warning systems for organizational crises and

allow people to think through what they will do if the crises actually occur.

Grapevines help build teamwork, motivate people, and create corporate

identity. [5]

While grapevines are clearly beneficial to organizations and their members, there

are obvious problems with informal communication networks. The biggest

problem stems from the unreliability of information being transmitted in

informal communication networks. We should mention that research has found

that information transmitted through informal communication networks tends to

be 75 to 95 percent accurate. [6] Unfortunately, the 5 to 25 percent of the time the

informal communication network contains false information is highly

problematic for organizations.

Now that we’ve examined the nature of informal communication networks and

the reasons for informal communication networks, we need to look at the types

of informal communication networks.

Types of Informal Communication Networks

In this section, we will discuss how informal communication networks pass

information from person to person. Keith Davis found four basic types of

informal communication networks: single strand, gossip, probability, and cluster.

Informal Communication Networks

The first type of informal communication network described by Davis is the

single-strand communication network (Figure 5.3). [8] In a single-strand

network, the process of communication is very linear, and information travels

from one person to the next person. The best way to think of this type of

informal communication network is like a relay race. But instead of passing a

baton between runners, some type of information is passed from person to

person. This communication network represents the traditional notion of

serialized transmission. [9]

The second type of informal communication network Davis discussed was the

gossip communication network (Figure 5.3). [10] In a gossip network, you have

one individual who serves as the source of the message and who transmits the

message to a number of people directly.

The third type of informal communication described by Davis is referred to as

probability communication network [11] (Figure 5.3). [12] In a probability

communication network, you have one individual as the primary source of the

message, who randomly selects people within her or his communication network

to communicate the message. These secondary people then randomly pick other

people in the communication network to pass along the message. Think of this

type of informal communication network as really annoying Internet spam. In

the case of Internet spam, someone creates the e-mail and then sends it to

random people who then feel the need to forward it to other people, and so on.

There is no way for the source of the message to truly track where the message

has been sent after it is communicated, because the transmission is random.

The final form of informal communication network described by Davis is the

cluster network (Figure 5.3). [13] Cluster networks are considerably more

systematic than probability networks. In the case of a cluster network, the source

of the message chooses a number of preselected people with whom to

communicate a message. The secondary people then pass on the message to a

group of people who have also been preselected to receive the message. This

type of network is the origin of the telephone tree. In a telephone tree, one

person calls two people. Those two people then are expected to call three other

people. Those three people are then also expected to call three other people.

Before you know it, everyone who is on the telephone tree has received the

Researcher Profile: Everett M. Rogers (1931-2004)

Everett M. Rogers is generally viewed in the field of communication studies

as the father of information diffusion. Rogers grew up in Carroll, Iowa, and

ultimately earned his PhD in sociology and statistics from Iowa State

University in 1957. Over the course of his academic career, Rogers taught at

numerous universities both within the United States and abroad including

Ohio State University, Michigan State University, National University of

Colombia, and Université de Paris.

In 1962, Rogers published the first edition of his book The Diffusion of

Innovations, in which he described how, why, and at what rate new ideas and

technology spread through social groups. One of the social groups Rogers

specifically examined was organizations. Through his analysis, Rogers

proposed that there were five types of individuals involved with the diffusion

of innovations: innovators (2.5 percent), early adopters (13.5 percent), early

majority (34 percent), late majority (34 percent), and laggards (16 percent).

Innovators were people who created new ideas and technology or brought the

new ideas and technology to the social group. Early adopters were those

people who quickly latched on to the new innovations. The early majority

were those individuals who comprised the first massive wave of people

adopting a new innovation. The late majority were those individuals who

waited a little longer than the early majority. Lastly, laggards were those

individuals who put off adopting the new innovation, and some laggards

simply never would adopt the new idea or technology.

One area in which diffusion of innovations has been particularly utilized is

the field of health communication. Specifically, health communication

researchers have examined how health-related mediated messages get

transmitted between individuals within a social network, which ultimately

has been shown to lead to social change. [14] Hornik (2004) summarized

diffusion of innovations as ultimately examining four basic questions:

What is the process of invention and adaptation of technologies or ideas

subject to diffusion?

Why do some people (or collectivities) adopt before others?

What is the process that people go through as they adopt?

What are the stages they go through? What influences them at each stage (sources)?

What are the consequences with regard to social welfare (growth and

equity) given particular policies about, or patterns of, diffusion? [15]

As a diffusion scholar, Rogers was very aware of network analysis, and

during his tenure at Michigan State University (1964–1973), he actively

included information on network analysis in his courses and seminars on

diffusion. Furthermore, Rogers created the first undergraduate course in

organizational communication in 1966, which is considered to be the first

such course on the undergraduate level in the world. [16]

In 1981, Rogers, with his former student Larry Kincaid, published the

seminal work on communication network analysis titled Communication

Networks: Toward a New Paradigm for Research. In this book, Rogers and

Kincaid argue that “communication network analysis is a method of research

for identifying the communication structure in a system, in which relational

data about communication flows are analyzed by using some type of

interpersonal relationship as the unit of analysis. This distinctive emphasis of

network analysis upon communication links, rather than on isolated

individuals, as units of analysis, enables the researcher to explore the

influence of other individuals on human behavior.” [17]

Ultimately, Rogers and Kincaid’s book ushered in the modern era of

communication network analysis within the field of communication studies,

as well as the fields of business and sociology.

Analyzing Communication Networks

The last part of this chapter examines how researchers observe both formal and

informal communication networks. Peter Monge and Noshir Contractor

define communication networks as “the patterns of contact between

communication partners that are created by transmitting and exchanging

messages through time and space.” [19] Of course, these networks can range in

size from interpersonal interactions to global networks. [20] When attempting to

study communication networks within organizations, researchers complete what

network analysis. Monge and Contractor discussed the science of

network analysis: “Network analysts often identify the entities as people who

belong to one or more organizations and to which are applied one or more

communication relations, such as ‘provides information to,’ ‘gets information

from,’ and ‘communicates with.’ It is also common to use work groups, divisions,

and entire organizations as the set of entities.” [21] In essence, network analysis

is a process whereby researchers attempt to determine both the formal and

informal communication networks that exist within an organization and between

the organization and its external environment. Ultimately, four types of

communicative activities occur within networks: exchange of affect (liking,

friendship), exchange of influence and power, exchange of information, and

exchange of goods and services. [22]

In recent years, there has been a resurgence in the analysis of organizational

communication networks as a result of sociological construct social capital.

Social capital is a term that dates back to 1916 when L. J. Hanifan used it to

discuss the importance of rural communities’ involvement in schools in West [23] The first modern definition of social capital is attributed to Pierre

Bourdieu, who defined it as “the aggregate of the actual or potential resources

which are linked to possession of a durable network of more or less

institutionalized relationships of mutual acquaintance or recognition.” [24]

However, it wasn’t until James Coleman’s study examining how social capital

leads to human capital that the study of social capital became commonplace. [25]

Coleman defined social capital as “a variety of entities, with two elements in

common: they all consist of some aspect of social structures, and they facilitate

certain action of actors—whether persons or corporate actors—within the [27] In essence, social capital as a concept is innately about the

creation and utilization of communication networks to obtain specific goals.

Social networking websites are often designed to help people organize their

social networks in a much faster way. Business-oriented social networking sites

(SNSs) like LinkedIn help people gain and manage their social networks, and

thus their social capital, more efficiently.

The rest of this section examines the commonly discussed aspects of

communication networks. Specifically, we will examine the three categories

created by Daniel J. Brass for analyzing communication networks: measurement

of ties, measures assigned to individual actors, and measures assigned to

[28]

Measurement of Ties

The first category involves the typical communication network measures of ties.

ties here refers to the linkages between people. When we talk about

in network analysis we are talking about the communicative relationship

between two people. Specifically, Brass notes seven commonly utilized

measures of ties: indirect links, frequency, stability, multiplexity, strength,

direction, and symmetry.

Indirect Links

If we reexamine Figure 5.3, the last two informal communication networks

(probability and cluster) contain indirect links. In the case of probability

communication networks, we see A only communicating with E and C, and all

the people in the network receive the message from someone else. While A does

not communicate with D directly, an indirect link goes from D → I → E → A.

The same is also true in the cluster sample where A only communicates to B and

F, but everyone else in the network then receives the message from B or F.

Frequency

The second measure of ties examines the existence of the frequency of

communication between individuals within a network, which is a numerical

indicator of the quantity of communication that exists between two individuals.

In most organizations, there are some people you communicate with multiple

times a day and others you see only occasionally.

When researchers examine the stability of communication networks, they are

interested in how long a specific link has existed. Some links may exist for

decades, while other may exist for only a few hours. For example, you may have

colleagues around the country whom you are constantly in contact with, but then

you have other colleagues you only meet for a few minutes one time in a

meeting. While you may have established a link with the person in the meeting,

this link was quick and not considered stable.

Multiplexity

The concept of multiplexity refers to the number of links individuals have to one

another. In essence, people within an organization can have multiple links to

each other as a result of different relationships both within the organization and

within the environment. For example, maybe you have a colleague you work

with, you go to the same church, and your kids go to school together. In this

case, you are linked through multiple relationships.

The strength of a link refers to the “amount of time, emotional intensity,

intimacy, or reciprocal services (frequency or multiplexity often used as measure

of strength of tie).” [29] Some links within a communication network are just

bound to be stronger than other links. Maybe you and a colleague are good

friends and go shopping together, go to the theater together, and take trips

together. Obviously, if you are spending more time with and establishing

multiple links with an individual, that link will be stronger than one you have

with someone you never see outside of work.

The concept of direction is very similar to the process of vertical

communication. In essence, does communication flow one way? For example,

maybe the CEO of your organization is allowed to communicate with you, but

you are not allowed to communicate directly with the CEO.

Symmetry

The opposite of direction is symmetry, which examines whether or not

communication links are open and messages are able to go bidirectionally. In

essence, symmetry inspects whether communication is one sided or whether

both parties are actively involved in the communication.

Measures Assigned to Individual Actors

The second category involves the typical social network measures assigned to

individual actors. The term actor here is not meant in the theatrical sense.

Instead, actor is used to represent an individual participating in a communication

network. Brass identified seven different types of measures commonly assigned

to individual actors in communication networks: degree, range, closeness,

betweenness, centrality, prestige, and roles.

The topic of degree in network analysis refers to the “number of direct links with

other actors.” [30] Some individuals will have many links and others will have

very few links. Typically, links are discussed by examining the number of in-

degree links and the number of out-degree links. In-degree links examine the

number of links directed toward an actor from other actors. In other words, in-

degree links are “incoming links” and can help researchers ascertain the number

of sources of information an actor has. Out-degree links, on the other hand,

involve the number of links where a specific actor communicates information to

other actors. These are also referred to as “outgoing links” because information

is flowing away from the actor to other actors in her or his network.

Range refers to the diversity of links an individual has within her or his

communication network. This diversity can refer to dissimilar groups of

individuals or individuals on different levels of the hierarchy. In a multinational

firm, developing links around the globe can be very beneficial for an individual.

In fact, having diverse links in one’s communication network can help one

receive the best possible information because the more homogenous one’s links

are, the greater likelihood that the information one receives will be identical.

closeness refers to the number of links within a communication

network it takes for an individual to communicate with her or his entire network.

In essence, how easily can an individual actor reach everyone in her or his

network? Brass explains how closeness is analyzed by network analysts:

“Usually [closeness is] measured by averaging the path distances (direct and

indirect links) to all others. A direct link is counted as 1, indirect links receive

proportionately less weight.” [31] For example, in the communication networks

exhibited in Figure 5.3, the gossip network is much closer than the single-strand

network. In the gossip network, Person A can communicate directly with

everyone in her or his network, whereas in the single-strand network,

communication from Person A to Person D takes two extra steps (through Person

B and Person C).

Betweenness

Betweenness is the “extent to which an actor mediates, or falls between any

other two actors on the shortest path between those two actors.” [32] In essence,

is the shortest path between two individuals directly through you? For example,

maybe you’re the administrative assistant to a CEO. Everyone knows that the

only way to get to the CEO is to go through you. In this case, by being in the

position of administrative assistant, you function as the point between the CEO

and other people in the organization.

Centrality

Centrality refers to the extent to which an individual is at the core of one’s

communication network. If you examine Figure 5.3 again, Person A is clearly

the central figure in each of the forms of informal communication networks.

However, Person A is clearly more centrally located in the gossip

communication network than the other three, because in the gossip network all

the links are out-degree from Person A.

The concept of prestige in network analysis is a little ambiguous and harder to

map, because it refers to the reasons people want to be a part of an actor’s

communication network. In essence, the more people want to be part of your

communication network, the higher your prestige is within the network itself.

Within any communication network, people may exhibit a number of roles

within the network. Roles in this sense refer to specific behaviors people exhibit

within a communication network. Research in network analysis has found a

number of different types of role that are common within organizations: stars,

liaisons, bridges, gatekeepers, and isolates.

. The concept of stars existing within a communication network stemmed

from research by Thomas J. Allen and Stephen I. Cohen, who found that some

individuals just stand out and have more communication links than other people.

Michael L. Tushman and Thomas J. Scanlan examined how stars function in

communication networks. [34] One of the primary functions of stars is the ability

to cross organizational boundaries in their links. Tushman and Scanlan noted that

“boundary spanning individuals are those who are internal communication stars

(that is, they are frequently consulted on work related matters) and who have

substantial communication with areas outside their unit.” [35] Ultimately,

Tushman and Scanlan realized that there were two types of stars in

communication networks: internal stars and external stars. [36] Internal stars are

individuals who develop competence in a specific internal unit and are able to

gain and disseminate information within their communication network. Internal

stars are also referred to as opinion leaders, because they are seen as the go-to

people for information and problem solving. External stars, on the other hand,

develop competence in an area external to the organization and are able to

receive and disseminate information within their communication network

outside of the organization itself. External stars are also referred to as

cosmopolites because they have stronger ties to the external environment, and

cosmopolites bring in information to the organization from the external

environment. The last type of star identified by Tushman and Scanlan is

individuals who engage in informational boundary spanning, which are both

internal and external stars who can bridge the gap between their communication

network and other communication networks that could utilize their information.

. According to Everett M. Rogers, a liaison is “an individual who links

two or more cliques in a system, but who is not a member of any clique.” [38]

Rogers uses the word clique to refer to communication networks in this

definition. In essence, a liaison is an individual who does not belong to two

communication networks but is the between person in the middle of the two

. Bridges are individuals who link two or more communication networks

and are members of the two communication networks. In essence, a bridge is

someone who belongs to two groups and is able to send and receive information

along between those two groups.

Gatekeepers. A gatekeeper is an individual who has the ability to filter

information from the external environment to internal communication networks

or filter information that is passed from one communication network to another

communication network. [39] Because gatekeepers have the task of determining

what information is delivered within the organization, they play a very important

role in the day-to-day functioning of the organization. If gatekeepers let in too

much information, the organization will suffer from communication overload.

On the other hand, if the gatekeepers filter out too much information, the

organization will suffer from communication underload.

. The last role that people exhibit in communication networks is isolates.

Isolates are individuals who have withdrawn themselves from the

communication networks. [40] These are individuals who typically have very few

if any links. One of our coauthors worked for an organization that was located

six hours away. Our coauthor would go for weeks without having any kind of

direct contact with the organization. Many members of this organization didn’t

even know that our coauthor had been hired and was working for the

organization. In this case, our coauthor was clearly isolated from the

communication network within the organization.

Measures Assigned to Networks

The final category discussed by Brass involves the typical social network

measures used to describe networks. [41] The previous two classifications of

measures looked at more microlevel aspects of communication networks,

whereas this section examines nine measures used to describe networks on a

macro level: size, inclusiveness, component, reachability, connectedness,

density, centralization, symmetry, and transitivity.

The size of a communication network relates to the total number of actors within

a network. Some communication networks are small, involving only a handful of

actors, whereas other networks are very large and contain hundreds of actors.

Inclusiveness

The issue of inclusiveness is related to the total number of possible actors within

a communication network minus the number of isolates. The more isolates a

communication network has, the less inclusive the network is.

Component

A component within a communication network is the largest subset of actors or

groups of actors who contain multiple links. In essence, is there one group of

actors within the communication network that is clearly more linked to each

other than any other actors or subsets of the larger communication network?

Often, these components will actually have no links outside of the group of

actors. Sometimes people refer to components as the “in crowd” because the

people within the “in crowd” typically do not allow outsiders access to the

component, clearly establishing who is and who is not within the group. When

referring to groups of individuals who are highly linked within an organization,

we call these groups nodes. An organization’s total communication network will

consist of a variety of nodes.

Reachability

Reachability refers to the average number of links it takes to link any two

individuals within a communication network. Reachability is measured by

examining both direct and indirect ties.

Connectedness

Connectedness is similar to reachability, but instead of evaluating individual

actors we are evaluating groups of actors or nodes. Connectedness, then, is the

degree to which all the nodes in a communication network are reachable and is

usually determined by comparing the number of nodes that are clearly reachable

with the number of nodes that are not.

Within any communication network, most people are linked (either in- or out-

degree) to others within the network but are not linked to every possible person

within the communication network. Density refers to the number of links that

exist within a communication network as compared to the total number of links

possible within a communication network.

Centralization

The idea of centralization starts with realizing that most organizational

communication networks have one star who is the most linked person within the

organization. Centralization, then, is comparing that individual star to the rest of

the people within the communication network. In highly centralized

communication networks, the average person and the star’s number of links will

be very similar. In highly decentralized communication networks, most people

contain only a few links, and no one comes close to the number of links that the

central star has.

Symmetry

Earlier we discussed the notions of symmetry and direction in conjunction with

looking at the typical social network measures of ties. Symmetry on the network

level compares the number of symmetry ties with the number of direction ties.

The more bidirectional or symmetrical ties that exist within a communication

network, the more symmetrical the communication network is. On the other

hand, the more unidirectional or direction ties that exist within a communication

network, the less symmetrical the communication network is.

Transitivity

The concept of transitivity in communication networks refers to indirect

relationships among three people. For example, if A communicates a message to

B, and then B communicates the message to C, the three individuals are

considered transitive. In essence, A and B are directly linked, B and C are

directly linked, and A and C are indirectly linked through B. The concept of

transitivity then “is the number of transitive triples divided by the number of

potential transitive triples” within a communication network. [42]

Related Research -- Papa and Papa

Communication Network Patterns and the Reinvention of New Technology

By Wendy H. Papa and Michael J. Papa (1992) [43]

In this study, Papa and Papa (1992) wanted to examine how communication

networks impact reinvention, or a user’s likelihood of changing or modifying

a new innovation during the innovation’s period of adoption. For this study,

the researchers used an insurance office in New Jersey, because the office

planned to introduce a new computer system. There were 137 participants

who worked in the office, ranging in age from twenty-three to forty-four. The

sample consisted of sixty-four females and seventy-three males. Furthermore,

the organization consisted of thirteen departments and included five unique

hierarchical levels.

In this study, Papa and Papa had three basic hypotheses to test:

H1: A positive linear relationship exists between the activity level of an

employee’s network (as measured by interaction frequency and network size)

and the speed with which that employee implements a reinvention.

H2: A negative linear relationship exists between the integrativeness of an

employee’s network and the speed with which that employee implements a

reinvention.

H3: A positive linear relationship exists between the diversity of an

employee’s network and the speed with which that employee implements a

reinvention.

To collect their data, Papa and Papa trained the employees within the

insurance company in making accurate assessments about interactions related

to the new computer system. The participants then kept a diary of their

interactions related to the new computer system over the course of five

The results for the three hypotheses found that an individual’s network

diversity and network integrativeness positively related to an individual’s

adoption of a reinvention, but network size and interaction frequency did not.

Furthermore, the individual who initiated the reinvention (or reinventor) had

a more diverse communication network, a larger communication network,

and greater frequency of interaction and was less integrative than the average

worker within the organization.

In this chapter we have examined a number of very important concepts related to

organizational communication. Specifically, we started the chapter by examining

the three types of formal communication networks that exist in organizations

(upward, downward, and horizontal/lateral). We then looked at informal

communication networks, specifically examining communication grapevines and

rumors. The last part of this chapter contained a brief overview of the field of

communication network analysis. We examined the historical roots of network

analysis, the place of social capital, and how communication networks are

measured by organizational scholars. In Chapter 6, we will continue to examine

communication within an organization by exploring leadership.

KEY TAKEAWAY

Mishra (1990) noted eight reasons grapevine communication

exists in organizations: (1) grapevines are faster and can bypass

people, (2) grapevines carry useful information quickly, (3)

grapevines supplement formal communication networks, (4)

grapevines provide outlets for individuals’ imaginations and

apprehensions, (5) grapevines help people know what is actually

occurring, (6) grapevines make people feel like they belong, (7)

grapevines are early warning signs for looming crises, and (8)

grapevines help to build teamwork, motivate people, and create

corporate identity.

Davis (1969) proposed four basic types of informal

communication networks: single strand (one person tells one

other person), gossip (one person tells many people directly),

probability (one person tells a few people, who turn around and

tell more people), and cluster (similar to a telephone tree—one

person tells her or his designated network, who then tell their

designated networks).

An individual who has a strong and diverse social network will be

able to tap into that social network quickly in an effort to achieve

specific goals. When people tap into their social networks to help

them complete tasks, they are using their social capital.

Brass (1995) noted commonly utilized measures of ties: indirect

links, frequency, stability, multiplexity, strength, direction, and

symmetry.

Brass (1995) identified seven commonly assigned measures to

individual actors in communication networks: degree, range,

closeness, betweenness, centrality, prestige, and roles.

Brass (1995) examined nine measures used to describe networks

on a macro level: size, inclusiveness, component, reachability,

connectedness, density, centralization, symmetry, and transitivity.

EXERCISES

Think of a time you’ve tuned in to the grapevine at your

workplace. How accurate was the information you received?

Would you still trust the grapevine in your workplace today? Has

social media made grapevine communication better or worse?

Do an analysis of your own social capital. The World Bank has put

together a measure for evaluating social capital called the Social

Capital Assessment

http://siteresources.worldbank.org/INTSOCIALCAPITAL/Resources/Social-

Capital-Assessment-Tool--SOCAT-/annex1.pdf) . Work through

the SOCAT and see what your social capital looks like. You can

then compare your social capital versus the results the World

http://go.worldbank.org/C0QTRW4QF0) has on larger

samples of people.

Conduct a simple network analysis of an organization you belong

Social Capital:

Cluster Network:

Gossip Communication Network :

Informal Communication:

Probability Communication Network:

Single-Strand Communication Network:

to currently. If your organization is very large, you may want to

only analyze one division of the organization.

KEY TERMS AND DEFINITIONS

The creation and utilization of communication networks to obtain specific goals.

Term used in social networking research to refer to an individual participating in a communication network.

Type of informal communication network where the source of the message chooses a number of preselected people with whom to communicate a message, and then the secondary people pass on the message to a group of people who have also been preselected to receive the message.

Type of informal communication network where one individual who serves as the source of the message transmits the message to a number of people directly.

Organizational communication that occurs outside the structure of the formal organizational hierarchy.

The communicative relationship between two people in a communication network.

Type of informal communication network where one individual serves as the primary source of the message and randomly selects people within her or his communication network to communicate the message; then these secondary people randomly pick other people in the communication network to pass along the message.

Type of informal communication network where information travels from one person to the

person.

The linkages between people in a communication network.

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as the primary source of the message and randomly selects people

within her or his communication network to communicate the message;

then these secondary people randomly pick other people in the

communication network to pass along the message.

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5.3 Chapter Exercises

REAL-WORLD CASE STUDY

Bluewolf, an information technology (IT) consulting firm in New York,

grew from two individuals to over two hundred in just seven years.

In 2008, the organization made approximately $31 million in

revenues. During the process of hiring new individuals, the company

founders, Michael Kirven, age thirty-eight, and Eric Berridge, age

thirty-nine, didn’t really worry about vacation policies. The unofficial

vacation policy now states that individuals can take vacations

anytime they want for as long as they want as long as the

individual’s objectives are being met. In fact, most people in the

organization take three to four weeks of vacation a year because

much more than that would make completing objectives very

difficult.

Bluewolf didn’t stop with just their nonvacation policy. The

organization openly encourages a highly interactive and

communicative environment. Employees working on teams will often

take team trips to the gym or volunteer in community causes.

As a result of its unique structure, the organization estimates that it

saves $250,000 a year because no one is having to watch time

cards and vacation days. Furthermore, the turnover rate in the

organization is very low.

1. Do you think Bluewolf’s organizational structure could be effective

in other types of organizations? If so, in what types of

organizations do you think this organizational structure would be

the most effective?

2. How do you think the lack of a formal vacation policy increases

effective communication at Bluewolf?

3. Do you see any communicative problems that may arise out of

the organizational structure created by Bluewolf?

REAL-WORLD CASE STUDY

Starcom MediaVest Group has come to the realization that many

employees are spending a considerable amount of time during each

workday on various social networking websites (e.g., MySpace,

Facebook, Friendster, LinkedIn). In fact, research has found that 20

percent of today’s employees are actively engaging in a social

network website during the business day. Senior executives at

Starcom MediaVest decided to stop fighting the losing war against

social networking and join the social networking phenomenon.

Starcom MediaVest Group ultimately decided to create their own

social networking website specifically for their employees. The

website creators even looked to popular social networking websites

like MySpace and Facebook when creating Starcom MediaVest’s

site. For example, if you’re looking for someone who has specific

knowledge on advertising opportunities in Southeast Asia, you just

have to type the information into the website’s search engine. The

search engine then shows the individual searching as a pushpin in

the center of a bull’s eye, with surrounding pushpins indicating

people around the world in the Starcom MediaVest Group family

who have the expertise you’re looking for.

1. How do you think social networking sites are changing the

dynamics of horizontal communication within the organization?

2. Do you think organizations should limit employee access to social

networking websites during the business day?

3. What do you think some of the downsides are for an organization

having its own social networking website?

REAL-WORLD CASE STUDY

Weekends are supposed to be a time individuals can relax and not

think about what’s going on at work. However, with the invention of

e-mail, text messaging, and other forms of interactive technologies,

our ability to escape to our homes for a work-free weekend is

becoming harder and harder to accomplish. To combat this problem,

PricewaterhouseCoopers started discouraging employees from e-

mailing on the weekends.

If an employee of PricewaterhouseCoopers attempts to send an e-

mail on Saturday or Sunday, he or she is greeted with the following

pop-up message: “It’s the weekend. Help reduce weekend e-mail

overload for both you and your colleagues by working offline.”

Senior executives at PricewaterhouseCoopers argue that sending e-

mail during the weekend makes other individuals feel obligated to

respond during the weekend. Instead, employees are encouraged to

write their e-mails during the weekend but wait until Monday

morning to actually send the e-mails.

1. The pop-up message is a form of downward communication

related to communication flow. Do you think this is an effective

way to prevent weekend e-mails?

2. Do you think people are obligated to respond to e-mails they

receive during the weekend?

3. With the invention of new technology, has the idea of the workless

weekend disappeared forever?

END-OF-CHAPTER EXERCISES

1. When Jerry first started working for Capital Bank, he was told that every Friday was casual Friday. The first week he worked for the organization he wore jeans to work, only to find out that everyone else was wearing khaki pants and a Capital Bank polo shirt tucked in. What aspect of formal

communication did Jerry face in this example?

a. communication rule b. communication norms c. communication overtures d. communication overload e. communication underload

2. Which of Dover’s (1959) three eras of the history of downward communication was concerned with notices of birthdays and anniversaries, jokes, and local recreation and entertainment opportunities?

a. era of entertainment b. era of information c. era of interpretation d. era of persuasion e. era of reticence

3. Katherine is very unhappy with her organization’s stance on a new international advertising campaign. She finds the campaign racist, but she feels that if she says anything at work people may retaliate. Instead, she anonymously blogs about her uneasiness on a website for marketing professionals. According to Jeffrey Kassing, Katherine is exhibiting what type of organizational dissent?

a. articulated b. latent c. displaced d. mediated e. whistleblowing

4. What are communication networks that exist outside the formal hierarchy of an organization?

a. formal b. informal c. mediated d. social e. capitalized

5. Kalina is on the board of directors of Children International, a large nonprofit trying to alleviate worldwide hunger. Kalina is also a member of the American Farmers Association. In her two roles, Kalina is often discussing how the two organizations can help each other. According to Rogers (1995), what critical role is Kalina playing in her communication network?

a. liaison b. gatekeeper c. cosmopolitan d. isolate e. bridge

Answer Key

1. b

2. a

3. c

4. b

5. e

Chapter 6

Organizational Communication Climate, Culture, and Globalization

A Reciprocal Relationship

Imagine you’ve just walked into a room full of people. Immediately, you feel the

tension. From the way everyone talks, you know they’re sizing up one another,

angling for an advantage, certain their own opinions are the “right” ones. Now

imagine the room isn’t just a campus hallway conversation or Friday night party

—it’s your place of work. So you feel the tension every day. How would this

“climate” affect your communication with coworkers and superiors? For that

matter, how did communication (or the lack of it) contribute to this climate in the

first place? And how might communication solve it?

This scenario highlights two key factors in the study of organizational

communication—namely, organizational climate and organizational culture—

and the reciprocal relationship between them. As you might guess, there is no

one way to explain these phenomena. In Chapter 4, we reviewed four approaches

—postpositive, interpretive, critical, and postmodern—that even differ on the

fundamental question of how organizations exist. Not surprisingly, scholars in

each tradition look at climate and culture in different ways. In fact, when Eric

Eisenberg and Patricia Riley surveyed the literature, they identified seven

distinct approaches (which we will review later) to the study of organizational

culture. [1]

Yet scholars generally agree that climate, culture, and communication are

interrelated. As suggested in the opening scenario to this chapter, a tense climate

may stifle communication—and by the same token, a culture of destructive

communication likely contributed to the development of that climate in the first

place. (For more about the “dark side” of organizational communication, see

Chapter 13.) A positive climate, however, may foster a culture that leads to

quality communication—and vice versa. Thus the climate and culture of an

organization affects its communications, as well as the reverse. This reciprocity

means climate and culture shape an organization’s continual, routine

communication behaviors even as the continual, routine communication

behaviors of the organization help to strengthen, maintain, and build its climate

and culture. You can probably imagine many scenarios where office routines

affect communication: for example, when employees feel they can only speak at

meetings when it is “proper,” or must talk in a “promotional” manner to

customers, or must keep quiet around a controlling and dictatorial boss, or know

their e-mails are monitored. Even when the company says it values effective

communication skills in its employees, you can see how a negative

organizational climate and culture may limit that effectiveness.

In this chapter, we will begin with a discussion of organizational climate. For

one thing, the literature on climate predates that on culture. For another, after the

concept of organizational culture arose and was popularized in the 1980s, most

climate studies were situated within the cultural paradigm. [2] So by starting with

organizational climate, we can see how the research has developed over the past

forty years. Next, our discussion of climate will lead naturally into the different

approaches for the study of organizational cultures. Finally, the chapter will

conclude by reviewing a phenomenon that increasingly impacts organizational

cultures in the twenty-first century—namely, the globalization of economic

activity that compels organizations to communicate across cultures.

[1] Eisenberg, E. M., & Riley, P. (2001). Organizational culture. In F. M.

Jablin & L. L. Putnam (Eds.), The new handbook of organizational

communication: Advances in theory, research, and methods (pp. 291–

322). Thousand Oaks, CA: Sage.

[2] Eisenberg, E. M., & Riley, P. (2001). Organizational culture. In F. M.

Jablin & L. L. Putnam (Eds.), The new handbook of organizational

communication: Advances in theory, research, and methods (pp. 291–

322). Thousand Oaks, CA: Sage, pp. 307–308.

6.1 Organizational Climate

LEARNING OBJECTIVES

1. Understand the concept of organizational climate.

2. Distinguish between supportive and defensive climates in Gibb’s

model.

3. Delineate Redding’s SCOPE model for analyzing organizational

climates and Pace and Faules’s extension of the model.

4. Describe how organizational climate can, as Poole and McPhee

proposed, be conceived as a structurational process.

When you think of the word climate, meteorological terms like “cold,” “hazy,”

and “hot” may come to mind. Weather metaphors such as these can also be

applied to organizational climates; indeed, some scholars describe organizations

as either “warm” or “cold.” [1] The general idea of organizational climate was

defined by Gary Kreps as the “internal emotional tone of the organization based

on how comfortable organizational members feel with one another and the

organization.” [2] In turn, this overall atmosphere influences organization

members’ communicative behaviors. Positive environments foster—and negative

environments hinder—interaction and information.

To continue the weather metaphor, think of how one person can say, “This room

is freezing!” and another that “It’s rather warm in here.” People in an

organization can have different perceptions of its climate, which then affects

their communication. For example, if you have warm feelings about your school,

then you might glowingly tell a prospective student of its success in sports, the

classic beauty of the campus, the high quality of its instructors, and the vision of

its administration. But a classmate of yours might feel a chill from the school

and thus bitterly tell the prospective student that jocks rule, those classic

buildings have outdated facilities, the instructors are hard graders, and the

administration’s vision runs ahead of reality.

This example illustrates an assertion made by one of the first prominent

researchers in organizational climate, W. Charles Redding. He believed, “The

climate of the organization is more crucial than are communication skills or

techniques (taken by themselves) in creating an effective organization.” [3] Thus

you and your classmate made very different comments about your school, and

those comments were driven by your individual perceptions of its climate. The

administration may be (and probably is) constantly employing all the

communication skills and techniques at its disposal to create an effective

university. But in the end, your “vibes” about the school dictated what you said.

If the university wants its members (like you and your classmate) to

communicate effectively to its stakeholders (like that prospective student), then

it must find ways to engender positive feelings that are broadly shared within the

organization.

Supportive and Defensive Climates

Perhaps the most enduring conception of climate is also among the first

proposed. Half a century ago, Jack Gibb suggested that communication could be

usefully viewed as occurring within either a supportive or a defensive climate. [4] His 1961 article “has achieved iconic status” with a “theory of supportive

and defensive communication [that now] is both ubiquitous and enduring.” [5]

The theory is appealing because its basic tenets can be easily grasped.

Supportive climates display six characteristics, each of which has an opposite

trait found in defensive climates. This conception is shown in Table 6.1. Let us

review each pair of opposing traits, one by one, using a common workplace

situation as an illustrative example.

Table 6.1 Gibb's Supportive and Defensive Climates

Supportive Defensive

Description Evaluation

Problem orientation Control

Spontaneity Strategy

Empathy Neutrality

Equality Superiority

Provisionalism Certainty

Description versus Evaluation

You’re frantically working on a report that’s due by the end of the day. Suddenly,

you hear a loud voice in the cubicle next to yours. A coworker on a personal

phone call has gotten into a heated argument. She struggles to keep her voice

down but is distracting you from your work. Finally, after an hour she hangs up.

Though you’re now hopelessly behind on your report, you resist the temptation

to poke your head above the cubicle and shout, “You insensitive jerk!” Instead,

you gently remind your coworker that company policy requires personal calls to

be brief. Your restraint is admirable. Rather than contributing to a defensive

climate that’s characterized by frequent and negative evaluation and judgment,

you’re fostering a supportive climate in which organization members offer a

description of what they observe without attaching judgments.

Problem Orientation versus Control

After hearing numerous complaints about your coworker’s hour-long phone rant,

the supervisor decrees that all personal calls are henceforth forbidden during

work hours. Immediately, employees are in an uproar. What if a child’s daycare

arrangements fall through? Or if school lets out early due to bad weather? Or any

number of emergencies? To defuse the situation, the department head pulls the

supervisor aside and points out the company policy manual gives employees a

right to make brief personal calls. So a staff meeting is called; the supervisor

admits to overreacting and asks employees for ideas on how to enforce the

company policy. The incident illustrates that when managers exert control by

imposing solutions without regard for employee concerns, the climate of the

workplace can quickly become defensive. In contrast, managers who operate

with a problem orientation and address issues in a give-and-take manner can

foster a supportive climate as they find solutions that satisfy multiple parties.

Spontaneity versus Strategy

In some organizations, management may view all employees as dishonest and

ready to cheat the company when possible. Similarly, employees may see

management as inherently domineering and greedy. Everyone in the organization

is constantly thinking up a strategy to manipulate events and gain the advantage.

This describes your best friend’s place of work. Managers there assume

employees are lazy and—unless strictly monitored—will spend their days

making phone calls, writing personal e-mails, surfing the Internet, and playing

computer games. Not surprisingly, the organizational climate is defensive;

employees withhold information from management and constantly think of ways

around privacy restrictions. By contrast, you’re gratified that your own company

generally encourages open communication and honest self-disclosure by

everyone. The goal is to create an atmosphere where all organization members

can communicate with spontaneity—or be able to say what is on their minds—

rather than always thinking ahead about how to manipulate each situation.

Empathy versus Neutrality

Remember the supervisor who overreacted and banned all personal phone calls

at work? He reversed himself, but only under pressure from his boss. Though he

grudgingly tolerates brief personal phone calls, he does not show much concern

when employees ask for time to deal with legitimate personal emergencies. In

such a situation, a defensive climate can occur as people assume an attitude of

neutrality, or an impersonal approach to the workplace. Supervisors are

perceived as indifferent; employees just “do their jobs” as if shrugging their

shoulders and saying to themselves, “Whatever.” To turn the climate from

defensive to supportive, leaders must demonstrate their care for employees and

show empathy by looking at situations from the workers’ points of view.

Equality versus Superiority

Some organizational climates are marked by a hypercompetitive atmosphere

where everything is approached with an “us or them” mentality. In these

organizations, the climate is characterized by assertions of superiority. This

might be manifested in a superior stance taken by management—like the

supervisor who banned all personal phone calls or the company that monitors

employee e-mails and screen time. Superior attitudes can also be taken by

various cliques and coalitions within the organization, which see themselves as

more important or high minded than others. Leaders who would turn around

such a climate and foster a supportive atmosphere must stress the importance of

equality and create a level playing field for all organization members.

Provisionalism versus Certainty

Perhaps you’ve worked for a boss who declares with absolute certainty the “best

way” to achieve company goals and is dogmatic about how you and others are

supposed to behave on the job. Employees who work for a “my-way-or-the-

highway” supervisor may feel like they are walking on eggshells, fearful that a

single misstep will bring dire consequences. The antidote to such a defensive

climate is provisionalism, or a willingness to hear others’ ideas with an open

mind. When leaders and members approach organizational problems with a

provisional attitude, everyone feels safe to express ideas without fear of

retribution or humiliation. [6]

Gibb proposed his six pairs of opposing supportive and negative traits based on

his personal observations of small-group interactions over a period of eight

years. As such, noted Forward, Czech, and Lee, his theory “has received little

elaboration or empirical support, despite its iconic status…due to the fact that

Gibb himself never published a survey instrument that would enable other

researchers to explore, verify, or refine his theory.” [7] This lack of quantitative

data is troubling to postpositive researchers (see Chapter 4), who desire

statistical validation. But for now, it is more important to note that Gibb’s theory

aligns with the sociopsychological tradition that views communication behaviors

as manifestations of human psychological processes. Thus a defensive climate is

one in which an individual feels anxiety when communicating with others, while

a supportive climate is one in which that anxiety is relieved. By contrast, the

model we review next looks at how organizational climate arises not from

individual feelings but from the interactions between management and

employees.

Five Essential Elements

Taking an interpretive view (see Chapter 4), W. Charles Redding believed that

positive feelings are driven not by the content of what an organization’s

management says or the techniques used to deliver its message, but by the

character of its interactions with employees. The crucial determinant of what

employees communicate is the organizational climate produced by these

interactions, not the employees’ individual communication abilities. If

interaction is stifled—for example, if management makes employees feel that

talking about problems is generally discouraged—then frustrations will build,

the organizational climate will turn chilly, and success will be hindered. On the

other hand, if management values interaction and feedback, then a productive

climate and improved bottom line can result.

Redding proposed that five elements are essential for creating what he called the

Ideal Managerial Climate. He summarized these elements with the acronym

SCOPE for supportiveness, credibility, openness, participatory decision making,

and emphasis on high-performance goals. [8] Let us briefly review each one.

Supportiveness

The first of Redding’s five elements, supportiveness, is defined as interactions

characterized by mutual respect and constructive evaluation. Managers must

recognize and respond to employees’ needs and opinions. In this sense, a

supportive manager can be like a good coach. Teams that succeed in sports get

the most out of their players. When a player is in a slump, the coach can respond

by yelling and cursing or by publicly criticizing the player in the media. But the

best coaches respond with encouragement and by helping the player analyze and

overcome what is causing the slump. In the same way, managers should

encourage their employees and help them determine how to maximize success.

Credibility

According to Redding, a positive organizational climate is also fostered when

employees feel confident that management has a plan and is charting the best

course of action to achieve success. When management is credible in the eyes of

employees, doubt and fear are dispelled.

Openness

People do not like working for organizations in which they have limited

information. By contrast, organizational climate is improved when interactions

between supervisors and employees are characterized by a free flow of

information. Positive feelings result when people have access to information on

matters that affect them.

Participatory Decision Making

Good feelings also result when employees not only have access to information

but can participate in decisions that affect their work and employment.

Employees may not always get what they want, but they can feel positive about

having a voice and providing input that is taken seriously.

Emphasis on High-Performance Goals

The famous Hawthorne Studies, which we reviewed in Chapter 3, suggested that

workers thrive best when they have objectives to meet. Perhaps you have

belonged to a club or group where members sit around and ask, “What do you

want to do?” So you can imagine (or have experienced) a workplace where

employees simply do their jobs without any real idea of why it matters (other

than to get a paycheck). By setting high-performance goals, organizations are

more likely to achieve success and engender a sense of purpose and

accomplishment. For that reason, many organizations adopt the motto of “Strive

for Excellence.”

To illustrate, consider the example we explored at the outset of this chapter—

namely, your conversation with a prospective student who is thinking about

attending your school. How might Redding’s SCOPE model be applied? First,

the administration cannot simply tell you what a great university you attend and

then expect you to automatically communicate this message to prospects. What

you communicate to a prospective student is driven by your feelings about the

school, which in turn reflect your perceptions of the climate on campus. So the

administration must consider how its interactions with you, as a member of the

school, might encourage you to perceive a supportive climate. That could be

accomplished as the administration and faculty strive to be mentors rather than

judges, to assure you they know what they are doing, to keep information

flowing, to solicit your participation in decisions that affect you, and to inspire

and motivate you with worthy goals that give you something to shoot for.

Since Redding published his SCOPE model in the early 1970s, subsequent

scholars have suggested their own models for creating a positive organizational

climate. For example, Wayne Pace and Don Faules extended the SCOPE model

by proposing six factors that influence employee perceptions of an organization

and that impact communication. [9] These can be expressed as six questions:

1. What methods are used by managers to motivate employees?

2. Do employees feel that management uses effective methods, rather than just

chance, for solving problems?

3. Do employees believe management sees them as important?

4. Are employees given the resources to perform their jobs effectively?

5. Can employees initiate upward communication?

6. Is the quality of communication within the organization generally good?

Thus, when employees are motivated by positive rather than negative means,

when they believe management solves problems fairly and values its workers,

when they feel able to do their jobs and able to communicate with managers, and

when they feel well informed, then a productive organizational climate is more

likely to result.

So far we have reviewed three approaches to fostering a supportive climate. For

comparison, the theories of Gibb, Redding, and Pace and Faules are summarized

in Table 6.2. In the next section, however, we will move to very different

conception of organizational climate.

Table 6.2 Theories of Organizational Climate Compared

Gibb Redding Pace and Faules

What fosters a positive

climate

Description Supportiveness Positive motivation

Problem

orientation Credibility

Effective problem

solving

Spontaneity Openness Employees feel

important

Empathy Participation Sufficient resources

Equality

Emphasis on high-performance

goals

Two-way

communication

Provisionalism Quality

Communication

A Structurational Perspective

For Gibb, a supportive climate can be created if individual anxieties can be

relieved. For Redding, a supportive climate can be fostered if managers and

employees change the ways they interact. But for Marshall Scott Poole and

Robert McPhee, climate is not so much a variable that managers can manipulate

to improve communication and performance. Instead, members of an

organization engage in social interactions without full awareness of how their

actions impact the larger picture. Thus individuals not only create a climate

through their actions; their actions are, in turn, shaped by that climate through

processes of structuration. [10]

As we learned in our review of structuration theory in Chapter 4, organizational

systems are composed of human practices—including the practices that structure

an organization’s climate. Thus Poole and McPhee defined climate as the

“collective attitude, continually produced and reproduced by members’

interactions.” [11] Development of a climate begins with a concept pool out of

which members develop terms to describe the organization. This fosters a kernel

climate as members adopt a commonly shared abstraction to capture their basic

understandings of the organization. Finally, these kernel understandings are

manifested in particular climates that enable and constrain members’ actions in

specific organizational situations and settings. [12]

This structurational view of organizational climate provides a good bridge to our

discussion, later in this chapter, about organizational culture. Poole and

McPhee’s theory forces us to ask, Is climate a phenomenon that can be

consciously manipulated and, if deemed advisable, changed by management to

increase organizational effectiveness? Now replace the word “climate” with

“culture,” and you have a foundational question for the study of organizational

culture. Poole and McPhee’s theory also raises this question: Is climate uniform

throughout an organization? Or is it best to think in terms of “miniclimates” that

exist at various levels of a corporate entity? Again, replace the word “climate”

with “culture” and you have a key question for the next portion of our chapter.

These different conceptions of organizational climate—as an individual,

interactional, or structurational phenomenon—are represented in Figure 6.1.

Figure 6.1 Conceptions of Organizational Climate

Models for improving organizational climate, such as those put forward by

Redding and by Pace and Faules, generated much interest during the 1970s and

1980s. At the height of this interest, a survey of the literature identified three

main approaches to climate studies: climate as a composite of members’

individual perceptions, climate as the enduring “personality” of an organization,

and climate as generated by subgroups within an organization. [13] In the 1980s

and 1990s, however, a “paradigm war” ensued as scholars wrestled with how to

distinguish organizational climate and culture. [14] The conflict sorted itself by

the start of the new century when Eisenberg and Riley found that “the number of

climate studies undertaken has dropped significantly, [with] most recent work

positioning organizational climate in relation to [organizational] culture and

effectiveness.” For that reason, “most conceptions of organizational climate are

[now] best viewed as phenomena caused, changed, or managed by the

organization’s culture.” [15] The current consensus, noted Wienzemmer,

Franczak, and Michel, regards organizational climate as a “representation of

organizational culture.” [16] Yet this consensus does not deny our argument, with

which we began this chapter, that climate and culture have a reciprocal

relationship. Climate fosters communication; communication constructs culture;

culture sustains climate. So with that, we turn now to culture.

KEY TAKEAWAY

Kreps defined climate as “internal emotional tone of the

organization based on how comfortable organizational members

feel with one another and the organization.”

Gibb theorized that communication occurs in either a defensive or

a supportive climate. Characteristics of a defensive climate are

evaluation, control, strategy, neutrality, superiority, and certainty;

those of a supportive climate are description, problem orientation,

spontaneity, empathy, equality, and provisionalism.

Redding held that a positive organizational climate could be

fostered through SCOPE: supportiveness, (managerial) credibility,

openness, participatory decision making, and emphasis on high-

performance goals.

Pace and Faules extended the SCOPE model by proposing that

an organization’s climate is impacted by how managers motivate

employees and solve problems; by whether employees feel that

management regards them as important, provides them sufficient

resources, and permits upward communication opportunities; and

by the overall quality of organizational communication.

Poole and McPhee viewed organizational climate from the

perspective of structuration theory (see Chapter 4) and thus held

that not only is climate created by the social actions of

organization members (who are largely unaware of their effect on

the climate) but, in turn, climate also shapes their actions.

EXERCISES

1. Describe a real-life example for each of Gibb’s defensive and

Concept Pool:

Defensive :

Kernel Climate:

Organizational Climate:

supportive traits in communication climates.

2. Think for a moment about an organization to which you belong. Is

its climate supportive or defensive? Why? Analyze its climate

according to Redding’s SCOPE model and to Pace and Faules’s

six factors.

3. Now think of a defensive climate you have encountered. How

could it (or how did it) become more supportive? Use the three

models we have reviewed in this section to support your analysis.

4. Poole and McPhee’s structurational theory holds that you are

largely unaware of how your actions affect the overall

organizational climate. Think of an organization to which you

belong and then ask yourself, How do I affect its climate without

realizing it? How does the organization’s climate make it easier for

me to act but also shape what actions I take?

KEY TERMS AND DEFINITIONS

The pool of concepts that furnishes organization members with words, phrases, and terms by which to describe the organization.

The climate created when individuals feel anxiety in communicating with others.

The organizational climate that is produced, and then constantly reproduced through subsequent social actions, when members construct from their concept pool a commonly shared abstraction to capture their basic understandings of the organization.

The overall atmosphere within an organization

Particular Climates:

Supportive :

that impacts its members’ communication behaviors.

The “miniclimates” that are produced and reproduced as an organization’s kernel climate enables and constrains members’ actions in specific organizational situations and settings.

The climate created when individuals do not feel anxiety in communicating with others.

[1] Kreps, G. (1990). Organizational communication. New York, NY:

Longman, p. 193.

[2] Kreps, G. (1990). Organizational communication. New York, NY:

Longman, p. 193.

[3] Redding, C. W. (1972). Communication within the organization: An

interpretive view of theory and research. New York, NY: Industrial

Communication Council, p. 115.

[4] Gibb, J. (1961). Defensive communication. Journal of Communication,

11(3), 141–148.

[5] Forward, G. L., Czech, K., & Lee, C. M. (2011). Assessing Gibb’s

supportive and defensive climate: An examination of measurement and

construct validity. Communication Research Reports, 28, 1–15, p. 2.

[6] Punyanunt-Carter, N. M. (2010). Communicating in interpersonal

relationships. Dubuque, IA: Kendall/Hunt.

[7] Forward, G. L., Czech, K., & Lee, C. M. (2011). Assessing Gibb’s

supportive and defensive climate: An examination of measurement and

construct validity. Communication Research Reports, 28, 1–15, p. 4.

[8] Redding, C. W. (1972). Communication within the organization: An

interpretive view of theory and research. New York, NY: Industrial

Communication Council, p. 115.

[9] Pace, W. R., & Faules, D. (1990). Organizational Communication.

Englewood Cliffs, NJ: Prentice-Hall, pp. 121–122.

[10] Poole, M. S., & McPhee, R. D. (1983). A structurational analysis of

organizational climate. In L. L. Putnam & M. E. Pacanowsky (Eds.),

Communication and organizations: An interpretive approach (pp. 195–

220). Beverly Hills, CA: Sage.

[11] Poole, M. S., & McPhee, R. D. (1983). A structurational analysis of

organizational climate. In L. L. Putnam & M. E. Pacanowsky (Eds.),

Communication and organizations: An interpretive approach (pp. 195–

220). Beverly Hills, CA: Sage, p. 213.

[12] McPhee, R. D. (1985). Formal structure and organizational

communication. In R. D. McPhee & P. K. Tompkins (Eds.), Organizational

communication: Traditional themes and new directions (pp. 149–178).

Beverly Hills, CA: Sage.

[13] Falcione, R. L., Sussman, L., & Herden, R. P. (1987).

Communication climate in organizations. In F. M. Jablin, L. L. Putnam, K.

H. Roberts & L. W. Porter (Eds.), Handbook of organizational

communication: An interdisciplinary perspective (pp. 195–227). Newbury

Park, CA: Sage.

[14] Denison, D. (1996). What IS the difference between organizational

culture and organizational climate? A native’s point of view on a decade

of paradigm wars. Academy of Management Review, 2, 619–654.

[15] Eisenberg, E. M., & Riley, P. (2001). Organizational culture. In F. M.

Jablin & L. L. Putnam (Eds.), The new handbook of organizational

communication: Advances in theory, research, and methods (pp. 291–

322). Thousand Oaks, CA: Sage, p. 308.

[16] Wienzemmer, L., Franczak, J., & Michel, E. (2008). Culture

performance research challenge and future directions. Journal of

Academy of Business and Economics, 8(4), 111–112.

6.2 Organizational Culture

LEARNING OBJECTIVES

1. Delineate the functional, interpretive, critical, and postmodern

approaches to understanding organizational culture.

2. Understand major functionalist theories of organizational culture

and their implications for managing organizational change.

3. Understand foundational concepts for interpretive research and

analysis of organizational culture.

4. Understand important concerns in critical and postmodern

scholarship on organizational culture.

Culture is not difficult to define. In the academic literature alone, hundreds of

definitions can be found! The difficulty is agreeing. Yet even then, many believe

that agreement is not a good thing; different perspectives on culture can each

contribute to our understandings. So how should we conceive of culture?

Perhaps you have heard the terms “high culture” (e.g., if you like classical music

and opera), “pop culture” (e.g., if you like rock and rap), and “folk culture” (e.g.,

if you like bluegrass and country). Or maybe, as a college student, the word

“culture” brings to mind an image of the anthropologist who examines the

customs and traditions of national, ethnic, or tribal societies. And chances are

that you have thought about the influences of local, regional, and national

cultures that shape your daily life. If you currently reside in the United States,

then your experience might be likened to a rich buffet where choices could range

from grits (a regional staple) for breakfast, Philly cheese steak (a local favorite)

for lunch, and a slice of apple pie (an American classic) for dessert.

These ideas are helpful when we consider organizational culture. No single

definition is universally agreed on. Just as some people in society talk of “high”

and “low” cultures, some analysts of organizations speak of “strong” and “weak”

cultures. Just as politicians often appeal to the “American culture” that draws all

citizens together, some scholars view organization culture primarily in terms of

values and practices that are broadly shared. On the other hand, those who see

America as a mix of regional and local cultures have their counterparts in

scholars who believe it is “more accurate to think of any organizational culture

as being many cultures that are blurred, overlapped, and nested to create an

organizational multiculture” so that “the way in which subcultures relate to one

another is the organization’s culture.” [1]

How you look at organizational culture really goes back to the foundational issue

of ontology—your belief in the nature of organizational existence—that we

reviewed in Chapter 4. In the broadest sense, there are two views of

organizational culture: either that culture is something an organization has or that

culture is something an organization is. [2] Thus if you believe an organization

has an objective existence that endures independently, even though particular

people come and go, then you might also believe that “culture” (as well as

“climate”) is an attribute that an organization possesses. But if you believe that

an organization has a subjective existence, that it comes into being and is

sustained through its members’ communication, you would likely see

organizational culture as emerging from those interactions.

A second key issue about organizational culture also goes back to another

question we covered in Chapter 4. You may recall that some theorists believe an

organization naturally tends toward order, and others that it naturally tends

toward conflict. For that reason, some researchers look for patterns of shared

values and practices that characterize an organizational culture, while others

investigate the complex dynamics between the many subcultures that exist

within any organization. Finally, you may recall from Chapter 4 how Stanley

Deetz noted that some researchers apply their “knowledge to” the study of an

organization, while others first study an organization and derive “knowledge

from” their observations. [3] The same is true in organizational culture studies.

Those who believe that culture is something an organization has often bring to

their studies an a priori theory about the ideal cultural traits of an effective

organization and then prescribe how managers can adjust the work environment

accordingly. But other researchers observe an organization and describe its

culture, in hopes of better understanding the workings of organizational cultures.

To make sense of it all, we can use the categories just described to construct two

matrices. The first matrix, shown in Figure 6.1, depicts four assumptions that

researchers can make about organizational culture. The second matrix, shown in

Figure 6.2, depicts four approaches researchers can take to studying

organizational culture. By using terms from the organizational communication

literature, we can label the four approaches in Figure 6.3 as functionalist,

interpretive, critical, and postmodern.

Figure 6.2 Assumptions about Organizational Cultures

Figure 6.3 Approaches to Analyzing Organizational Cultures

These categories—functionalist, interpretive, critical, and postmodern—provide

what is called heuristic value. In other words, having neat categories helps us to

grasp the overall picture, even though actual studies of organizational cultures do

not always fall so clearly into only one category. Scholars often take more than

one approach. For example, though the chief purpose of interpretive research is

description, gaining a better grasp of cultural dynamics in organizations may

give voice to the interests of workers who were previously silenced. Later in this

section, we will learn more about research that employs multiple approaches.

But for now, let us explore the four basic approaches—functionalist, interpretive,

critical, and postmodern—and review some foundational ideas in each one.

Functionalist Approaches

The notion of “organizational culture” entered the popular vernacular with two

books, both published in 1982, that took the corporate world by storm. One even

became a New York Times bestseller. The two books, Corporate Cultures by

Terrence Deal and Allan Kennedy, and In Search of Excellence (the bestseller)

by Tom Peters and Robert Waterman, popularized the idea that organizations

have cultures and corporate leaders could adjust them to boost performance. [4] Suddenly, managers were consulting these books to see if their own

workplaces measured up as “strong” (Deal and Kennedy) and “excellent” (Peters

and Waterman) organizations. The attributes of strong cultures and excellent

cultures are summarized in Table 6.3. As Eisenberg and Riley noted, “The speed

with which ‘organizational culture’ emerged as a significant lens…[to] engage

with organizations and institutions was astounding.” [5] Prescriptions for

boosting effectiveness by changing organizational culture are still a staple of the

popular business press. But academics also took note of the trend.

Table 6.3 Attributes of "Strong" and "Excellent" Organizations

Deal and Kennedy: Strong organizations have… Peters and Waterman: Excellent

organizations have…

Values that are appropriate for the organization’s business

environment:

• Organizations in an environment that calls for rapid

feedback/reward and low risk will do best with a work hard,

play hard culture (e.g., restaurant)

• Organizations in an environment that calls for rapid

feedback/reward and high risk will do best with a tough guy

macho culture (e.g., police)

• Organizations in an environment that calls for slow

feedback/reward and low risk will do best with a process culture

(e.g., insurance company)

• Organizations in an environment that calls for slow

feedback/reward and high risk will do best with a bet-the

company culture (e.g., oil company)

A bias for action so that the

organization reacts quickly without

wasting time and resources

Close relations with customers so that

actions and decisions reflect their needs

Autonomy and entrepreneurship so that

employees can voice new ideas and

take risks

Productivity through people so that

internal relations are respectful and

positive

Hands-on, value-driven approach that

commits everyone to performance and

productivity

Heroes who exemplify the organization’s values Stick to the knitting philosophy that

focuses on core strengths and avoids

overdiversification

Rites and rituals that celebrate the organization’s values

Simple form, lean staff philosophy that

avoids too much complexity in

structure and staffing

A cultural network that communicates the organization’s values

Simultaneous loose-tight properties that

foster unity of purpose and diversity for

innovation

Schein's Model of Organizational Culture

As scholars built on the growing interest in organizational culture, the work of

Edgar Schein became prominent in the field and remains influential today. The

title of his best-known book, Organizational Culture and Leadership, affirmed

his functionalist stance that founders and leaders “embed,” “transmit,” and

“teach” culture. [6] Nevertheless, Schein’s model also imparts an emergent,

group-oriented quality. His oft-quoted definition states that organizational

culture is “a pattern of shared basic assumptions that the group learned as it

solved its problems of external adaptation and internal integration, that has

worked well enough to be considered valid, and therefore, to be taught to new

members as the correct way to perceive, think, and feel in relation to those

problems.” [7]

Even if culture is taught to members as the correct way, the definition describes

culture as a group occurrence. This introduces the need for communication,

since that is how people create and share meaning. Next, Schein’s definition

brings in the belief that social phenomena—such as organizations—tend toward

order, as people naturally want predictable patterns that provide consistency and

stability. Then Schein envisions an emergent quality in organizational culture as

the group encounters problems, learns to solve them, and validates those

solutions that successfully adapt the organization to its environment and

integrate its members into a functioning group.

Through such dynamics, the organizational culture of Facebook emerged over

time as Harvard student Mark Zuckerberg launched the site in 2004 for on-

campus social networking, enlisted a team of classmates to expand Facebook to

other colleges, filed as a corporation, moved operations to California’s Silicon

Valley, and in 2006 opened enrollment to virtually anyone. But the example of

Facebook also illustrates Schein’s contention that organizations do not form

accidentally or spontaneously, but begin with the idea of a single founder.

Culture formation only starts when the founder teaches the idea to a core group.

Consider these corporate leaders: Walt Disney, Colonel Harlan Sanders, Bill

Gates, and Mary Kay Ash. Even after many decades, their original visions

continue to distinguish the organizations they founded. Sometimes, the company

founder even became the symbolic focus of an organization—think about Steve

Jobs of Apple Computers or Dave Thomas of the Wendy’s restaurant chain. This

phenomenon occurs, however, not only in well-known corporations, but in many

small businesses and family-owned firms as well.

Walt Disney

Source: http://upload.wikimedia.org/wikipedia/commons/a/a6/Walt_Disney_Snow_white_1937_trailer_screenshot_(12).jpg,

US Public Domain

Bill Gates

Source:

http://commons.wikimedia.org/wiki/File:Bill_Gates_2004_cr.jpg,

Creative Commons

As the organization grows beyond the core group, the

influence of leaders is extended through what Schein called

culture-embedding mechanisms. [8] What leaders choose

to regularly emphasize, measure, and control; how leaders

react to key incidents and emergencies; how leaders

allocate resources and rewards; how they select and

promote (or terminate) employees—all have primary

impacts on organizational culture. Leadership priorities are

likewise embedded through a number of secondary

mechanisms including organizational structures, systems,

procedures, formal documents, physical spaces, rites,

rituals, stories, and myths.

Table 6.4 Schein's Culture-Embedding Mechanisms

Primary

Mechanisms

What leaders choose to focus on

How leaders respond to critical events

How leaders allocate resources

What behaviors intentionally or unintentionally model

What leaders reward and what leaders punish

Whom leaders select to hire and promote

Secondary

Mechanisms

How leaders structure the organization

What systems and procedures leaders adopt

What rites and rituals the leaders promulgate

How leaders arrange physical spaces

What stories leaders tell of the organization's heroes

and history

What formal statements of organizational philosophy

leaders make

Finally, to tie all his ideas together, Schein proposed a three-part model

(graphically represented in Figure 6.4) of organizational culture:

1. At the core are the basic assumptions that members share and, indeed, take

for granted. As in Schein’s definition of organizational culture, members

have validated solutions to the point where they assume “that’s how the

world works” and view these solutions as “the correct way to perceive,

think, and feel.” Thus one organization might assume growth should be

strictly on a pay-as-you-go basis, while another assumes that taking on debt

to fund expansion is a wise strategy.

2. The next level is an organization’s espoused values or its stated preferences

for what “should” happen. These might be expressed, for example, through

a mission statement or policy manual. By recognizing the importance of

values, Schein introduces an interpretive factor that is sometimes

overlooked in research from a functionalist perspective, since

organizational values are socially constructed from the interplay of

individual mind-sets.

3. Finally, an organization’s behaviors and artifacts is the level of culture most

readily seen. Behaviors might range from how people address one another

to how staff meetings are conducted. Artifacts encompass the whole of the

organization’s physical environment and physical outputs—from the

president’s parking space and the arrangement of offices to the company

letterhead and even the family photos employees hang in their cubicles.

Further, these three levels—basic assumptions, espoused values, behavior and

artifacts—dynamically interact. A manager who would analyze an organization’s

culture might look at whether its behaviors match its espoused values, or

whether its espoused values accurately reflect members’ taken-for-granted basic

assumptions. For example, does the company say, “The customer is always

right” when it really is driven by profits? Or do marketing campaigns for your

college or university emphasize a low student-to-teacher ratio and the

relationships students build with professors, even while the school schedules

large lecture classes and delegates lower-division courses to graduate teaching

assistants? If consistency is lacking, management can employ the culture-

embedding mechanisms at its disposal to effect change. And in fact,

“organizational change” and “change management” are major research topics for

social scientists in organizational behavior and industrial psychology.

Figure 6.4 Schein’s Organizational Culture Model

Organizational Rites and Rituals

Another frequently cited study also illustrates how a functionalist approach can

recognize the ways that organizational cultures emerge from group interactions

—even as it prescribes ways that group processes can be managed. Harrison

Trice and Janice Beyer proposed that organizational rites and ceremonials fall

into six categories: passage (transitions to new roles), degradation (reprimanding

or firing), enhancement (show approval/give awards), renewal (training and

development), conflict reduction (negotiations/conflict management), and

integration (office parties, staff retreats, onboarding, etc.). [9] These range from

rites that enhance and renew the organization, to rites that reduce conflicts, to

rites that bind members to the organization and mark their passage through (or

exit from) the system. Trice and Beyer readily acknowledged that, beyond what

is openly done and said, these rites also have a ripple effect. They gave the

example of a college professor who receives an award. Beyond affirming the

award process and the individual candidate, the rite demonstrates to other

professors what the institution values most and motivates faculty to meet those

requirements. Thus the social consequences of a rite will ripple through an

organization and impact its culture, even as the rites themselves are expressions

of that culture.

Still, these rites—and the culture they express—are seen as attributes that an

organization has, rather than what the organization is. Trice and Beyer

referenced the work of Deal and Kennedy, and Peters and Waterman, to affirm

that “Organizations with strong cultures probably have potent and well-

established rites and ceremonials.” [10] Thus, they advised, “Practicing

managers therefore could profit from learning how to evaluate their rites and

ceremonials in order to determine the degree to which they are achieving both

desired and other consequences.” Existing rites can be “domesticate[d]…to

shape their practice and manage their occurrence” and thereby “create new

ideologies that are consistent with the demands of external change.” Or,

alternatively, “managers can invent…new rites that express ideologies that

positively value change itself” until “the old rites may lose their appeal and

wither away.” [11]

Organizational Symbols

Rites and rituals, of course, have great symbolic value. In Chapter 4, we learned

that semiotics, or the study of signs and symbols, is one of the major traditions in

theorizing communication. Since the meaning of a thing is different for each

person, the common referent of a sign or symbol makes it possible for some

meaning, at least, to be shared. Gail Fairhurst and Robert Saar, for example,

advise leaders to leverage this phenomenon and develop the art of creating the

“frames” by which followers interpret organizational life. [12] In the literature on

organizations, then, symbols are strongly associated with organizational culture. [13]

Perhaps when you think of organizational symbols, the various military branches

come to mind with their uniforms, rank insignia, medals, flags, colors, and

anthems. Yet the company president who stakes out a named parking space next

to the front door—or who reserves that spot for the employee of the month—is

also creating a symbol that can influence the organization’s culture. Anat Rafaeli

and Monica Worline described symbols in organizational culture as “things that

stand for the ideas that compose the organization” and as “visible, physical

manifestations of organizations and indicators of organizational life.” [14] In the

course of their research, they identified four cultural functions served by

organizational symbols.

Reflections of Organizational Culture

Symbols provide tangible ways to create a shared perception among organization

members. For instance, if you were planning a wedding and visited a hotel

ballroom that looked rundown and dirty, you would interpret that as a reflection

of the hotel’s overall culture. The ballroom is, symbolically, the grandest space

in any hotel. So, if even its ballroom is shabby and its furnishings outdated, then

the hotel management and staff presumably must be lax. But suppose you

walked into a pristine, gorgeous ballroom with fresh flowers and polished floors

and all the things that symbolize grand style. You would take that as a symbolic

reflection of the hotel itself.

Triggers of Internalized Values and Norms

As we saw, symbols reflect organizational culture. But in turn, symbols also

shape organizational culture. Over time, symbols stimulate organization

members to act on the cultural values and norms they have internalized. Thus the

staff at the hotel with the rundown ballroom are probably stimulated (negatively)

to take a “Who cares?” attitude about maintaining the premises, while the staff at

the hotel with the stylish ballroom are stimulated to take pride in working at a

five-star property.

One type of action, of course, is communicative behavior. Rafaeli and Worline

argued that organizational symbols can encourage communications that members

deem appropriate and discourage communications deemed inappropriate. For

example, think about your last visit to a favorite restaurant. If you went to a

coffee shop with a friend, you probably relaxed in plush chairs and enjoyed an

easygoing conversation. But if you went out for fine dining, the posh

surroundings likely prompted you and your companion to speak in quieter tones

and perhaps with a bit more formality. In either case, the symbols all around you

—from the earthenware mugs at the coffee shop to the crystal wineglasses at the

gourmet restaurant—prompted you to communicate in different ways.

Frames for Conversations about Experience

Rafaeli and Worline believe the third function of symbols “is to provide a

vehicle for conversation and communication among organizational members.” [15] This idea recalls our earlier observation about the semiotic work of signs and

symbols, how they provide a common referent that allows people to share

meaning. Thus the baristas at the coffee shop stand behind the coffee bar,

underneath the hand-lettered menu board, surrounded by an earthy brown and

green color scheme, wearing aprons to match, and banter with customers and

each other about the latest trends in pop culture. They would never talk about

cutlery, linens, wine lists, and the market price for fresh fish—as would the staff

of the deluxe restaurant. In both cases, the symbolic environment provides a

frame for employees’ conversations about their organizational experiences.

Integrators of Organizational Meaning Systems

Finally, suggest Rafaeli and Worline, symbols help integrate organization

members’ individual interpretations into a shared system of meanings. This

dynamic is vividly seen in corporate logos after two companies merge. When

NationsBank and Bank of America merged, the name Bank of America was

kept, but the new logo sported the typology and color scheme of the old

NationsBank. When Citicorp and Travelers merged to become Citi, the new logo

featured a red arc that recalled the famous Travelers red umbrella symbol. And

when Nextel and Sprint merged, the new entity retained the Sprint name, but the

new logo kept the Nextel color scheme. In fact, symbols can be linguistic as well

as visual. Slogans such as “A mind is a terrible thing to waste” (United Negro

College Fund), “Be all that you can be” (United States Army), and “Eat mor

chikin” (Chick-fil-A) not only convey the values of the respective organizations

to the public, but such slogans become symbolically important for organization

members and guide how they interpret life on the job.

Ashkanasy, Wilderom, and Peterson noted that “organizational contexts shape

the meanings and actions of organizational members” and thereby suggest

“ways in which organization leaders can influence individuals by influencing the

context of values within which they work.” [16] Because organizational

communication scholars who take a functionalist approach view culture as an

attribute an organization has, they believe leaders can attempt to shape it and

increase organizational effectiveness. Yet they acknowledge that cultural

dynamics are complex, and that group processes are powerful and not easy to

“manage.” Still, their view of organizational culture prompts them to look for

shared patterns. In this, they share the outlook of interpretive scholars whose

ideas are reviewed in the next section. The difference is that the interpretive

perspective sees culture as something an organization is, rather than an attribute

to be managed.

Interpretive Approaches

In the previous section we reviewed important scholarship on organizational

culture from a functionalist perspective, or the view that culture is one attribute

(among many) that an organization has. Since functionalism remains the

perspective from which the majority of organizational research is conducted, the

works of Peters and Waterman (“excellent cultures”), Deal and Kennedy

(“strong cultures”), Schein (culture-embedding mechanisms), and Trice and

Beyer (organizational rites and rituals) continue to be widely cited and

influential. Now, however, we turn to the growing body of interpretive research

that holds an organization is its culture.

Recall that functionalists who believe culture is something an organization has

often bring to their research an a priori theory to use as a framework for their

analyses. In contrast, interpretive researchers prefer to observe an organization

and then describe the culture on its own terms, rather than fit their observations

into a predetermined theory. For this reason, acquainting you with functionalist

theories was relatively easy since major theories are readily identifiable. But the

goal of interpretive research is describing cultures of individual organizations

rather than developing general theories (although as cases accumulate, general

theories can be proposed). So in this section on interpretive approaches to

organizational culture, our review will focus less on theories and more on how

research is conducted.

Doing Ethnography: Etic versus Emic

The idea of “culture” is taken from anthropology. Yet many organization and

management researchers who borrowed the concept of culture from

anthropology were less prone to adopt the methods of anthropology. As Sonja

Sackman noted, “The introduction of an anthropological concept into the domain

of management was fostered by the notion that it may have an influence on

organizational performance. Subsequently, methods were developed to

understand, assess, and change corporate culture in the hope for better

performance and, ultimately, for gaining a competitive advantage.” [17]

In anthropology, however, the suggestion that a researcher should “assess” a

people’s culture in order to “change” and “improve” it would be rejected. The

objective of anthropologists is ethnography, which means the “writing of

culture.” Anthropologists observe a culture, sometimes as participants and

sometimes as detached observers; they interview people, engage them in natural

conversation, record their stories, join in their cultural gatherings and rituals, and

take field notes.

Some organizational researchers have adopted these ethnographic methods, often

spending a year or more “living” in an organization—attending staff meetings,

going to company picnics, conversing with and interviewing employees and

managers, observing how people address each other and what they wear, noting

office layouts and employee bulletin boards, analyzing documents that range

from policy memos, missions statements, annual reports, and official websites to

office party announcements and employee service awards. Organizational

ethnographies have been written about—among many other cases—a police

department, [18] a university, [19] an office supply firm, [20] a television station, [21] a nursing home, [22] a geriatric ward, [23] a major accounting firm, [24] a

ballpark, [25] California Disneyland, [26] Tokyo Disneyland, [27] Amway

distributors, [28] family businesses, [29] social service organizations, [30] curling

clubs, [31] and fundamentalist churches. [32]

These studies reflect—even as research in the broader field of anthropology

reflects—different assumptions about “what is” culture. Various scholars

alternatively maintain that culture is essentially material, [33] behavioral, [34] adaptive, [35] communicative, [36] performative, [37] cognitive, [38] or

symbolic. [39] Ethnographers also have varying commitments in their research

strategies: one may prefer to observe a culture as a participant and another as a

nonparticipant; one may prefer to elicit in situ natural conversation and another

prefers to conduct structured interviews under controlled conditions. Despite

these differences, however, all agree that ethnography is an “insider” approach.

One influential framework for grasping the difference between “outsider” and

“insider” research was put forward by anthropologist Kenneth Pike. [40]

Scientists employ the term phonetics for the physical production of human sound

and phonemics for the cultural interpretation of sounds. Pike extended these

approaches to language and proposed two basic approaches—which he called

etic and emic—for studying culture. In the etic approach, researchers create

systems for classifying cultures. Researchers who take an emic approach study a

single culture to discern which classifications are meaningful to its members. To

illustrate the emic approach to ethnography, Pike observed the small local church

to which he belonged. [41] He discerned that worship services could be divided

into identifiable segments that were culturally meaningful to members.

Pike’s descriptions of the etic view and emic view are summarized [42] in Table

6.5. His etic/emic distinction has drawn both admirers and critics. [43] Scholars

today agree that any “insider/outsider” dichotomy in ethnography is too

simplistic. Rather, the two approaches are best seen as dialectical: emic research

contributes detailed cases that may aid in the development of stronger general

theories, while etic frameworks can help ethnographers sift through reams of

field data. Nevertheless, the emic/etic distinction offers a useful way to grasp the

basic issues of doing organizational ethnography.

Table 6.5 Pike's Etic and Emic Views of Culture

Etic View Emic View

Detached Observer's View Normal Participant's View

Alien view: units of analysis are structured by the analyst

Domestic view: research leads to

units of analysis that correspond to

those of native participants in the

cultural system

Cross-cultural view: units of analysis are derived by comparing

many cultural systems and then abstracting and synthesizing the

units into a generally applied single scheme

Monocultural view: units of

analysis are derived from the internal

functional relations of only one

cultural system at a time

Typological view: units of analysis lead to construction of a

classifying grid through which each cultural system can in turn be

seen as composed of units related to that grid; each new cultural

system is approached with units ready to be found in that system

Taxonomic view: research leads to

units of analysis that are only known

after each new cultural system has

been analyzed

Absolute view: analytical criteria are absolute or quasi-absolute,

relative to an a priori grid

Relative view: analytical criteria are

relative to the place that the units of

analysis have in the particular

cultural system

Measurable view: units of analysis are often measurable without

reference to the cultural system in which they are embedded

Contrastive view: units of analysis

are only discernible in reference to

the responses they elicit relative to

other units within the cultural system

Conceptual view: Systems are conceptual tools created by the

analyst so that the analyst can observe data from an alien view and

deduce the structuring of a cultural system

Discovery view: Systems are

discovered by the analyst as units

reacted to, or constituting the

reactions of, native participants in

events

Analyzing Organizational Talk

Pike advised would-be ethnographers on how to conduct field research. Not

being native to the cultures they observe, ethnographers experience a sensation

of “suddenly finding themselves in a series of events which they at first do not

comprehend.” But they “gradually learn to act as normal participants, as

through contrastive situations (or by receiving instruction) they gradually learn

to make the kinds of responses to these events which elicit appropriate reactions

by other members of the community.” [44] In other words, the ethnographers

learn to “talk the talk” so that, through the trial and error of engaging others and

taking stock of the responses, the underlying cultural system is discovered.

A contemporary of Pike, the sociolinguist Dell Hymes, argued that because talk

requires social interaction, finding out how people in a culture speak to each

other is a particularly powerful way to learn the assumptions that hold the

culture together. He used the term speech communities to denote a community

of people who share the same rules for interpreting talk. [45] Hymes used the

acronym SPEAKING, detailed in Figure 6.5, to illustrate all the things about a

community that are revealed by simple acts of talking. [46]

Figure 6.5 Hymes’s SPEAKING Acronym

Imagine you are an organizational ethnographer attending the weekly staff

meeting of a medium-sized corporation. Think what you might learn about its

culture from the following observations: The physical setting is a small

auditorium in which the company president and vice presidents are in leather

chairs seated on a dais facing the staff, who are seated classroom-style in folding

chairs. You can tell right away the scene, or “psychological setting,” of the

meeting is serious rather than lighthearted; employees speak in hushed tones

even before things start. Participants include the president, vice presidents,

managers, and staff, but not maintenance personnel. The ultimate end of the

meeting, as you discover by its conclusion, is for the corporate leadership to

announce the latest management initiatives and report news about sales and

production. Toward that end, the act sequence, which imparts form and order to

the meeting, starts with a call to order by the president, followed by reports from

each of the vice presidents, policy announcements and reminders, and

concluding remarks from the president. Questions from the audience are allowed

only when people on stage are finished speaking; hands must be raised and the

employees recognized. As you listen, it is clear that the key or tone of the

meeting is fairly formal: the vice presidents, for example, are introduced by their

titles and not by their first names, while the company president enforces Robert’s

Rules of Order. Because the instrumentality of a sound system is used, talking

is dominated by those on stage who have access to microphones. Norms, or

social rules, for the meeting include business dress, use of formal titles, and

adherence to the published agenda. Beside each agenda item is the time allocated

for that topic. Finally, most of the speaking follows the conventions or genres of

the “business report” (the presentations by the vice presidents) and the “pep talk”

(the concluding remarks by the president).

One ethnographic research tradition, called ethnography of communication

(EC), is of particular interest to communication scholars. A well-known

approach to EC is the speech codes theory proposed by Gerry Philipsen. The

theory holds, “Wherever there is a distinctive culture, there is to be found a

distinctive speech code,” and “a speech code implicates a culturally distinctive

psychology, sociology, and rhetoric.” [47] The latter proposition means that a

culture’s talk expresses its underlying assumptions about the nature of people

(psychology), how they should be linked in social relations (sociology), and how

people should act symbolically (rhetoric) as persons worthy of social relations.

For example, an organizational ethnography of a university found that faculty

and administrators had different cultures. [48] Faculty used the speech code

“talking things through” to express their taken-for-granted assumption that

“colleagues” (the nature of people) can best be “peers” (how people should be

socially linked) and can best affirm (symbolically) each other as “individuals.”

On the other hand, administrators employed the speech code “put it in writing”

and tacitly assumed that people had rights (the nature of people) and

responsibilities (how people should be socially linked) that were best achieved

by (symbolically) codifying these in writing. For-profit businesses are just as

likely to have their own lingo. Perhaps the company is referred to as a “family”

(the nature of people) and employees as “associates” who are “customer

oriented” (how people should relate to one another), while its symbolic resources

are on display in its many organizational rites and rituals.

Analyzing Organizational Texts

Organizations can generate staggering amounts of written material. These range

from mission statements and policy manuals that serve as permanent references

to a vast array of everyday documents that range from sales proposals to press

releases. Loizos Heracleous argued that everyday texts such as memos and e-

mails are actually “closer to spoken discourse than written text” because they

put spoken understandings in writing. [49] Unlike other forms of writing—books,

stories, letters—whose interpretations are open ended, organizational documents

are (like speech) intended to convey a single meaning and coordinate collective

action. Since most research on everyday texts in organizational settings employs

rhetorical analysis, genre analysis, or discourse analysis, we will briefly review

each approach. [50]

Rhetorical Analysis

In Chapter 4, we encountered the rhetorical tradition in communication theory.

This tradition, the oldest in communication, began more than 2,300 years ago

when the Greek teacher Aristotle proposed a system for classifying “the

available means of persuasion.” [51] Today, scholars analyze rhetorics from

political speechmaking and consumer advertising to television broadcasts and

weblogs. And because organizations are such an essential feature of modern life,

scholarly interest in organizational rhetoric is increasing.

A rhetorical analysis of an organizational text would attempt to answer the

questions, “Why (or why not) was this text persuasive in its organizational

setting? Why (or why not) did the text persuade others to agree and act on that

agreement?” Thus how did the company press release succeed in bolstering the

organization’s public image? Why did the annual report make stockholders

happy? Why does the company mission statement achieve broad agreement

among managers and employees about the values of the organization? How does

the monthly company newsletter attempt to bring employees into alignment with

managerial interests? One scholar analyzed the rhetoric of a computer user’s

manual produced by the information technology department of her university.

While the text was only moderately effective at giving instructions, its rhetoric

helped smooth over interdepartmental turf battles and reassured users that the

new computer system was a progressive move. [52]

Mary Hoffman and Debra Ford have defined organizational rhetoric as “the

strategic use of symbols by organizations to influence the thoughts, feelings, and

behaviors of audiences important to the operation of the organization.” [53] They

broadly identified five rhetorical situations—or situations that call for a

rhetorical response—that occur in organizations: create and maintain identity,

manage issues, manage risks, manage crises, manage members. To attain their

goals in given rhetorical situations, organizations must adopt rhetorical strategies

that are appropriate for the different audiences they must reach. In turn, these

audiences may range from the general public and local communities, to

customers and clients, policymakers and the media, vendors and suppliers,

investors and stockholders, managers and employees.

The rhetorical tradition in communication theory affords many avenues for

analyzing organizational texts. Classical and neoclassical rhetorical theory

remains an enduring tradition in Western universities. But as Table 6.6

illustrates, numerous modern approaches to rhetorical analysis can be applied to

organizational activities.

Table 6.6 Approaches to Organizational Rhetoric

Approach Basic Principles Organizational

Examples

Neoclassical

Builds on Aristotelian and classical theories of rhetoric to identify how

the text is put together and what proofs and arguments the

speaker/writer uses to persuade the audience

Bureaucratic

memo from the

Holocaust [54]

Metaphor

Investigates how the text uses metaphors, a device that explains a new

object by likening it to a familiar one, to draw the audience along to the

conclusions of the speaker/writer

DaimlerChrysler

merger [55]

California

Disneyland [56]

Narrative Investigates how the text uses stories as devices to draw the audience

along to the conclusions of the speaker/writer

Teachers going

on strike [57]

Fantasy

Theme

Builds on the symbolic convergence theory of Ernest Bormann, which

holds that audiences are persuaded as they fantasize with the

speaker/writer and come to share a rhetorical vision

Alcoholics

Anonymous [58]

Women

managers [59]

Collective

bargaining [60]

Generic

Certain situations elicit certain audience expectations for a certain

rhetoric until the rhetoric becomes an established genre (e.g., eulogies,

apologia, concession speeches)

University

mission

statements [61]

Corporate

apology

statements [62]

Ideological

Goes beyond the surface structure of the text (e.g., arrangement, style,

types of proofs) and discovers the assumptions, values, and beliefs that

underlie the text

Starbucks coffee

shop layouts [63]

Dramatistic

Builds on the rhetorical theories of Kenneth Burke to identify how the

text constructs the elements of a drama: act, agent, agency, scene, and

purpose

National Park

interpretive

programs [64]

Cluster

Builds on the rhetorical theories of Kenneth Burke to identify key

subjects in a text and then chart what key words and symbols cluster

around those subjects

Church of

Scientology

public relations [65]

Scholarship today is exploring new areas that reach beyond the traditional

concerns of the Western rhetorical tradition. A growing body of literature

investigates visual rhetorics and the ways that images make arguments and

persuade audiences. [66] Non-Western rhetorics, which may base persuasion on

fundamentally different forms of argumentation than those in Western tradition,

have likewise inspired much scholarship. [67] Certainly, organizational texts

created outside North America and Europe are rightfully analyzed according to

the rhetorics of the cultural traditions that produced them.

Genre Analysis

As we saw in the Rhetorical Analysis section, one approach (among those listed

in Table 6.6) is generic criticism. Sonja Foss explained that such criticism “is

rooted in the assumption that certain types of situations provoke similar needs

and expectations in audiences and thus call for particular kinds of rhetoric.”

Thus the generic critic “seeks to discover commonalities in rhetorical patterns

across recurring situations” as a type of speech or text becomes a genre with

established conventions. [68] Scholars have analyzed a vast array of genres, from

funeral eulogies and political concession speeches to romance novels and

scientific articles. As such, generic criticism “departs from the traditional

emphasis on a single speaker or speech,” observed Carl Burgchardt. “Indeed, to

be done properly, genre criticism must examine a number of speeches or other

forms of discourse in order to draw conclusions about categories of rhetoric.” [69] Genre analysis is of special interest in studying organizational texts for three

reasons.

1. Unlike (for example) political oratory where the focus is on one person,

organizational discourses occur with a context of collective action. In fact,

organizational texts are often produced in collaboration. Thus the nature of

organizational texts already lends itself to studying multiple texts of the

same genre, either across organizations or within the same organization.

2. Since organizations must achieve continuity over time, even while their

members come and go, organizational life is replete with recurring

situations. This creates a fertile ground for generic writing that follows

established conventions—mission statements, annual reports, press

releases, advertisements, policy manuals, user manuals, safety bulletins,

legal disclaimers, executive memos, company websites, employee

newsletters, and interoffice e-mails, just to name a few.

3. Genres become established when they prove effective in dealing with

recurring organizational situations. That means an organization’s genres

point us to situations that keep cropping up with the solutions that members

have collectively validated.

Carolyn Miller and Jack Selzer analyzed the texts of a Nebraska engineering

firm. In sending proposals for two very different Illinois transportation projects

—an airport expansion and a highway traffic study—the firm included

transmittal letters with strikingly similar language. In both letters, the Nebraska

company emphasized its “commitment” to Illinois by recently building a “major

office” there, along with its intention to maintain “close” relations with clients

“throughout the duration of the project.” Proposal transmittal letters, then,

became a genre for dealing with the recurring situation of out-of-state projects

and reflected company members’ collectively validated solution of conveying

“commitment” and “closeness” through a “major” and “enduring” out-of-state

presence. Miller and Selzer advised researchers to find genres in organizational

texts by (1) comparing documents with their accompanying internal directives,

(2) comparing multiple documents from the same organization and checking for

language that recurs on different occasions, (3) examining any written guidelines

the organization has issued for its writers, (4) checking for internal

correspondence about a project or any marginalia and notes to writers that may

appear on documents, and (5) interviewing the writers. [70]

Later, Miller developed a theory of the rhetorical community, which supplies the

cultural basis for genres. Such communities arise and are sustained as members

agree on a common narrative or story, use metaphors to bridge their differences,

and establish communicative conventions that facilitate collective action. [71] Thus the Nebraska engineering firm generated a narrative about out-of-state

projects (“We are committed to Illinois and close relations for the duration of

your project”), employed a metaphor (a major office as a stand-in for the

headquarters office) to bridge differences between the central office and field

personnel, and developed the genre of the transmittal letter to structure joint

actions.

Discourse Analysis

While discourse analysis is an established discipline, organizational discourse

analysis is a relatively new area. Not surprisingly, then, “organizational

discourse is poorly defined.” Since analyses draw on “numerous theoretical

antecedents, it has few clear parameters and, as a field of study, it incorporates

a variety of diverse perspectives and methodologies reflecting its multi-

disciplinary origins.” [72] Matts Alvesson observed that organizational discourse

research and culture research often investigate the same phenomena, such as

organizational stories, myths, narratives, texts, rhetoric, and ritual. The

difference between the two approaches, he asserted, is over the question of

which comes first, language or culture? Organizational discourse analysts

assume that meaning is generated by language; as organization members use

language to identify things and then to categorize them and relate them to one

another, they construct social reality. Thus language is the bearer of meaning

through which reality is created and interpreted. Conversely, organizational

culture analysts assume that language reveals only existing, underlying cultural

meanings, which organization members take for granted and may not express in

discourse. Thus people are the bearers of meaning through which reality is

created and interpreted. [73]

One scholar who has applied principles of discourse analysis to everyday written

documents is Glenn Stillar. [74] He noted that language constructs meaning

through ideational resources since a text is “about something”; through

interpersonal resources, since a text is “to and from someone”; and through

textual resources, since a text has structure and organization that permit cohesion

and coherence. Through ideational resources, the writer of a text uses language

to represent the type of social activity being described: How and by whom is

action taken? Who is acted upon? What are the circumstances and time

perspective? Then, through interpersonal resources, the writer represents the

relationship between author and reader: What are their respective roles? What is

their orientation to each other? Who has authority? Who has obligations?

Finally, through textual resources the writer gives the text coherence by

employing the rules of the particular language in which the text is written—for

example, in English by using its rules for grammar, capitalization, punctuation,

paragraphing, and the like.

In a particularly striking application of this method, Mark Ward analyzed the

discourse of a bureaucratic memo from the Holocaust. He showed how the

writers, who proposed technical “improvements” for gassing victims, employed

ideational resources to construct a social reality in which “thinking” and

“sensing” were deemphasized and only “doing” and “being” mattered. Similarly,

the writers’ use of interpersonal resources is notable for the heavy use of modal

verbs. Thus the writers constantly shifted their killing actions out of the present

and into the past (has been, have been, etc.) or the future (will be, could be, etc.).

The writers further distanced themselves from the killing because, in the nearly

three dozen sentences that described these actions, the writers were never the

subjects (actors) of the sentences. [75]

Analyzing Organizational Stories

Interest in the stories that organization members tell, including the official stories

promoted by management and the informal stories circulated by employees, was

sparked by the work of Michael Pacanowsky and Nick O’Donnell-Trujillo. [76] In a landmark 1983 article, they noted that, as an alternative to the systems

theory (see Chapter 4) that then dominated organizational communication

research, the concept of organizational culture was quickly gaining ground. Yet

researchers at the time generally viewed organizational culture as static and

structural—or were satisfied simply to identify features of organizational culture

without digging deeper to discover the underlying cultural processes that

produced, sustained, and transformed these features. To address this gap,

Pacanowsky and O’Donnell-Trujillo proposed a new way of looking at

organizational culture—as something that members perform.

At the time Pacanowsky and O’Donnell-Trujillo were writing, the works of

sociologist Erving Goffman and anthropologist Victor Turner had gained wide

circulation among many communication scholars. As we saw in Chapter 4,

Goffman applied a dramaturgical metaphor to social interaction. People in

conversation, he surmised, take a role—perhaps the peacemaker, the initiator, or

the counselor—and then “play to the audience” by communicating in ways

calculated to gain social acceptance. [77] Turner developed the concept of

“performative anthropology.” While many anthropologists believed that rituals

were merely outward expressions of deeper cultural processes, Turner held that

rituals create culture by shaping how its members know the world. Ritual, he

argued, “actually creates, or recreates, the categories through which men [sic]

perceive reality [as rituals shape] the axioms underlying the structure of society

and the laws of natural and moral orders.” [78]

Pacanowsky and O’Donnell-Trujillo applied the theories of Goffman and Turner

to organizational cultures. They noted that organizational performances are

interactional (“always socially enacted by multiple participants”), contextual

(“situationally embedded in the very reality they bring to completion”), episodic

(“nameable as distinct events” such as a budget meeting or annual job review),

and improvisational (“the lines of organizational members are not tightly

scripted”). [79] Next, they proposed that organizational performances may be

categorized into four types of rituals: personal rituals performed by individuals

(e.g., the manager starts each morning by opening the mail), task rituals

performed as a consequence of being an organization member (e.g., a police

officer begins each pullover with “May I see your driver’s license?”), social

rituals performed by groups (e.g., going for beer every Friday night), and

organizational rituals performed collectively (e.g., the annual company picnic

and softball game). But what, exactly, is exchanged in these ritualistic

performances that has the power to create, sustain, and transform organizational

culture? Pacanowsky and O’Donnell-Trujillo suggested four answers:

storytelling, socializing, politics, and enculturation.

1. Organization stories that create culture include personal stories that

members tell of themselves to embellish their organizational identities,

collegial stories that members share about their “real” experiences of

organizational life, and corporate stories that management tells to

substantiate and glorify its ideology.

2. Socializing creates culture as members ritually exchange courtesies (e.g.,

morning greetings), pleasantries (e.g., everyday small talk), sociabilities

(e.g., joking, gossiping, griping, and talking shop), and privacies (e.g.,

confessing, consoling, supporting, criticizing).

3. Political rituals in organizational culture include performances that show

personal strength; recruit allies; bargain; and attack, defend, or concede.

4. Rituals of enculturation, which impart social knowledge required for

competent organizational membership, include performances of orientation

and initiation in which newcomers “learn the ropes” of accepted roles and

procedures.

Pacanowsky and O’Donnell-Trujillo’s proposals for analyzing the processes of

organizational culture are summarized here.

Table 6.7 Taxonomy of Organizational Performances

Traits of Performances Types of Performances What is

Exchanged

Interactional: enacted by

multiple participants

Contextual: embedded in

situations

Personal rituals: performed by members to enhance

their organizational identities

Task rituals: performed by members as a part of

Storytelling

Personal stories

Collegial stories

Corporate

stories

Socializing

Courtesies

Pleasantries

Sociabilities

Privacies

Politics

Show of

personal

Episodic: nameable as a

distinct event

Improvisational: not tightly

scripted

being a member

Social rituals: performed by groups

Organizational rituals: performed collectively

strength

Recruitment of

allies

Bargaining

Attack

Defense

Concession

Enculturation

Learning the

role

Orientation

Initiation

Learning the

ropes

Pacanowsky put his methods into practice when he spent a nine-month

sabbatical observing the culture of W. L. Gore & Associates, a sporting goods

manufacturer. [80] There he found performances, rituals, and stories galore that

created and sustained an organizational culture that passionately prized

decentralization to a degree unusual in corporate America. Since the 1980s,

many scholars have investigated organizations through the lens of ritual and

performance. O’Donnell-Trujillo published studies of a police department, [81] a

baseball park, [82] and the John F. Kennedy assassination site in Dallas, Texas. [83] A book-length ethnography by Gideon Kunda plumbed everyday rituals in

the engineering department of a large American high-tech corporation—where

corporate stories that ostensibly promoted collegiality subtly brought engineers

under greater control. [84] Stephen Banks observed commercial flight attendants’

ritual performances of onboard public service announcements; through these

rituals, attendants managed the tensions between controlling and serving

passengers and between themselves and the cockpit crew. [85] Scholarship on

organizational storytelling has taken a critical and postmodern turn through the

work of David Boje whose studies include an office supply firm, [86] the Disney

Corporation, [87] a Nike shoe factory, [88] the Enron scandal, [89] the Ronald

McDonald mascot, [90] and Walmart. [91] His work brings us, then, to a review of

critical and postmodern approaches to organizational culture.

Critical and Postmodern Approaches

In Chapter 4 on modern theories of organizational communication, we learned of

critical and postmodern approaches to the field. When scholars from these two

traditions turn to organizational culture, they often adopt methods discussed

earlier—particularly rhetorical analysis, genre analysis, discourse analysis, and

story analysis. But they do so based on their own ontological, epistemological,

and axiological assumptions. So let’s review those assumptions—that is, the

assumptions that critical and postmodern scholars bring to the study of

organizational cultures.

Critical researchers investigate how organizational cultures promote reification

and universalization of managerial interests. Because culture becomes ingrained

and taken for granted, it is a powerful means for making an organization’s

dominant interests seem natural, normal, self-evident, and beyond questioning—

until these interests are taken as the only legitimate interests. Further, critical

scholarship traces the ways that the managerial interests reflect the larger

structures of power and domination within the surrounding society. At the same

time, critical research explores how organizational processes of reification and

universalization have silenced the voices of marginalized groups—workers,

women, people of color, and others. Ultimately, a critical approach to

organizational culture seeks to recover and emancipate these marginalized

voices, by exposing processes by which domination occurs and thus reopening

for discussion the possibilities that such domination has until now foreclosed.

Postmodern scholars hold that people’s view of “reality” is preconditioned by

the larger historical and cultural discourses that surround and shape them. And

since these discourses are ever changing and competing, then “reality” too is in

constant flux. Since this same principle applies to organizational realities,

postmodern scholars say that organizations are decentered (members’ intentions

are not the main driving force since people are preconditioned by language),

fragmented (organizations are temporary responses to temporary realities,

buffeted over time by competing discourses that produce fragility rather than

unity), and overdetermined (members are shaped by competing discourses so

that their organizational identities are unstable). In tracing these phenomena

through an organization’s culture, postmodern researchers bring to their work a

commitment to the centrality of discourse. Each organization is a “text” that can

be “read” or deconstructed to reveal the underlying historical and cultural

metanarratives that are reflected in the organization. Postmodern scholars take a

particular interest in tracing the formation of discourses about knowledge and

power, laying these bare and thus reopening them to scrutiny and discussion.

To see where critical and postmodern scholarship fit in—and as an appropriate

way to conclude this part of the chapter—we return to Eisenberg and Riley’s

overview of organizational culture research. They surveyed the literature on

organizational culture perspective and found seven distinct themes summarized

in Table 6.8. [92] These themes variously theorize culture as climate,

effectiveness, cognition, identity, symbolism and performance, critique, and text.

The first three—culture as climate, effectiveness, or cognition—are often

explored from a functionalist perspective. On the other hand, the three themes of

culture as cognition, identity, or symbolism and performance often attract

interpretive researchers. The last three themes—culture as symbolism and

performance, critique, and text—often inform critical or postmodern studies of

organizations.

Table 6.8 Major Themes in Organizational Culture Research

Culture

theorized Description

Research

informed by...

as...

Climate

Some scholars see climate as the enduring “personality” traits of an

organization, while others see climate as a composite of individual

members’ perceptions of a workplace.

Functional

perspective

Effectiveness

This approach holds that organizational culture is a set of values and

practices, often established by founders and leaders, that can be

manipulated or changed by management to improve performance.

Functional

perspective

Cognition

In this approach, organizational culture is seen as a common system of

meanings that frame the ways members cognize their work

environment so that coordinated action can occur.

Functional and

interpretive

perspectives

Identity

Early research in this vein examined how individuals bring their own

national cultural identities into an organization; more recent research

looks at how people construct organizational identities.

Interpretive

perspective

Symbolism

and

performance

In this approach, organizational culture is seen as produced and

reproduced via symbols (e.g., rituals, stories, ways of speaking) that

enable members to share meanings and enact them.

Interpretive,

critical, and

postmodern

perspectives

Critique

This approach draws on critical and postmodern theory to trace how

societal discourses are manifested in organizational cultures and how

dominant interests marginalize other voices.

Critical and

postmodern

perspectives

Text

Scholars who take this approach may use literary theories to analyze

organizational documents, “read” spoken discourse like a “text,” or

construct a narrative of an organization’s culture.

Critical and

postmodern

perspectives

Thus we have seen so far in this chapter how organizational climate and culture

research was first popularized with a functionalist emphasis on how these

attributes can be “managed” to enhance organizational performance. Since then,

however, the field has grown to also encompass interpretive, critical, and

postmodern perspectives. Each adds in its own way to our understanding of

organizations. Joanna Martin has even proposed a “three-perspective view” of

organizational culture that combines elements of the different approaches. [93] At

any given time, she noted, an organization manifests the three dimensions of

integration (what organization members share), differentiation (how members

inhabit different values, practices, and subcultures that must be negotiated), and

fragmentation (how members forge temporary and issue-specific consensus

amid organizational change, confusion, and ambiguity). A comprehensive look

at an organization, then, can profitably investigate what features of

organizational life manifest order and stability, what features must be negotiated

through members’ communicative interactions, and what features tend toward

disorder and must be constantly renegotiated.

Now, in the remainder of this chapter, we turn to another question that is

increasingly urgent in our globalized economy: What happens when an

organizational culture encounters other organizational cultures?

KEY TAKEAWAY

The functional approach sees culture as something an

organization has and, particularly if managed well by leaders,

tends toward order and stability. The interpretive approach sees

culture as something an organization is and, because it emerges

from members’ interactions and sensemaking, tends toward order

and stability. The critical approach sees culture as something an

organization has, but because its culture reflects larger societal

discourses that legitimize dominant interests and marginalize

others, its culture tends toward conflict. The postmodern

approach sees culture as something an organization is, because

its culture emerges as a response to the constant flux of

competing societal discourses, but regards its culture as unstable

since competing discourses produce multiple social realities.

Interest in organizational culture was sparked by two books,

Corporate Cultures and In Search of Excellence, both published

in 1982. In the former, Deal and Kennedy described attributes of

“strong” cultures that managers could foster; in the latter, Peters

and Waterman listed traits of “excellent” cultures. Among

scholars, Schein’s functionalist model of culture has been

influential. He held that organizational cultures are manifested in

three levels: basic assumptions, espoused values, and

behaviors/artifacts. Leaders can employ culture-embedding

mechanisms to shape an effective culture. Trice and Beyer

observed that an organization’s rituals—of passage, degradation,

enhancement, renewal, conflict reduction, and integration—are a

powerful lens to analyze its culture, as effective tools for

managers to change culture. Rafaeli and Worline theorized that

organizational symbols serve four functions: reflecting

organizational culture, shaping that culture, framing talk about

organizational experience, and integrating organizational

meanings. Leaders can change culture by manipulating symbols.

While functionalist research often interprets organizational

cultures based on preconceived theories, interpretive research

tries to describe a culture on its own terms. Pike described these

two approaches respectively as etic and emic views of cultural

research. Much interpretive research is done through

ethnography, or the “writing of culture,” as the analyst observes

and/or participates in an organizational culture, takes field notes,

collects artifacts, and interview organization members.

Organizational ethnographers have given close attention to

analyzing organizational talk, texts, and stories. Methods include

rhetorical analysis, genre analysis, and discourse analysis.

Critical and postmodern scholars of organizational culture may

also employ ethnographic research to elicit data for rhetorical,

genre, and discourse analysis. However, they bring to the

analyses their own ontological, epistemological, and axiological

assumptions (which are reviewed in Chapter 4). Unlike

interpretive scholars who believe organizational culture tends

toward order and stability, critical and postmodern scholars

believe it tends toward conflict and instability. Critical scholarship

looks for ways that organizational cultures legitimize managerial

interests and marginalize other voices. Postmodern scholarship

looks for ways that multiple competing discourses create

organizational fragility and fragmentation.

EXERCISES

1. Think of an organization to which you belong—perhaps your

place of work, or a community, or the college or university you

attend. Would you describe its culture as “strong” (according to

Deal and Kennedy) and “excellent” (according to Peters and

Waterman)? Describe (according to Schein’s model) its basic

assumptions, espoused values, and noteworthy behaviors and

artifacts. Are there conflicts between its unspoken assumptions

and the values it publicly espouses? Have the organization’s

leaders employed any of Schein’s mechanisms for influencing the

culture? Describe (according to Trice and Beyer) its important

rituals. What do they reveal about its culture? Finally, think of the

organization’s major symbol—its logo, perhaps. How does it

(according to Rafaeli and Worline) both reflect and shape the

organization’s culture?

2. Think of the same organization you considered in Exercise 1. If

Collegial Stories:

Corporate Stories:

Culture-Embedding Mechanisms:

Differentiation :

Emic:

you did ethnographic observation of this organization from

(according to Pike) an emic view, what might you hope to

observe? That is, what organizational talk, texts, and stories do

you think could be most revealing about its culture? Why?

3. As in the first two exercises, think of the same organization. Could

a critical analysis reveal that its culture legitimizes the most

dominant interests, by making them seem natural and normal,

while marginalizing other interests that struggle to be heard?

Why? Could a postmodern analysis reveal that the organization’s

culture, which on the surface seems unified and stable, is actually

fragmented into multiple subcultures that each see the

organization differently?

KEY TERMS AND DEFINITIONS

Stories that organization members share of their “real” experiences of organizational life.

Stories that management tells to substantiate and glorify its ideology.

Mechanisms used by leaders (e.g., what they reward, who they promote) to embed desired traits in an organizational culture.

In Martin’s “three-perspective” theory, those aspects of organizational culture that are formed as members inhabit different values, practices, and subcultures that must be negotiated.

As described by Pike, an “insider” approach that describes a

Ethnography:

Ethnography Of Communication (EC):

Etic :

Fragmentation :

Genre :

Integration :

Personal Stories:

Speech Codes:

Speech Communities:

culture on its own terms and allows units of analysis to arise from the internal relations of that culture.

Literally “the writing of culture,” a method for researching and describing a culture by observing and participating in it.

An ethnographic research tradition that analyzes a culture’s communication patterns in order to elicit the underlying cultural assumptions the communication encodes.

As described by Pike, an “outsider” approach that brings to the analysis of a culture a preconceived classification system derived from observations of many cultures.

In Martin’s “three-perspective” theory, those aspects of organizational culture on which members must forge temporary and issue- specific consensus amid organizational change, confusion, and ambiguity.

A type of speech or text that, through recurring use in similar situations, has established conventions; organizational genres include annual reports, policy manuals, mission statements, and so forth.

In Martin’s “three-perspective” theory, those aspects of organizational culture that members share.

Stories that organization members tell about themselves to embellish their organizational identities.

Patterned ways of speaking that encode a culture’s assumptions about the nature of people (psychology), how they should be socially linked (sociology), and the symbolic actions (rhetoric) that constitute people in social relations.

According to Hymes, a community that shares the same rules for interpreting speech.

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6.3 Globalization and Organizations

LEARNING OBJECTIVES

1. Describe major elements of globalization.

2. Understand major theories of globalization from a divergence

perspective, which investigates how organizations manifest

elements of their surrounding dominant cultures.

3. Understand major theories of globalization from a convergence

perspective, which attempts to identify driving forces behind

global integration.

Whether you believe an organization has a culture or is a culture, the idea of

organizational culture as a closed system is no longer tenable. As we learned in

Chapter 4, systems theorists have pointed out since the 1960s that an

organization cannot survive unless its boundaries are permeable enough to

permit exchanges of needed resources with its environment. And as we will see

in Chapter 11, advances in communication and information technologies are

giving rise to loosely structured “network organizations,” which can coordinate

their activities wherever an Internet connection is available. These two factors—

the simultaneous (and related) increases in resource exchange and in global

communication—have over the past generation pushed organizational activities

beyond national boundaries. As a result, American business travelers have had to

learn that a Chinese surname comes first and the given name last; that dinner

conversation may continue while a Muslim host excuses himself to pray; that a

take-charge attitude is not a universally effective way to start a meeting; and that

the “thumbs up” sign or thumb-and-forefinger “OK” is meaningless or even

offensive in some countries. [1] An American executive who asks an Indian

partner to “remember the Golden Rule” might hear in reply, “What is this

‘golden rule’ you speak of? Is there a silver rule?”

However, the rapid rise of international business contacts entails more than

simply respecting other customs or even learning other languages. A much larger

phenomenon called globalization is at work. Not only are organizations having

more contacts with international counterparts, but their activities are becoming

more integrated into an increasingly global system of commerce. One of our

coauthors (Mark Ward) remembers entering the workforce in the 1970s when

most people still expected job security in exchange for their company loyalty; in

the 1980s, however, he saw the old social contract unravel. Cynthia Stohl, an

expert on globalization and organizations, experienced the same phenomenon as

a young researcher. “The 1980s were a time of great upheaval in the world of

organization,” she recalled. “The world was changing—new communication

technologies such as fax machines and portable computers were easing the flow

and speed of communication across time and space.” [2] The same decade, she

noted, saw the rise of powerful multinational corporations, international

partnerships, and awareness that human rights, environmental pollution, and

epidemic diseases were global rather than national issues. “In short, economic

integration was just one form of global exchange that was increasing

exponentially; there were also escalations in political, cultural, and personal

global interconnections.” [3]

To describe this phenomenon, the word “globalization” was popularized in the

1990s and remains the term of choice. Many definitions of globalization have

been advanced but Stohl, in her review of the literature, found that scholarship

clusters around six broad themes: global economic integration; cultural, political,

and material exchange; worldwide diffusion of information; compression of time

and space; realignments of social interaction from local to networked contexts;

and global consciousness. [4] Given these trends—and the different ways that

organizations can respond to them—Stohl proposed that organizations can be

usefully categorized as domestic (one nationality and its dominant culture),

multicultural (one nationality, although cultural diversity in the workforce is

acknowledged), multinational (one nationality, although it maintains locally run

offices in multiple countries), international (two or more nationalities, although

regional centers maintain distinctive cultures), or global (the global system that

transcends national orientations and cultures). [5] Fully globalized organizations

such as McDonald’s and Coca-Cola are now “operating beyond national

borders [to] create a new work environment that generates its own rules of

conduct,” making these companies “not only the product of globalization; they

are also the carrier of globalization.” [6] By necessity, suggested Miriam Erez

and Efrat Shokef, they reflect values of global competitiveness, high dynamism

to cope with high uncertainty, geographic dispersion, and cultural diversity. [7]

Stohl discovered that the literature on globalization and organizations can also be

broadly divided into two approaches. Scholars who focus on divergence

advance theories of how variations in national and regional cultures are

manifested in organizations. Thus an organization in a society where punctuality

is rigorously expected may operate differently than an organization in a society

where people are more spontaneous. By the same token, relations between

management and labor may reflect the surrounding culture’s assumptions about

deference to authority. On the other hand, scholars who study convergence

attempt to theorize the sources of global integration and the blurring of national

boundaries. We have mentioned one of these sources already: the emergence of

communication and information technologies that compress time and space and

allow knowledge to be instantly disseminated on a global scale. These two

approaches—divergence and convergence—will supply the broad outline for this

chapter section.

Theories of Divergence

Before US involvement (1941–1945) in the Second World War, most Americans

were isolationists and leery of alliances with other nations. But by war’s end,

when the United States emerged as a global superpower, the State Department

realized its diplomats needed training about the countries and cultures to which

they were being assigned. [8] Thus began the scholarly study of cultural

variability and of what has become known as intercultural communication. By

the late 1970s and early 1980s, as we have already seen, the process of

globalization was under way, and soon it became apparent that business

executives also required such training. In the wake of the oil embargoes of the

1970s when Americans began to think about fuel-efficient cars, Japanese auto

manufacturers quickly filled this niche by exporting their products and, later, by

establishing plants in the United States. When Japanese firms also began to

dominate consumer electronics, executives from East and West realized they

needed to understand each other’s management strategies and organizational

processes.

In so doing, executives and scholars learned that (for example) an American and

a Japanese manager, given the same problem, might solve matters in very

different ways based on cultural assumptions through which they perceived the

situation. This notion runs counter to the frequent Western presumption that the

one, best solution to a problem will become self-evident through rational

deliberation. Thus, for example, the business communication of a Japanese

executive may reflect culturally learned preferences for silence over speaking

and writing, for minimalist communication when responses are required, for

indirect expression, and for avoiding self-defense and arguing. [9] A Japanese

meeting might involve a first session where people state their views without any

direct exchange of ideas. Then, through a series of additional sessions,

individuals adjust their views in light of the various monologues they hear.

Finally, consensus is reached—without any direct dialogue, much less arguing. [10]

In the remainder of this section we will briefly review some leading theories

about cultural variability that have been applied to organizations, followed by

theories about how you can achieve intercultural communication competence.

Yet we do this with a word of caution. “It is not an easy task to describe

communication behaviors across cultures without biases such as cultural

ethnocentrism,” noted Tsukasa Nishida. “Even the most careful cultural

comparisons or measuring scales can be culturally biased and thus give a

distorted, one-sided description of the communication behaviors being

observed.” [11] Nishida’s Japanese colleagues have suggested, for example, that

the SMCR (source, message, channel, receiver) model of communication—so

popular in North America (and that we encountered in Chapter 1 and Chapter 4)

—should be modified to correct its Western bias: A sender or receiver can be a

group, as well as an individual. [12] And the concept of feedback should include

self-feedback. [13] Even the basic cultural categories of individualistic and

collectivistic—which we will review later in section 7.2 and which for decades

have been the foundation of North American theorizing—reflect the Western

penchant for “either/or” classification. Further, because the individual is the

kernel unit, the categorization by its nature sets up individualism as the core

orientation and a group-centered perspective as the “other” orientation. “When

we examine Japanese culture using the concept of individualism, we will

characterize it as nonindividualistic and conclude that it is a collectivistic

culture,” adds Nishida. “Yet what we are actually seeing is the inevitable result

of the application of a framework that is valid only in the context of

individualistic cultures.” [14] From the Japanese perspective, group membership

and support increases rather than decreases individual autonomy.

Nevertheless, North American theorizing on cultural variability has been, and

remains, influential worldwide. Since you must be familiar with these theories in

order to intelligently discuss the divergence approach to globalization, we will

introduce you now to the basics.

Hall's High- and Low-Context Communication

One of the most influential and yet easy-to-grasp concepts in cultural variability

is Edward Hall’s distinction between high-context (HC) communication and

low-context (LC) communication. To illustrate the distinction, Hall used the

examples of a pair of twins and two lawyers. The twins have grown up side by

side, while the lawyers have come together at a trial for a short time and a

specific purpose. Communications between the twins is often highly intuitive,

while communications between the lawyers must be explicitly stated. When the

twins communicate, their meaning is couched within a high quantity of context

—namely, the fact of their similar background and long years in close proximity.

By contrast, the amount of context shared by the lawyers is low. Thus “A high

context (HC) communication or message is one in which most of the information

is already in the person, while very little is in the coded, explicit, transmitted part

of the message. A low context (LC) communication is just the opposite; i.e., the

mass of the information is vested in the explicit code.” [15]

An anthropologist, Hall extended his principle to entire cultures. In some parts of

the globe—among these Hall named Japan, the Arab world, and the

Mediterranean—the people are ethnically homogeneous and live together in

great density since land is scarce or natural resources are concentrated in certain

regions. [16] These are like the twins who grow up in the same family, live in the

same house, and communicate intuitively. In other parts of the world—here Hall

singled out North America, Germany and Switzerland, Northern Europe, and

Scandinavia—the people are more ethnically diverse and more geographically

spread out. [17] These are like the trial lawyers who come together for a short

time and specific purpose and, lacking a common background, must

communicate in explicit terms. In HC cultures, which value tradition and change

slowly, much meaning is conveyed nonverbally or by silence, by the physical

distance people maintain when speaking, and by status markers (age, sex, class,

education, family, friends, social networks, titles, organizations). “As a result,”

Hall maintained, “for most normal transactions in daily life they do not require,

nor do they expect, much in-depth, background information…because they keep

themselves informed about everything having to do with the people who are

important in their lives.” By contrast, people in LC cultures “compartmentalize

their personal relationships, their work, and many aspects of their day-to-day

lives,” so that “each time they interact with others they need detailed

background information.” [18]

The HC/LC distinction, however, is not an either/or classification but is best seen

as a continuum. Cultures tend toward one pole or the other to varying degrees.

Based on Hall’s descriptions, Larry Samovar and his colleagues grouped fifteen

cultures along an HC/LC axis. In the top third of the list, Japanese was the

highest-context culture, followed by Chinese, Korean, African American, and

Native American. The middle third was filled out by Arab, Greek, Latin, Italian,

and English cultures. And the bottom third listed German/Swiss culture as the

lowest-context, followed by German, Scandinavian, North American, and

French. [19] The list is shown in Figure 6.6.

Figure 6.6 High- and Low-Context Cultures

In today’s globalized economy, people from different organizations—or within

the same organization—often meet across cultural boundaries. Potential

differences in their communication styles must then be recognized. A colleague

from an HC culture might become impatient if provided laborious background

information, while one from an LC culture might expect such details. On the

other hand, someone from an LC culture might grow frustrated when purely

bottom-line arguments fail to quickly convince a client from an HC culture; the

client defers agreement on a deal and instead keeps engaging in small talk about

mutual acquaintances. Contextual differences, added Hall, likewise show up in

an organization’s internal relations. In Japanese organizations, “the day starts

with honorifics,” which are gradually dropped as the day goes along if things are

progressing well. The level of context functions as a form of feedback as

colleagues move from low contexts (i.e., using formal address) to high contexts

(i.e., using familiar address). By contrast, “first-naming in the United States is

an artificial attempt at high-contexting; [and] it tends to offend Europeans, who

view the use of first names as acceptable only between close friends and family.” [20]

Kluckhohn and Strodtbeck's Value Orientations

Hall’s declaration that “culture is communication” [21] has an obvious appeal to

communication scholars; it’s like looking down the barrel of a telescope until the

view funnels into the original point. By contrast—and to continue the analogy—

the cultural typology developed by Florence Kluckhohn and Fred Strodtbeck

turns the telescope back around. Looking through a small hole—which consists

of five simple questions—opens up the whole universe of cultures to view. Thus

we introduce here the idea of cultural typology—or classification systems for

identifying cultural types—with Kluckhohn and Strodtbeck’s elegant model of

cultural value orientations. [22] They proposed that people look to their cultures

for answers to five basic questions that explain how the world works. Those

questions and answers are shown in Table 6.9.

Table 6.9 Kluckhohn and Strodtbeck's Cultural Value Orientations

Every culture must answer five questions for its

members

Range Cultural Value Orientations

(Orientations of American Culture in Bold)

What is the orientation time? Past Present Future

What is the nature of humankind? Basically

evil

Mix of good and

evil Basically good

What is the value placed on activity? Being Being-in-

becoming Doing

What is the relation of humankind to nature? Subject to Cooperation with Control over

What is the relation of people to each other? Authoritarian Collectivistic Individualistic

A divergence approach to globalization, which asks how organizations are

shaped by their surrounding cultures, suggests that different answers to

Kluckhohn and Strodtbeck’s five questions will yield important differences in

organizational cultures. A culture’s orientation to time, argued Stohl, might show

up in an organization’s “attitudes toward change and innovation [and the] type

of planning.” Cultural views on human nature might be manifested in an

organization’s “degree of emphasis on control and surveillance.” The value a

culture places on activity—whether humans are seen as objects or subjects—

might be evident in how much an organization stresses “improvements and

accomplishments [and] job satisfaction.” How the surrounding culture sees

humanity’s relationship to nature might be reflected in an organization’s

“comfort and use of technology” (see Chapter 11). And cultural assumptions

about proper social relations might shape an organization’s attitudes about

“hierarchy; adherence to the chain of command; respect for titles and status;

[and the] degree of worker participation.” [23]

Hofstede's Value Dimensions

Perhaps the most widely cited cultural typology in organization studies is the

model of cultural value dimensions proposed by Dutch social psychologist Geert

Hofstede. Organizational scholars have been drawn to the typology because

Hofstede conducted his research in actual workplaces. Between 1967 and 1973,

he surveyed employees of IBM—then one of the world’s largest companies—

and analyzed data from IBM offices in fifty countries across three continents. [24] The most recent (2010) publication of his work spans research in seventy-six

countries. [25] In a sense, rather than observing national cultures and speculating

how their values are manifested in the workplace, Hofstede began by observing

workplace values and then extrapolating them to national cultures. The latest

iteration of Hofstede’s typology holds that a society’s cultural values may be

analyzed along six dimensions (summarized in Table 6.10). Yet while Hofstede

is best known for his typology of societal value dimensions, he and Dutch

economist Bob Waisfisz developed a typology—with six autonomous value

dimensions—for organizational cultures, which is shown in Table 6.11. [26]

Table 6.10 Hofstede's Cultural Value Dimensions

Low vs. High Can power be

Power

Distance

unequally

distributed? LOW: Unequal power must be

rectified or justified.

HIGH: Everyone has their place

in the hierarchy

Individualism

vs.

Collectivism

Is self-image

defined in

terms of “we”

or “I”?

IND: Individuals take care of

themselves and their immediate

families; social networks are

loosely knit.

COL: Groups take care of

members in exchange for

loyalty; social networks are

tightly knit.

Masculinity

vs.

Femininity

Is

assertiveness

or cooperation

valued?

MAS: Assertiveness, achievement,

heroism, and material reward are

valued.

FEM: Cooperation, caring,

consensus, and quality of life are

valued.

Low vs. High

Uncertainty

Avoidance

Is uncertainty

and ambiguity

feared?

LOW: Practice counts more than

principles, since the future is going

to happen and cannot be controlled.

HIGH: The future should be

controlled by rigid codes of

conduct and discouraging

unorthodoxy.

Short-Term

vs. Long-

Term

Orientation

Is virtue and

truth

situational or

absolute?

SHORT: Truth is absolute; quick

results are valued; traditions are

normative; few save for the future.

LONG: Virtue is a search; truth

depends on context; traditions

are adaptable; thrift is valued.

Indulgence

vs. Restraint

To what

degree are

human drives

regulated?

IND: People are relatively free to

gratify human drives and have fun.

RES: People’s drives are

suppressed and regulated by

social norms.

Table 6.11 Hofstede and Waisfisz's Organizational Value Dimensions

Means vs.

Goal

Orientation

What makes

the

organization

effective?

MEANS: People avoid risks and

focus on the “how” of daily work

routines.

GOAL: People take risks in order to

achieve specific and individual

results.

Internally

vs.

Externally

Driven

Who

determines

tasks?

INT: Tasks are givens since the

organization knows what is best for

customers.

EXT: To meet customer

requirements, pragmatism and

results count most.

Easygoing

vs. Strict

Work

Discipline

How is

control

achieved?

EASY: Internal structures and

controls are loose; improvisation

and unpredictability are normal.

STRICT: Internal structures and

controls are tight; predictability is

desired; people are punctual and

serious.

Local vs.

Professional

With whom

do people

identify?

LOCAL: People identify with the

supervisor or unit for which they

work, so that conformity is

emphasized.

PROF: People identify with the

content of their jobs or with their

professions.

Open vs.

Closed

System

How readily

are people

socialized?

OPEN: Newcomers and outsiders

are welcomed and made to feel like

insiders.

CLOSED: Newcomers and outsiders

must work their way to insider

status.

Employee What EMP: Personal concerns are taken WORK: Only task performance

vs. Work

Oriented

matters

most?

into account; the organization looks

to the welfare of employees.

matters; employees’ personal

problems are not relevant.

Like Hall’s distinction of high-context versus low-context communication,

Hofstede’s cultural value dimensions are not either/or choices. Instead, the

dimensions should be seen as scales. The United States, for example, is ranked

by the Hofstede Centre as individualistic (91st highest among 93 countries

surveyed) and masculine (62), with moderate ranks for uncertainty avoidance

(46) and power distance (40), and a low ranking for long-term orientation (29).

By contrast, China ranks low on individualism (20), is comparable to the United

States in masculinity (66) but has more tolerance for uncertainty (30), while

ranking high in long-term orientation (118) and acceptance of unequal power

distribution (80). Mexico, though it shares a border with the United States and a

masculine orientation (69), manifests very different cultural values—low in

individualism (30) and tolerance for uncertainty (82), and high in its acceptance

of unequal power distribution (80). [27] These comparisons are shown

graphically in Figure 6.7.

Figure 6.7 Comparisons of National CulturalValue Dimensions

(No data for long-term orientation in Mexico)

Cultural Communication Competence

Even before entering a profession (if you have not already), chances are you are

communicating across cultural differences on a regular, even a daily, basis. Your

college or university likely enrolls students from many backgrounds. And if you

thought about it and listed the cross-cultural encounters you experience, the

number would surprise you. So we wrap up our discussion on the divergence

approach to globalization by reviewing some basic concepts for boosting your

cultural communication competence.

William Gudykunst defined “effective communication” during intercultural

encounters as an exchange in which “the person interpreting the message

attaches a meaning to the message that is relatively similar to what was intended

by the person transmitting it.” [28] The key, he maintained, is “mindfulness.”

People naturally tend to talk in their accustomed (and comfortable) “cultural

scripts,” but these ways of talking are unfamiliar to persons who come from

different cultural backgrounds. When you communicate with someone who is

different from you, so that you are unsure how that person will respond, that

makes you nervous—or, as Gudykunst put it, anxious (an emotional state) and

uncertain (a mental state). In formulating his anxiety/uncertainty management

(AUM) theory of intercultural communication, he built on one of the

foundational theories in interpersonal communication.

That earlier theory was uncertainty reduction theory (URT), proposed by Charles

Berger and Richard Calabrese, which holds that “when strangers meet, their

primary concern is one of uncertainty reduction or increasing predictability

about the behavior of both themselves and others in the interaction.” [29] URT

suggests that interpersonal communication is goal directed: a stranger is

someone you may deal with again or who has something you want, but when

that person deviates from your expectations, you deploy talk to make sense of

the other. But where URT addresses interpersonal encounters, AUM goes further

to also incorporate intergroup dynamics, or encounters where “our predictions

[about strangers] are based mostly on cultural and sociological data” and “our

behavior is guided mainly by our social [versus personal] identities.” [30] While

anxiety and uncertainty are the two basic causes for effective or ineffective

communication in intercultural encounters, Gudykunst proposed seven factors

that contribute to how anxious and uncertain you may be:

1. How you see yourself socially and personally

2. How much you are motivated to interact with the stranger in question

3. The actual communication situation

4. How you react to the stranger

5. How you socially categorize the stranger

6. How you are connected to the stranger

7. How much dignity you accord to the stranger

Each of these seven factors impacts your “boundary conditions,” or the

thresholds beyond which you feel maximum and minimum anxiety and

uncertainty. The ideal place to be, the place where you can best maintain

mindfulness, is between your maximum and minimum boundaries. If the

encounter generates too much anxiety and uncertainty, then you lose mindfulness

and lapse into your own comfortable cultural scripts; if it generates too little

anxiety and uncertainty, then you forget to monitor your responses and, again,

become unmindful. Thus some tension over the unpredictability of a stranger, so

long as it remains manageable, is beneficial for maintaining mindfulness. “For

uncertainty, our optimal level is when we think that strangers’ behavior is

predictable, but we also recognize that we may not be able to explain their

behavior accurately,” claimed Gudykunst. “For anxiety, our optimal level is

when we feel comfortable with strangers, but we still have sufficient anxiety that

we are not complacent in our interactions with them.” [31] Strangers can manage

their anxiety and uncertainty, keep these within their boundary conditions, and

achieve the mindfulness to set aside their cultural scripts by controlling the

bodily symptoms of their anxiety and then managing the worrying thoughts that

cause the anxiety. Indeed, a hopeful feature of AUM theory is that effective

intercultural communication can be fostered even when only one party to the

encounter is practicing mindfulness.

Theories of Convergence

The divergence perspective on globalization, rooted in social psychology and

anthropology, “focuses primarily on issues of cultural difference,” noted Stohl,

and “highlights the communicative diversity found in organizations across the

globe.” By contrast, scholarship from a convergence perspective looks for “a set

of imperatives embedded in the global economy that results in similar

organizational structuring across nations” despite cultural differences. [32] Thus

research from a divergence perspective would study why, for example, a North

American manager and a Chinese manager communicate in different ways that

are shaped by their respective cultures. But a convergence perspective would

lead a scholar to study why American and Chinese managers are responding to

forces of global economic competition and exchange with similar organizational

strategies. A vast literature has been written on the causes of globalization. We

will focus on three leading theorists whose works respectively contend that

globalization is driven by networking technology, by risk distribution, and by

mass migration and mass media.

Castell's Network Society

In the three books that compose his Information Age trilogy, Spanish sociologist

Manuel Castells described what he called the “network society.” [33] The engine

of this society is the revolution in information technology that has spread

worldwide since the 1970s. However, the technology by its nature has given rise

to “informationalism,” which in turn has pushed economic, social, and cultural

arrangements into new alignments. The technology of industrialization was

historically additive—that is, technology advanced by adding more speed,

power, and efficiency. But information technology is adaptive—it advances

through self-adjustment, flexibility, and integration with other systems. Further,

this adaptive mode of technological development is self-reinforcing and,

therefore, constantly accelerating. As a result, capitalism is in crisis.

Capitalism arose as the mode of production for the Industrial Age, providing an

efficient system of relationships for creating and distributing profits. The tools

for making products, however, followed a mode of development governed by

scientific and technical rationales rather than economic considerations. Still,

because new technology only improved on the capacity of existing technology,

productivity gains fit into—rather than outpaced—the competitive drives of

private capital. But today, information is the basic building block for economic

and social organization. Further, advances in information technology do more

than merely add to existing capacity; advances in one process ripple across many

others. A new mode of production, or a new alignment of relationships, is

needed. The network enterprise has emerged as a form of organization in which

various players, often independent companies, are networked together on a per-

project basis. (For more on this, see Chapter 11.) As capitalism morphs into

informationalism, such enterprises can prosper within “a culture of the

ephemeral, a culture of each strategic decision, a patchwork of experiences and

interests, rather than a [corporate] charter of rights and obligations.” [34]

Nevertheless, global networking has not created the same conditions

everywhere. “The rise of informationalism in this end of millennium is

intertwined with rising inequality and social exclusion throughout the world,”

argued Castells. [35] Networking is governed by the technological infrastructure.

Managerial elites who control network hubs determine the linkages and are

thereby free themselves from the constraints of time and space. Large swaths of

the globe have become a “fourth world” excluded from the flows of information.

Workers must either train themselves to be “self-programmable labor,” able to

gather information and recombine it for the needs of each organizational project,

or fall to the level of “generic labor” that performs low-cost production tasks

until even those jobs are automated. Since network enterprises need labor that

can be reprogrammed, the old social contract of lifetime job security with the

same company—long vanished in the United States but still practiced in many

Asian countries—is increasingly untenable.

Beck's Risk Society

If you have taken Economics 101, then you have heard the term scarcity.

Because the number of goods is always finite, the market exists as a mechanism

for distributing scarce goods. In a free market, goods are distributed on ability to

pay the market price. For German sociologist Ulrich Beck, however, scarcity

was the chief problem of what he called the First Modernity. But in the Second

Modernity of today, the problem of scarcity and genuine material need has, at

least in the developed world, largely been solved. For example, obesity is now a

far greater problem than hunger in the United States. Yet the same techno-

scientific advances that created wealth also created new risks. Beck first put

forward his thesis of the Risk Society (Risikogesellschaft) in 1986, the year of

the Chernobyl nuclear accident in what is now Ukraine. [36] Not long before, in

1984, an accidental release of poison gas at a chemical factory in Bhopal, India,

resulted in as many as sixteen thousand related deaths among the local populace.

Beck has continued to write prodigiously about the Risk Society, and subsequent

events—from the ozone hole to mad cow disease—have given his thesis

increasing relevance.

In the second modernity, then, the challenge has shifted from wealth distribution

to risk distribution. What drives globalization, Beck held, is the fact that risks

reach beyond national borders so that the distribution of risk requires

organizations to act on a global scale. Before modernity, the chief problems were

natural risks such as floods and epidemics. Industrialization during the First

Modernity then brought a new category of manufactured risks, such as pollution

and economic inequality, created by human action. Yet most people believed that

humanly created problems could be solved by humanly created technologies.

Now, however, the contemporary risks of the Second Modernity have introduced

a category of risks that threaten the human species. The unsustainable

consumption of natural resources requires much more than a simple

technological fix, so current patterns of human activity cannot go on as before.

Contemporary risks are created not just by manufacturing activity but by

modernization itself. As such, Beck contended that contemporary risks are

distinguished by several characteristics. Because contemporary risks are global

in scale, their magnitude can make them difficult to measure precisely.

Meanwhile, their wide dispersion can make these risks difficult to see,

sometimes because years or decades must pass before the risks are evident.

Second, contemporary risks are distributed in inverse proportion to wealth.

Those who have enough wealth have the most resources and information access

to avoid risk. Third, certain segments of global society benefit from risk by

offering protection to individuals who can afford it. Finally, the emergence of

global risks has generated new social conflicts as various factions—from

technocrats to terrorists—fight over the differing views of how to deal with these

problems.

Beck recalled in a recent book that his original work, written some thirty years

ago, described a world that was comparatively “idyllic” because it was “still

‘terror free.’” Today, his updated concept of a world risk society

(Weltrisikogesellschaft) posits a “global community of threats.” Contemporary

risks now have “the destructive force of war” in their ability to collapse whole

segments of economic and social life. “Fear determines the attitude toward life.

Security is displacing freedom and equality from the highest position on the

scale of values,” observed Beck. As a result, the “citizen must be grateful when

he [sic] is scanned, photographed, searched, and interrogated ‘for his [sic] own

safety.’” In the world risk society, security has taken its place beside water and

electricity as a public good. [37]

Appadurai's Cultural Flows

Pakistani cab drivers may ply their trade on the streets of the United States but,

observed Indian-born anthropologist Arjun Appadurai, many pass the long hours

alone in their vehicles by listening to taped sermons from mosques in Pakistan.

As they listen, the drivers join a community of the imagination, which to them is

quite real. [38] Similarly, via the mass media of radio, television, and print,

Indians the world over follow cricket and mentally picture themselves a part of

the cultural spectacle that is their national sport. [39] In both cases, media

technologies permit people to form communities without traveling or even face-

to-face contact. In building his theory of globalization, Appadurai started with

Benedict Anderson’s concept of “imagined communities.” Anderson argued that

early print technology and the wide diffusion of books written in vernacular

languages sparked the emergence of European nation-states as people coalesced

around “national print-languages.” [40] For his part, Appadurai applied and

extended this thesis from a national context to a global context.

Thus migrant Pakistanis and Indians can possess vibrant cultural identities

derived from their imagined communities. This phenomenon led Appadurai to

two conclusions. First, globalization implies deterritorialization. The mass

migrations that are a feature of today’s world increasingly remove people and

their identities from physical territories. Not everyone migrates or travels, of

course, but most people know someone who has. Second, culture should be

regarded not as a fixed entity but as a process. Theories of cultural variability—

such as those advanced by Hall, Kluckhohn and Strodtbeck, and Hofstede—start

with the supposition that cultures are enduring and relatively static. For

Appadurai, however, the two great forces in globalization are mass migration

and mass media. The one removes people’s identities from physical territories,

and the other places those identities in territory-free imagined communities.

These two forces, proposed Appadurai, operate in today’s globalized world

through five cultural flows or “scapes.”

1. Ethnoscapes are the people—exiles, refugees, immigrants, guest workers,

business travelers, tourists, diplomats, international students—who move

between nations.

2. Technoscapes are the technologies that rapidly move information and

services across borders.

3. Financescapes are the systems, from currency markets to stock exchanges,

that move capital around the world.

4. Mediascapes are the digital, electronic, and print media that move ideas and

images across the globe.

5. Ideoscapes are official state ideologies (e.g., American democracy, political

Islam, the Chinese conception of the socialist market economy) and the

counterideologies they inspire.

Chances are you know—or may be—an international student who has built an

identity that combines elements of various cultural flows. Appadurai himself

recalled growing up in Mumbai, India, reading American magazines and college

catalogs at a local library, watching Hollywood films at a neighborhood theater,

viewing Humphrey Bogart movies on television, reading British adventure

books popular with Indian boys, being proud of his Anglophone diction,

fantasizing about college debates at Oxford, begging his older brother at

Stanford University to bring him home a pair of American blue jeans, “smelling

America” in his brother’s underarm deodorant, and finally getting bitten by “the

American bug” and heading off to the United States for college. [41] Even

decades ago, the forces of globalization—mass migration and mass media—

were at work. Inequalities remain in the world, he noted. Yet these may in time

be countered as people use their imaginations to generate new resources for

identity formation, establish new social networks—including organizations—

that cross traditional boundaries, and thus create new and better paths for

organizing society.

KEY TAKEAWAY

According to Cynthia Stohl’s review of the literature, major

elements of globalization cited by theorists and commentators

include global economic integration; cultural, political, and

material exchange; worldwide diffusion of information;

compression of time and space; realignments of social interaction

from local to networked contexts; and increased global

consciousness.

The divergence approach to globalization and organizations

investigates how variations in national and regional cultures are

manifested in organizations. Hall distinguished between high-

context communication, in which most of the information resides

implicitly in the person rather than in the message, and low-

context communication, in which most of the information is explicit

in the message. Kluckhohn and Strodtbeck theorized that a

culture’s values are oriented around its assumptions on five basic

questions: time, human nature, activity, the natural world, and

social relations. Hofstede theorized that a culture’s values may be

analyzed by its assumptions along six dimensions: the distribution

of power in society, the self, the highest societal values, tolerance

for uncertainty, long- versus short-term thinking, and self-

gratification.

The converge approach to globalization and organizations

theorizes sources of global integration and the blurring of national

boundaries. Castells theorized that globalization is driven by the

revolution in information technology and has produced the

network society. Beck theorized that globalization is driven by the

need to deal with global risks and this has produced the world risk

society. Appadurai theorized that culture is not static but is a

process; globalization is occurring through the worldwide

movements of people, technology, capital, media, and ideologies.

EXERCISES

1. Spend some time reading online articles from major news media,

both domestic and foreign. Then make a list of current news items

that illustrate each of globalization’s six elements: global

economic integration; cultural, political, and material exchange;

worldwide diffusion of information; compression of time and

space; realignments of social interaction from local to networked

contexts; and increased global consciousness.

2. Take stock of your own cultural background. To what extent do

you engage in high-context and/or low-context communication?

Now take a look at Kluckhohn and Strodtbeck’s typology in Table

6.9. What are your cultural value orientations on each of the five

basic questions? Also look at Hofstede’s typology in Table 6.10.

How would you rank your cultural values along each of the six

dimensions?

3. In what ways is your own global consciousness raised? Make a

list of global contacts in which you regularly engage via

information technology, from online video games to doing

research for your homework assignments. Make a list of global

risks—such as climate change or AIDS—that cause you to think

in global terms. Make a list of “cultural flows” (the ethnoscapes,

technoscapes, financescapes, mediascapes, and ideoscapes

described by Appadurai) with which you have contact on a regular

basis.

Collectivistic:

Convergence :

Cultural Typology:

Divergence:

Globalization :

Individualistic :

KEY TERMS AND DEFINITIONS

A culture in which the group is the basic social unit.

An approach to studying globalization and organizations that theorizes the sources of global integration and the blurring of national boundaries.

A classification system for analyzing cultures.

An approach to studying globalization and organizations that investigates how variations in national and regional cultures are manifested in organizations.

The process by which a world system is emerging through global economic integration; cultural, political, and material exchange; worldwide diffusion of information; compression of time and space; realignments of social interaction from local to networked contexts; and increased global consciousness.

A culture in which the individual is the basic social unit.

[1] Goreman, C. K. (2002, February–March). Cross-cultural business

practices. Communication World, 22–25.

[2] Stohl, C. (2005). Globalization theory. In S. May & D. K. Mumby

(Eds.), Engaging organizational communication theory and research:

Multiple perspectives (pp. 223–261). Thousand Oaks, CA: Sage, p. 226.

[3] Stohl, C. (2005). Globalization theory. In S. May & D. K. Mumby

(Eds.), Engaging organizational communication theory and research:

Multiple perspectives (pp. 223–261). Thousand Oaks, CA: Sage, p. 227.

[4] Stohl, C. (2005). Globalization theory. In S. May & D. K. Mumby

(Eds.), Engaging organizational communication theory and research:

Multiple perspectives (pp. 223–261). Thousand Oaks, CA: Sage.

[5] Stohl, C. (2001). Globalizing organizational communication. In F. M.

Jablin & L. L. Putman (Eds.), The new handbook of organizational

communication: Advances in theory, research, and methods (pp. 323–

375). Thousand Oaks, CA: Sage.

[6] Erez, M., & Shokef, E. (2008). The culture of global organizations. In

P. B. Smith, M. F. Peterson, & D. C. Thomas (Eds.), The handbook of

cross-cultural management research (pp. 285–300). Thousand Oaks,

CA: Sage, p. 286.

[7] Erez, M., & Shokef, E. (2008). The culture of global organizations. In

P. B. Smith, M. F. Peterson, & D. C. Thomas (Eds.), The handbook of

cross-cultural management research (pp. 285–300). Thousand Oaks,

CA: Sage.

[8] Leeds-Hurwitz, W. (1990). Notes in the history of intercultural

communication: The Foreign Service Institute and the mandate for

intercultural training. Quarterly Journal of Speech, 76, 262–281.

[9] Kindaichi, H. (1975). Nihonjin no gengo hyohgen (Japanese verbal

expressions). Tokyo, Japan: Kohdansha.

[10] Nakano, O. (1982). Nihongata sosiki niokeru komyunikehshon to

sikettei (Communication and decision making in Japanese

organizations). In E. Hamaguchi & S. Kumon (Eds.), Nihonteki

shuhdansshugi (Japanese “groupism” pp. 143–168). Tokyo, Japan:

Yuhhikaku Sensho.

[11] Nishida, T. (1996). Communication in personal relationships in

Japan. In W. B. Gudykunst, S. Ting-Toomey, & T. Nishida (Eds.),

Communication in personal relationships across cultures. Thousand

Oaks, CA: Sage, p. 102.

[12] Akutsu, Y. (1976). Komyunikehshon no gainen, moderu, ruikei

(Communication concepts, models, and types). In Y. Akutsu (Ed.),

Gendai no esupuri (Modern esprit 110). Tokyo, Japan: Shibundo.

[13] Takeuchi, I. (1973). Shakaiteki komyunikehshon (Social

communication). In Tokyo University (Eds.), Gendai no shakai to

komyunikehshon (Modern society and communication; pp. 3–39). Tokyo,

Japan: Tokyo University Press.

[14] Nishida, T. (1996). Communication in personal relationships in

Japan. In W. B. Gudykunst, S. Ting-Toomey, & T. Nishida (Eds.),

Communication in personal relationships across cultures. Thousand

Oaks, CA: Sage, p. 109.

[15] Hall, E. T. (1976). Beyond culture. New York, NY: Anchor, p. 79.

[16] Hall, E. T., & Hall, M. R. (1990). Understanding cultural differences:

Germans, French, and Americans. Yarmouth, ME: Intercultural Press, p.

6.

[17] Hall, E. T., & Hall, M. R. (1990). Understanding cultural differences:

Germans, French, and Americans. Yarmouth, ME: Intercultural Press, p.

7.

[18] Hall, E. T., & Hall, M. R. (1990). Understanding cultural differences:

Germans, French, and Americans. Yarmouth, ME: Intercultural Press, pp.

6–7.

[19] Samovar, L. A., Porter, R. E., McDaniel, E. R., & Roy, C. S. (2013).

Communication between cultures (8th ed.). Boston, MA: Wadsworth, p.

202.

[20] Hall, E. T., & Hall, M. R. (1990). Understanding cultural differences:

Germans, French, and Americans. Yarmouth, ME: Intercultural Press, p.

7.

[21] Hall, E. T., & Hall, M. R. (1990). Understanding cultural differences:

Germans, French, and Americans. Yarmouth, ME: Intercultural Press, p.

3.

[22] Kluckhohn, F. R., & Strodtbeck, F. L. (1961). Variations in value

orientations. Evanston, IL: Row, Peterson.

[23] Stohl, C. (2001). Globalizing organizational communication. In F. M.

Jablin & L. L. Putnam (Eds.), The new handbook of organizational

communication: Advances in theory, research, and method (pp. 323–

375). Thousand Oaks, CA: Sage, p. 337.

[24] Hofstede, G. (1980). Culture’s consequences: International

differences in work-related values. Newbury Park, CA: Sage.

[25] Hofstede, G., Hoftstede, G. J., & Minkov, M. (2010). Cultures and

organizations: Software of the mind (3rd ed.). New York, NY: McGraw-

Hill.

[26] Hofstede Centre. (n.d.). Organizational culture dimensions.

Retrieved from http://geert-hofstede.com/organisational-culture-

dimensions.html

[27] Hofstede Centre. (n.d.). National culture: Countries. Retrieved from

http://geert-hofstede.com/countries.html

[28] Gudykunst, W. B. (2005). An anxiety/uncertainty management (AUM)

theory of effective communication: Making the mesh of the net finer. In W.

B. Gudykunst (Ed.), Theorizing about intercultural communication.

Thousand Oaks, CA: Sage, p. 289.

[29] Berger, C. R., & Calabrese, R. (1975). Some explorations in initial

interactions and beyond: Toward a developmental theory of interpersonal

communication. Human Communication Research, 1, 99–112, p. 100.

[30] Gudykunst, W. B. (2005). An anxiety/uncertainty management (AUM)

theory of effective communication: Making the mesh of the net finer. In W.

B. Gudykunst (Ed.), Theorizing about intercultural communication.

Thousand Oaks, CA: Sage, pp. 283–284.

[31] Gudykunst, W. B. (2005). An anxiety/uncertainty management (AUM)

theory of effective communication: Making the mesh of the net finer. In W.

B. Gudykunst (Ed.), Theorizing about intercultural communication.

Thousand Oaks, CA: Sage, p. 306.

[32] Stohl, C. (2001). Globalizing organizational communication. In F. M.

Jablin & L. L. Putnam (Eds.), The new handbook of organizational

communication: Advances in theory, research, and method (pp. 323–

375). Thousand Oaks, CA: Sage, pp. 325–326.

[33] The three books of the “Information Age” trilogy are Castells, M.

(1996). The rise of the network society: The Information Age: Economy,

society and culture, Vol. 1. Oxford, UK: Blackwell; Castells, M. (1997).

The power of identity: The Information Age: Economy, society and

culture, Vol. 2. Oxford, UK: Blackwell; and Castells, M. (1998). End of the

millennium: The Information Age: Economy, society and culture, Vol. 3.

Oxford, UK: Blackwell.

[34] Castells, M. (1996). The rise of the network society: The Information

Age: Economy, society and culture, Vol. 1. Oxford, UK: Blackwell, p. 199.

[35] Castells, M. (1998). The end of the millennium: The Information Age:

Economy, society and culture, Vol. 3. Oxford, UK: Blackwell, p. 70.

[36] Beck, U. (1992). Risk society: Towards a new modernity. London,

UK: Sage. (Original work published 1986.)

[37] Beck, U. (2009). World at risk. Cambridge, UK: Polity Press, p. 9.

[38] Appadurai, A. (1996). Modernity at large: Cultural dimensions of

globalization. Minneapolis: University of Minnesota Press.

[39] Appadurai, A. (1995). Playing with modernity: The decolonization of

Indian cricket. In C. A. Breckenridge (Ed.), Consuming modernity: Public

culture in a South Asian world (pp. 23–48). Minneapolis: University of

Minnesota Press.

[40] Anderson, B. O. (1983). Imagined communities: Reflections on the

origin and spread of nationalism. London, UK: Verso.

[41] Appadurai, A. (1996). Modernity at large: Cultural dimensions of

globalization. Minneapolis: University of Minnesota Press, pp. 1–2.

6.4 Chapter Exercises

REAL-WORLD CASE STUDY

Tokyo Disneyland (TDL) was opened in 1983 by Japanese owners

who secured a license from the Walt Disney Company in exchange

for a percentage of ticket and concession sales. Within a decade,

TDL was not only the most successful theme park in Japan but, in

terms of attendance, the most successful theme park in the world.

About that time, Israeli researcher Aviad Raz conducted an

organizational ethnography of TDL to learn about the mixing of

Japanese and American organizational cultures and what this

“hybridization” might reveal about globalization. [1] Raz decided to

combine participant observation, through multiple visits to the theme

park, and interviews with more than thirty park executives, regular

employees, and part-time employees.

Raz discovered two organizational cultures, one that centered on

regular TDL employees and another on part-timers. When it came to

regular employees, TDL readily integrated aspects of the “Disney

Way” that fit Japanese organizational culture (e.g., the metaphor of

a corporate family, the regulation of behavior, the low status of

unions) but tossed out others (e.g., the relentless use of Disney

icons and décor, even in strictly office settings, to promote an

emotional buy-in by employees). The organizational culture of part-

timers, however, was another matter. At the time Raz conducted his

ethnographic fieldwork, Japanese practices surrounding temporary

labor and the service sector were far different from those in the

United States. Part-timers were expected to know traditional “house

rules” (bowings, greetings, apologies, standard phrases) that

applied to customer relations generally in Japanese society; for any

company-specific rules they learned apprentice style by observing

their supervisors. TDL made waves in Japan by following the

American practice of issuing manuals with company-approved

behaviors to part-timers, rather than relying on traditional protocols

for part-time help. Though TDL borrowed from the “manual

(manyuaru) society” of the United States, the move was lauded by

many Japanese management experts who saw the innovation as

integral to TDL’s rapid success. Traditional Japanese service culture

is oriented toward one-on-one customer relationships and not the

mass-consumption culture of Disney.

Raz concluded that Tokyo Disneyland is less an example of

“Americanization,” “Westernization,” or cultural imperialism, and

more a case of the “hybridization” of cultures—both societal and

organizational—that accompanies globalization. He called the

phenomenon “glocalization” as TDL selectively incorporated some

aspects of the “Disney Way,” rejected others, and combined various

Japanese and American features while maintaining a boundary

between them. In particular, the socialization of part-time TDL

employees occurred through American methods, while the

socialization of regular employees followed more typical Japanese

norms.

1. How did the Tokyo Disneyland manual for part-time employees

function as a culture-embedding mechanism?

2. Referring to Table 6.5, how did Raz’s ethnographic fieldwork

reflect an emic view of cultural research?

3. Referring to Hoffman and Ford’s rhetorical sitduations,, to what

rhetorical situation did the TDL employee manual respond? What

rhetorical strategy was employed?

4. Referring to Table 6.7 in what kinds of organizational

performances did Japanese part-time and temporary workers

traditionally engage?

5. Referring to Table 6.11, what type of organization is TDL?

6. How are the traditional “house rules” of part-time Japanese

workers an example of high-context communication? How is the

TDL employee manual an example of low-context

communication?

7. Can Kluckhohn and Strodtbeck’s typology of cultural-value

orientations, and Hofstede’s typology of cultural-value

dimensions, help us better understand why TDL adopted some

American methods and not others?

8. How does the “hybridized” organizational culture of TDL help us

understand the process of globalization? Which of Appadurai’s

“cultural flows” (ethnoscapes, technoscapes, financescapes,

mediascapes, ideoscapes) do you see at work?

END-OF-CHAPTER ASSESSMENT

1. Which of the following is not a part of Gibb’s supportive climates?

a. description b. control c. spontaneity d. provisionalism e. empathy

2. Which view holds that culture is something an organization is and that culture tends toward order and stability?

a. functionalist b. interpretive c. critical d. postmodern e. integrative

3. According to Hofstede, which cultural-value dimension entails a society’s assumptions about the distribution of authority?

a. power distance b. individualism versus collectivism c. masculine versus feminine d. uncertainty avoidance e. long- versus short-term orientation

4. According to Stohl, which type of organization primarily identifies with one nationality but acknowledges the diversity of its workforce?

a. domestic b. multicultural c. multinational d. international e. global

5. According to Appadurai, which cultural flow is the worldwide movement of ideas and images?

a. ethnoscapes b. technoscapes c. financescapes d. mediascapes e. ideoscapes

Answer Key

1. b

2. b

3. a

4. b

5. d

[1] Raz, A. E. (1999). The hybridization of organizational culture in Tokyo

Disneyland. Studies in cultures, organizations, and societies, 5, 235–264.

Chapter 7

Leader and Follower Behaviors and Perspectives

© Thinkstock/iStock

What is Leadership?

Leadership is probably the single most discussed topic in business literature

today. An effective leader can inspire an organization to produce better-quality

products, ensure first-rate service to its customers, and make amazing profits for

its stockholders. An ineffective leader, on the other hand, can not only negatively

impact products, services, and profits but also bring down an organization to the

point of ruin. It should be no surprise that organizational leaders are very

important and leave a lasting legacy, not just on the companies they run, but also

on society as a whole. Table 7.1 contains a list of some important business

leaders (whom you may or may not have heard of) from the twentieth and

twenty-first centuries along with a brief description of what they accomplished.

This amazing list of business leaders runs the gamut from the small-town

entrepreneur to people taking the helm at large international organizations. All of

them are leaders, but their organizations vary greatly in what they deliver and

their general purpose (both for profit and nonprofits).

Table 7.1 Leadership Profiles

Name Company Accomplishment(s)

Jeff

Bezos Amazon

Revolutionized how people buy products using the Internet and then spurred a

secondary revolution in the use of electronic books with the Amazon Kindle.

Steve

Case

America

Online

Founded Quantum Computer Services (eventually America Online), which

became the largest online service in the world. His leadership and championing

of a flat-rate fee for Internet subscribers ultimately made the Internet accessible

for the masses.

Cynthia

Carroll

Anglo

American

After becoming CEO of Anglo American in 2007, a large international energy

company based out of London, Carroll became very concerned over the number

of fatalities in its South African mining facility. After another fatality, she shut

the mining operation down indefinitely and invited all relevant stakeholders to

the table to discuss mining safety. Her leadership ultimately led to a complete

retraining of mine workers and a revolution in mining safety in South Africa.

Her leadership on the matter led to a 62 percent reduction in fatalities within her

own company in just five years.

Joan

Founded the Children’s Television Workshop (now Sesame Workshop) and

invited the collaboration of Jim Henson. Today, 145 Sesame Workshop locations

Ganz

Cooney Sesame

Workshop

around the world create unique and culturally specific programs for young

children. Sesame Street has won 118 Emmys, more than any other show in

history, and eight Grammys over the years.

Ruth

Fertel

Ruth's

Hospitality

Group

After taking out a second mortgage on her home to purchase a New Orleans

steak house in 1965, which she named Ruth’s Chris Steak House, she grew the

chain to more than seventy-five locations around the world. Now the company

has multiple restaurant chains and is publicly traded on the stock market.

Ruth

Handler

Mattel &

Nearly Me

Cofounder of the giant children’s toy empire Mattel. Her most lasting legacy is

probably the creation of the Barbie and Ken dolls. After retiring from Mattel,

she founded the company that created Nearly Me, prosthetic devices for victims

of breast cancer.

Hu

Maoyuan

SAIC

Motor

Corporation

Maoyuan is the CEO of the SAIC Motor Corporation, the largest state-run

automotive manufacturer in China. Historically, the company has used

partnerships with other automotive giants (e.g., GM, Volkswagen, etc.) to fuel its

automotive needs. Maoyuan is leading the effort to export Chinese-engineered

and built cars around the world.

Howard

Schultz Starbucks

After buying out the founders of Starbucks Coffee, Tea, and Spice, he created

the niche industry of corner coffee shops. In an era when coffee consumption

and sales were in a decline, Schultz created the largest coffee company and

revolutionized how people socialized in society.

While the list of diverse leaders in Table 7.1 is interesting, examining what

others have done (and are doing) is not necessarily the best way to help us

understand what leadership actually is. However, before we can explain what

leadership is, we need to differentiate between two terms that are often confused:

management and leadership.

Management

When one hears the word management, there is an immediate corporatization of

the concept that tends to accompany the term. However, management (the noun)

and manage (the verb) are very important parts of any organization. With the rise

of the modern corporation during the Industrial Revolution, there was a decent

amount of research examining how one should manage. For our purposes, we

define the term manage as the communicative process in which an individual or

group of individuals helps those below them in an organizational, hierarchical

structure to accomplish the organization’s goals. Notice that the term is

communication focused and active, meaning that managing is something active

and ongoing. Therefore, management refers to those individuals who use

communication to help an organization achieve its goals through the proper

utilization of organizational resources (e.g., employees, facilities, and the like).

Theodore Levitt describes management thus: “Management consists of the

rational assessment of a situation and the systematic selection of goals and

purposes (what is to be done?); the systematic development of strategies to

achieve these goals; the marshaling of the required resources; the rational

design, organization, direction, and control of the activities required to attain the

selected purposes; and, finally, the motivating and rewarding of people to do the

work.” [1] Notice that management is focused on the day-to-day accomplishment

of an organization’s goals. Furthermore, management must rally their employees

to accomplish these goals through motivation, rewards, and/or punishments.

Lastly, management must ensure that they have the necessary resources to enable

their employees to accomplish the organization’s goals.

Leadership

Where management is focused on accomplishing the organization’s goals,

leadership is ultimately envisioning and articulating those goals to everyone.

Michael Hackman and Craig Johnson define leadership from a communication

perspective in this fashion: “Leadership is human (symbolic) communication,

which modifies the attitudes and behaviors of others in order to meet shared

group goals and needs.” [2] From this perspective, leadership is less about

simply getting goals accomplished and more about influencing the attitudes and

behaviors necessary to meet the organization’s goals and needs.

Management versus Leadership

How do we distinguish between management and leadership? One of the first

researchers to really distinguish between management and leadership was

Abraham Zaleznik, who wrote that organizations often are caught between two

conflicting needs: “one, for managers to maintain the balance of operations,

and one for leaders to create new approaches and imagine new areas to

explore.” [3] Notice Zaleznik argues that management is about maintaining the

path of the organization and about handling the day-to-day operations of the

organization. Leadership, on the other hand, is about creativity, innovation, and

vision for the organization. Look back at the list of leaders profiled in Table 7.1.

All these leaders had a clear vision for their organization that was articulated to

their followers. If these followers hadn’t been persuaded by their leaders, none

of these leaders’ accomplishments would be known today. While leaders often

get the bulk of notoriety, we would be remiss not to remind you that every

effective leader has a team of managers and employees who help the leader

accomplish the organization’s goals. As such, leadership and management are

symbiotic, and both are highly necessary for an organization to accomplish its

basic goals.

Researcher Shamus-Ur-Rehman Toor [4] set out to empirically investigate the

difference between leadership and management by asking forty-nine leaders and

senior executives in the construction industry in Singapore to differentiate

between the concepts of leadership and management. Overall, four clear

difference themes emerged in his research: definitional, conceptual, functional,

and behavioral.

Definitional Differences

The first differences noted in this research are what Toor called “definitional

differences.” In essence, while there is no clearly agreed-upon definition for the

term leadership, Toor noted that management was “described by fundamental

functions that include planning, organizing, leading, and controlling

organizational resources.” [5] Leadership is frequently defined in terms of

vision, inspiration, and motivation, while management is usually defined in

terms of operations. In essence, leadership is defined by the ability to create a

vision for the organization that managers can then carry out on a day-to-day

basis.

Conceptual Distinctions

Toor admits that often people have a hard time clearly distinguishing between

the terms leadership and management, because there is a thin line between the

two concepts. As one member of Toor’s study noted, “Leadership is something

that subordinates or followers look up to. A leader would be able to manage

well, too. But managers are not necessarily good leaders, and subordinates look

up to them for instructions, not guidance.” [6] In essence, leadership

encompasses management but is seen as “more than” just management. Many of

Toor’s research participants suggest that all good leaders would have to be good

managers, but not all good managers make good leaders.

Functional Divergences

When interviewing the various Singapore leaders, functional divergences also

emerged in Toor’s research. Leadership was characterized by two primary

functions: challenging and empowering. In essence, leaders should challenge

their followers to do more and then empower them to take chances, make

decisions, and innovate. Management was characterized by two different

functions: imposition and stability/order. From this perspective, management

should impose guidelines and ideas generated by organizational leadership on

their followers in an attempt to create some semblance of stability and order

within the organization. In essence, management is not making the “big”

decisions, but rather relaying those decisions to their subordinates and then

ensuring that those decisions get implemented within the organization itself.

When interviewing the various Singapore leaders, functional divergences also

emerged in Toor’s research. Leadership was characterized by two primary

functions: challenging and empowering. In essence, leaders should challenge

their followers to do more and then empower them to take chances, make

decisions, and innovate. Management was characterized by two different

functions: imposition and stability/order. From this perspective, management

should impose guidelines and ideas generated by organizational leadership on

their followers in an attempt to create some semblance of stability and order

within the organization. In essence, management is not making the “big”

decisions, but rather relaying those decisions to their subordinates and then

ensuring that those decisions get implemented within the organization itself.

Behavioral Differences

Lastly, Toor found what he termed behavioral differences: two clearly different

behavioral sets that govern management and leadership. Managers manage their

subordinates’ work, and leaders lead by example. While these explanations are

not overtly concrete, one of the participants in Toor’s study put it this way:

“Maybe the difference is basically that you just manage in management, and you

lead in leadership. In management, you enforce the regulations, whereas in

leadership, you lead by example. In management, people don’t follow you; they

obey you. In leadership, people follow you by their own choice.” [7]

Overall, there are clear distinctions (although admittedly convoluted) between

the two terms leadership and management. We hope this brief discussion of this

research has at least helped you grasp that there are fundamental differences

between the two concepts. The rest of this chapter is really devoted to

leadership.

[1] Levitt, T. (1976, Summer). Management and the post industrial

society. The Public Interest, 69–103, p. 72.

[2] Hackman, M. S., & Johnson, C. E. (2009). Leadership: A

communication perspective (5th ed.). Long Grove, IL: Waveland, p. 11.

[3] Zaleznik, A. (1977). Managers and leaders: Are they different?

Harvard Business Review, 55(3), 67–78, p. 67.

[4] Toor, S. U. R. (2011). Differentiating leadership from management: An

empirical investigation of leaders and managers. Leadership and

Management in Engineering, 11, 310–320.

[5] Toor, S. U. R. (2011). Differentiating leadership from management: An

empirical investigation of leaders and managers. Leadership and

Management in Engineering, 11, 310–320, p. 313.

[6] Toor, S. U. R. (2011). Differentiating leadership from management: An

empirical investigation of leaders and managers. Leadership and

Management in Engineering, 11, 310–320, p. 314.

[7] Toor, S. U. R. (2011). Differentiating leadership from management: An

empirical investigation of leaders and managers. Leadership and

Management in Engineering, 11, 310–320, p. 315.

7.1 Approaches to Leadership

LEARNING OBJECTIVES

1. Explain the trait approach to leadership.

2. Differentiate between Fred Fiedler’s contingency theory and Paul

Hersey and Kenneth Blanchard’s situational leadership theory as

situational approaches to leadership.

3. Understand the similarities and differences between Chester

Barnard’s functions of the executive and Kenneth Benne and Paul

Sheats’s classification of functional roles in groups as functional

approaches to leadership.

4. Compare and contrast Robert Blake and Jane Mouton’s

managerial grid and George Graen’s leader-member exchange

theory as relational approaches to leadership.

5. Explain James MacGregor Burns’s transformational approach to

leadership.

As with most major academic undertakings, there is little agreement in what

makes a leader. Since the earliest days of the study of business, there have been

discussions of leadership. However, leadership is hardly a discussion that

originated with the advent of the academic study of businesses. In fact, the

oldest-known text in the world, The Precepts of Ptah-hotep, was a treatise

written for the Pharaoh Isesi’s son (of the fifth dynasty in Egypt) about being an

effective pharaoh (or leader). [1] Although it’s relatively easy in hindsight to look

at how effective an organizational leader was based on her or his

accomplishments, determining whether or not someone will be an effective

leader prior to their ascension is a difficult task. To help organizations select the

“right” person for the leadership role, numerous scholars have come up with a

variety of ways to describe and explain leadership. According to Michael

Hackman and Craig Johnson, “Over the past 100 years, five primary approaches

for understanding and explaining leadership have evolved: the traits approach,

the situational approach, the functional approach, the relational approach, and

the transformational approach.” [2] The rest of this section explores these

different approaches to leadership.

Trait Approach

The first major approach to leadership is commonly referred to as the trait

approach to leadership, because the approach looks for a series of physical,

mental, or personality traits that effective leaders possess what neither

nonleaders nor ineffective leaders possess. We start with this approach to

leadership predominantly because it’s the oldest of the major approaches to

leadership and is an approach still very much in existence today. The first major

study to synthesize the trait literature was conducted by Ralph Stogdill in 1948. [3] In 1970, Stogdill reanalyzed the literature and found six basic categories of

characteristics associated with leadership: physical presence, social background,

intelligence/ ability, personality, task orientation, and social skills. [4] Table 7.2

contains a list of the personality traits from Stogdill’s 1970 study in addition to

work of other researchers who have discovered a variety of other traits

associated with leadership.

Table 7.2 Traits Associated with Leadership

Stogdill (1970)

• Adaptability

• Adjustment

• Assertiveness

• Alertness

• Creativity, originality

• Diplomacy

• Dominance

• Emotional balance

• Enthusiasm

• Extraversion

• Independence, nonconformity

• Objectivity, tough-mindedness

• Resourcefulness

• Self-confidence

• Sociability, interpersonal skills

• Strength of conviction

• Tolerance of stress

Mann (1959) [5]

• Adjustment

• Conservatism

• Dominance

• Extroversion

• Intelligence

• Masculinity

Kirkpatrick and Locke (1991) [6]

• Cognitive ability

• Confidence

• Drive

• Integrity

• Motivation

• Task knowledge

Lussier and Achua (2007) [7]

• Dominance

• Emotional intelligence

• Flexibility

• High energy

• Integrity

• Intelligence

• Internal locus of control

• Self-confidence

• Sensitivity to others

• Stability

From Table 7.2, you can start to see that research has found a variety of different

traits associated with leadership over the years. Notice that there is some

overlap, but each list is unique. In fact, one of the fundamental problems with

the trait approach to leadership is that research has provided a never-ending list

of personality traits associated with leadership, so no clear or replicable list of

traits exists.

Even communication researchers have examined the possible relationship

between leadership and various communication traits. In an experimental study

conducted by Sean Limon and Betty La France, [8] the researchers set out to see

if an individual’s level of three communication traits could predict leadership

emergence within a group. The three communication traits of interest within this

study were communication apprehension (“fear or anxiety associated with either

real or anticipated communication with another person or persons” [9]),

argumentativeness (“generally stable trait which predisposes the individual in

communication situations to advocate positions on controversial issues and to

attack verbally the positions which other people take on these issues” [10]), and

verbal aggressiveness (“attack one’s self-concept instead of, or in addition to,

one’s positions on a topic of communication” [11]). Ultimately, the researchers

found that an individual’s level of argumentativeness positively predicted an

individual’s likelihood of emerging as a leader, while an individual’s

communication apprehension negatively predicted an individual’s likelihood of

emerging as a leader. Verbal aggression, in this study, was found to have no

impact on an individual’s emergence as a leader. In other research, leader verbal

aggression was found to negatively impact employee level of satisfaction and

organizational commitment, while argumentativeness positively related to

employee level of satisfaction and organizational commitment. [12] These three

communication traits demonstrate that an individual leader’s communication

traits can have an impact on both an individual’s emergence as a leader and how

followers will perceive that leader.

The original notion that leaders were created through a magic checklist of

personality traits has fallen out of favor in the leadership community. [13]

However, more recent developments in leadership theory have been reintegrating

the importance of personality traits as important aspects of the process of

leadership. Scott Shane, in his book Born Entrepreneurs, Born Leaders: How

Genes Affect Your Work Life, [14] argues that while genetics may not cause

humans to become leaders or entrepreneurs, one’s genetic makeup probably

influences the likelihood that one would become a leader or entrepreneur in the

first place. In the same vein, Jessica Dinh and Robert Lord [15] have argued that

personality traits should be examined within specific leadership events instead of

as fundamental aspects of some concrete phenomenon called “leadership.” In

essence, Dinh and Lord argue that an individual’s personality traits may impact

how they behave within specific leadership situations, but that specific

personality traits may not be seen across all leaders in all leadership contexts.

Situational Approach

As trait approaches became more passé, new approaches to leadership began

emerging that theorized leadership was contingent on a variety of situational

factors (e.g., task to be completed, leader-follower relationships/interactions,

follower motivation/commitment). These new theories of leadership are

commonly referred to as the situational approaches. While numerous

leadership theorists embrace the situational approach, we’re going to briefly

examine the following: Fred Fiedler’s contingency theory and Paul Hersey and

Kenneth Blanchard’s situational-leadership theory.

Fiedler’s Contingency Theory of Leader Effectiveness

Fred Fiedler began developing his theory of leadership in the 1950s and 60s and

eventually called it the contingency theory of leader effectiveness. [16] In his

theory, Fiedler believed that leadership was a reflection of both the leader’s

personality and behavior, which were constant. Fiedler believed that leaders do

not change their leadership styles; rather, when situations change, leaders must

adapt their leadership strategies. Fiedler’s basic theory started with the notion

that leaders typically were either task oriented or relationship oriented. Task-

oriented leaders focused more on the task and accomplishing organizational

goals. Relationship-oriented leaders focused on creating positive interactions

with followers and establishing positive relationships based on mutual trust,

respect, and confidence.

To determine a leader’s preference for tasks or relationships, leaders are asked to

think about all the followers with whom they’ve worked and select the one

follower with whom they’ve had the most problems. By thinking about the

follower with whom the leader has had the most problems, it’s generally very

easy to determine if the leader is more task or relationship oriented because that

follower is generally the opposite. Fiedler termed this follower the leader’s least

preferred coworker (LPC).

Once a leader’s LPC is determined, Fiedler’s model asks leaders to examine

their situation favorableness, or the degree to which a leader can influence her or

his followers within a given situation. To determine situational favorableness,

leaders must examine three distinct aspects of their leadership style: leader-

follower relations, task structure, and position power.

Leader-Follower Relations

The first factor situation-favorableness leaders must attend to involves the nature

of their relationship with their followers. Leaders who have positive

relationships with their followers will have high levels of mutual trust, respect,

and confidence; whereas leaders with negative relationships with their followers

will have lower degrees of mutual trust, respect, and confidence. The more

positive a leader’s relationships with her or his followers, the more favorable the

situation will be for the leader.

Task Structure

Next, leaders must determine if the task at hand is one that is highly structured or

one that is unstructured. Highly structured tasks tend to be repetitive and

unambiguous, so they are more easily understood by followers, which leads to a

more favorable situation for the leader. If tasks are unstructured, then the leader

will have followers who are less likely to understand the task, making for a less

favorable leadership situation.

Position Power

Lastly, leaders need to know whether they are in a position of strong or weak

power. Leaders who have the ability to exert power over followers (reward and

punish followers) will have greater ability to exert the leader’s will on followers,

which is more favorable for the leader. Leaders who do not have the ability to

exert power over followers are in a much less favorable leadership situation.

Situational Favorableness

When one combines the three factors (leader-follower relations, task structure,

and position power), the basic contingency model proposed by Fiedler emerges.

Figure 7.1 illustrates the basic model proposed.

Figure 7.1 Fiedler’s Contingency Model

In this model, you can see that the combination of the three factors creates a

continuum of most favorable to least favorable for the leader. Notice that there

are eight basic levels ranging from the left side of the model, which is more

favorable, to the right side of the model, which is least favorable. One area of

concern that can impact the usability of this model is ultimately a leader’s LPC.

If the situation matches a leader’s LPC, the leader is lucky and he or she doesn’t

need to alter anything. However, often the situation leads to an imbalance

between the leader’s LPC and the appropriate leader behavior necessitated by a

situation. In this case, either the leader can attempt to alter her or his leadership

style, which is not likely to lead to a positive outcome, or the leader can attempt

to change the situation to match her or his LPC style, which will be more likely

to lead to a positive outcome.

Hersey and Blanchard’s Situational Leadership Theory

Like Fielder’s contingency model, the basic model proposed by Paul Hersey and

Kenneth Blanchard is also divided into task (leader directive behavior) and

relational (leader supportive behavior) dimensions. [17] However, Hersey and

Blanchard’s theory of leadership starts with the basic notion that not all

followers need the same task- or relationship-based leadership, so the type of

leadership a leader should utilize with a follower depends on the follower’s

readiness. Figure 7.2 shows the basic model.

Figure 7.2 Situational Leadership Model

In the basic model seen in Figure 7.2, you have both dimensions of leadership

behavior (supportive and directive). Based on these two dimensions, Hersey and

Blanchard propose four basic types of leadership that leaders can employ with

various followers depending on the situational needs of the followers: directing,

coaching, supporting, and delegating. [18]

Directing

The first type of leader discussed in Hersey and Blanchard’s situational

leadership theory is the directing leader (originally termed telling). A directing

leader is needed by followers who lack both the skill and the motivation to

perform a task. Hersey and Blanchard recommend against supportive behavior at

this point, because the supporting behavior may be perceived as a reward by the

follower. Instead, these followers need a lot of task-directed communication and

oversight.

Coaching

The second type of leader discussed in Hersey and Blanchard’s situational

leadership theory is the coaching leader (originally termed selling). The

coaching leader is necessary when followers have a high need for direction and a

high need of support. Followers who are unable to perform or lack the

confidence to perform the task but are committed to the task and/or organization

need a coaching leader. In this case, the leader needs to have more direct control

over the follower’s attempt to accomplish the task, but the leader should also

provide a lot of encouragement along the way.

Supporting

Next, you have followers who still require low levels of direction from leaders

but who need more support from their leaders. Hersey and Blanchard see these

followers as individuals who more often than not have requisite skills but still

need their leader for motivation. As such, supporting leaders should set about

creating organizational environments that foster these followers’ motivations.

Delegating

Lastly, when a follower is both motivated and skilled, he or she needs a

delegating leader. In this case, a leader can easily delegate tasks to this

individual with the expectation that the follower will accomplish the tasks.

However, leaders should not completely avoid supportive behavior because if a

follower feels that he or she is being completely ignored, the relationship

between the leader and follower could sour.

Functional Approach

In both the trait and situational approaches to leadership, the primary outcome

called “leadership” is a series of characteristics that help create the concept. The

functional approach, on the other hand, posits that it’s not a series of leadership

characteristics that make a leader, but rather a leader is someone who looks like,

acts like, and communicates like a leader. To help us understand the functional

approach to leadership, we’ll examine three different sets of researchers

commonly associated with this approach: Chester Barnard’s functions of the

executive and Kenneth Benne and Paul Sheats’s classification of functional roles

in groups.

Barnard’s Functions of the Executive

The first major functional theorist was an organizational researcher by the name

of Chester Barnard, who published a groundbreaking book in 1938 titled The

Functions of the Executive. [19] It is from this book’s title that the functional

approach to leadership gets its name. In this book, Barnard argues that

executives have three basic functions.

Formulating Organizational Purposes and Objectives

The first function a leader should have is the creation (or formulation) of the

organization’s basic purpose and its objectives. In essence, leaders should be

able to form a clear vision for the organization and then set about creating the

tasks necessary to help the organization accomplish that vision.

Securing Essential Services from Other Members

The second function of a leader according to Barnard’s framework was securing

essential services from other members. Barnard realized that one of the inherent

aspects of leadership was the leader’s ability to get the services he or she needs

from followers. For example, it’s not just about hiring people and setting them

about their tasks. Instead, it’s about hiring people and then inspiring them in an

effort to get the best out of them. In an organization where someone has a

position of leadership but is not at the top of the hierarchy, leadership also

becomes important in an individual’s ability to reach out to other teams or

divisions and secure resources and services to help the leader’s team accomplish

its goals. Basically, leaders must actively work to help others accomplish the

organization’s goals.

Establishing and Maintaining a System of Communication

According to Barnard, the first function of an executive should be to establish

and maintain a system of communication. As such, Barnard came up with seven

specific rules to help executives create a system of communication within their

organizations:

1. The channels of communication should be definite.

2. Everyone should know of the channels of communication.

3. Everyone should have access to the formal channels of communication.

4. Lines of communication should be as short and as direct as possible.

5. Competence of persons serving as communication centers should be

adequate.

6. The line of communication should not be interrupted when the organization

is functioning.

7. Every communication should be authenticated. [20]

From this perspective, leaders have a fundamental task in creating and

controlling both the formal and informal communication systems within the

organization. In fact, Chester Barnard was one of the first researchers to really

extol the importance of understanding both the formal and informal

communication within an organization.

Benne and Sheats’s Classification of Functional Roles in Groups

Kenneth Benne and Paul Sheats did not exactly set out to create a tool for

analyzing and understanding the functional aspects of leadership. Instead, their

1948 article titled “Functional Roles of Group Members” was designed to

analyze how people interact and behave within small-group or team settings. [21]

The basic premise of Benne and Sheats’s 1948 article was that different people

in different group situations will take on a variety of roles within a group. Some

of these roles will be prosocial and help the group accomplish its basic goals,

while other roles are clearly antisocial and can negatively impact a group’s

ability to accomplish its basic goals. Benne and Sheats categorized the more

prosocial roles as belonging to one of two groups: task and group building and

maintenance roles. Task roles are those taken on by various group members to

ensure that the group’s task is accomplished. Group-building and maintenance

roles are those roles people take on that are “designed to alter or maintain the

group way of working, to strengthen, regulate and perpetuate the group as a

group.” [22] The more antisocial (individual) roles are roles group members take

on that are not relevant to either the group or the task at hand. Individuals

embodying these roles will actually prevent the group from accomplishing its

task in a timely and efficient manner. We will go into more detail about the

specific nature of these various roles in Chapter 9. For now let’s just look at

Table 7.3.

Table 7.3 Prosocial and Antisocial Group Roles

Prosocial Group Roles Antisocial Group Roles

Task Roles

• Initiator-contributor

• Information seeker

• Opinion seeker

• Information giver

• Opinion giver

• Elaborator

• Coordinator

• Orienter

• Evaluator-critic

• Energizer

Individual Roles

• Aggressor

• Blocker

• Recognition seeker

• Self-confessor

• Procedural technician

• Recorder

• Playboy

• Dominator

• Help seeker

• Special-interest pleader

Group-Building and Maintenance Roles

• Encourager

• Harmonizer

• Compromiser

• Gatekeeper/expediter

• Standard setter/ego ideal

• Group observer/commentator

• Follower

You may be wondering how these actually relate to the notion of leadership. To

help us understand why these roles are functions of leadership, let’s turn to the

explanation provided by Michael Hackman and Craig Johnson:

“Roles associated with the successful completion of the task and the

development and maintenance of group interaction help facilitate goal

achievement and the satisfaction of group needs. These roles serve a

leadership function. Roles associated with the satisfaction of individual

needs do not contribute to the goals of the group as a whole and are usually

not associated with leadership. By engaging in task-related and group-

building/maintenance role behaviors (and avoiding individual role

behavior), a group member can perform leadership functions and increase

the likelihood that he or she will achieve leadership status with the group.” [23]

In essence, leaders are people who perform task and relational roles while people

who are nonleaders tend to focus on their own desires and needs and not the

needs of the group itself. As such, each of the task and building/maintenance

roles can be considered functions of effective leadership.

Relational Approach

The next approach to leadership is called the relational approach because it

focuses not on traits, characteristics, or functions of leaders and followers, but

instead the relational approach focuses on the types of relationships that develop

between leaders and followers. To help us understand the relational approach to

leadership, let’s examine two different perspectives on this approach: Robert

Blake and Jane Mouton’s managerial grid and George Graen’s leader-member

exchange theory.

Blake and Mouton’s Managerial Grid

The first major relational approach we are going to discuss is Blake and

Mouton’s managerial grid. [24] While the grid is called a “managerial” grid, the

subtitle clearly specifies that it is a tool for effective leadership. In the original

grid created in 1965, the two researchers were concerned with whether or not a

leader was concerned with her or his followers or with production. In the version

we’ve recreated for you in Figure 7.3, we’ve relabeled the two as “concern for

relationships” and “concern for tasks” to be consistent with other leadership

theories we’ve discussed in this chapter. The basic idea is that on each line of the

axis (x-axis refers to task-focused leadership; y-axis refers to relationship-

focused leadership), there are nine steps. Where an individual leader’s focus for

both relationships and tasks lies will dictate where he or she falls as a leader on

the managerial grid. As such, we end up with five basic management styles:

impoverished, authority compliance, country club, team, and middle of the road.

Let’s look at each of these in turn.

Figure 7.3 Blake and Mouton’s Managerial Grid

Impoverished Management

The basic approach a leader takes under the impoverished management style is

completely hands off. This leader places someone in a job or assigns that person

a task and then just expects it to be accomplished without any kind of oversight.

In Blake and Mouton’s words, “The person managing 1,1 has learned to ‘be out

of it,’ while remaining in the organization…[this manager’s] imprint is like a

shadow on the sand. It passes over the ground, but leaves no permanent mark.” [25]

Authority-Compliance Management

The second leader is at the 9,1 coordinates in the leadership grid. The authority-

compliance management style has a high concern for tasks but a low concern for

establishing or fostering relationships with her or his followers. Consider this

leader the closest to Frederick Taylor’s scientific-management style of

leadership. All the decision making is done by the leader and then dictated to her

or his followers. Furthermore, this type of leader is very likely to micromanage

or closely oversee and criticize followers as they set about accomplishing the

tasks given to them.

Country Club Management

The third style of manager is called the country club management style and is the

polar opposite of the authority-compliance manager. In this case, the manager is

almost completely concerned with establishing or fostering relationships with

her or his followers, and the task(s) needing to be accomplished disappears into

the background. When assigning tasks to be accomplished, this leader empowers

her or his followers and believes that the followers will accomplish the task and

do it well without any kind of oversight. This type of leader also adheres to the

advice of Thumper from the classic Disney movie Bambi: “If you can’t say

anything nice, don’t say anything at all.”

Team Management

The next leadership style is at the high ends of concern for both task and

relationships and is referred to as the team-management style. This type of

leader realizes that “effective integration of people with production is possible by

involving them and their ideas in determining the conditions and strategies of

work. Needs of people to think, to apply mental effort in productive work and to

establish sound and mature relationships with one another are utilized to

accomplish organizational requirements.” [26] Under this type of management,

leaders believe that it is their purpose as leaders to foster environments that will

encourage creativity, task accomplishment, and employee morale/motivation.

This form of management is probably most closely aligned with Douglas

McGregor’s Theory Y, which was discussed in Chapter 3.

Middle-of-the-Road Management

The final form of management discussed by Blake and Mouton was what has

been deemed the middle-of-the-road management style. The reasoning behind

this style of management is the assumption that “people are practical, they

realize some effort will have to be exerted on the job. Also, by yielding some

push for production and considering attitudes and feelings, people accept the

situation and are more or less 'satisfied.’” [27] In the day-to-day practicality of

this approach, these leaders believe that any kind of extreme is not realistic, so

finding some middle balance is ideal. If, and when, an imbalance occurs, these

leaders seek out ways to eliminate the imbalance and get back to some state of

moderation.

Graen’s Leader-Member Exchange Theory

Starting in the mid-1970s, George Graen proposed a different type of theory for

understanding leadership. Graen’s theory of leadership proposed that leadership

Figure 7.4 Domains

of Leadership

must be understood as existing in three distinct domains: follower, leader, and

relationship (Figure 7.4). [28] The basic idea is that leaders and followers exist

within a dyadic relationship, so understanding leadership must examine the

nature of that relationship.

When examining the leader-member exchange (LMX)

relationship, one must realize that leaders have only limited

amounts of social, personal, and organizational resources,

so leaders must be selective in how they distribute these

resources to their followers. Ideally, every follower would

have the same type of exchange relationship with his or her

leader, but for a variety of reasons some followers receive

more resources from a leader, while others receive fewer

resources from a leader. Ultimately, high-quality LMX relationships are those

“characterized by greater input in decisions, mutual support, informal influence,

trust, and greater negotiating latitude,” whereas low-quality LMX

relationships “are characterized by less support, more formal supervision, little

or no involvement in decisions, and less trust and attention from the leader.” [29]

Whether an individual follower is in a high-quality or low-quality LMX

relationship has a strong impact on their view of the organization itself.

Followers in high-quality LMX relationships (also referred to as in-groups) have

higher perceptions of leader credibility and a greater regard for their leaders

compared to those followers in low-quality LMX relationships (also referred to

as out-groups). Not only does the nature of the relationship impact a follower’s

perceptions of her or his leader, but research has shown that high-LMX

relationships lead to greater productivity, job satisfaction, and organizational

commitment. [30] Overall, research has shown many positive benefits for

followers who have high-LMX relationships, including the following:

More productive (produce higher quality and quantity of work)

Greater levels of job satisfaction

Higher levels of employee motivation

Greater satisfaction with immediate supervisor

Greater organizational commitment

Lower voluntary and involuntary turnover levels

Greater organizational participation

Greater satisfaction with the communication practices of the organization

Clearer understanding about her or his role within the organization

Greater exhibition of organizational citizenship behaviors

Greater long-term success in one’s career

Greater organizational commitment

More desirable work assignments

More attention and support from organizational leaders [31] [32] [33]

One of the big questions that has arisen in the leadership literature is “how do

leaders select followers to enter into a high-LMX relationship?” One possible

explanation for why leaders choose some followers and not other followers for

high-LMX relationships stems from the follower’s communication style. In a

2007 study, researchers examined the relationship between follower

communication and whether or not they perceived themselves to be in a high-

LMX relationship with their immediate supervisor. [34] Not surprisingly,

individuals who reported higher levels of assertiveness, responsiveness,

friendliness, cognitive flexibility, attentiveness, and a generally relaxed nature

were more likely to report having a high-LMX relationship. One variable that

was negatively related to the likelihood of having a high-LMX relationship was

a follower’s level of communication apprehension.

Transformational Approach

The final approach to leadership is one that clearly is popular among

organizational theorists. Although the term transformational leadership was

coined by James Downton in 1973, the term was truly popularized by political

sociologist James MacGregor Burns in 1978. [35] [36] In a 2001 study conducted

by Kevin Lowe and William Gardner, the researchers examined the types of

articles that had been published in the premier academic journal on the subject of

leadership, Leadership Quarterly. [37] The researchers examined the types of

research published in the journal over the previous ten years, which found that

one-third of the articles published within the journal examined transformational

leadership.

To help understand leadership from this approach, it’s important to understand

the two sides of leadership: transactional and transformational leadership. On the

one hand you have transactional leadership, which focuses on an array of

exchanges that can occur between a leader and her or his followers. The most

obvious way transactional leadership is seen in corporate America is the use of

promotions and pay raises. Transactional leaders offer promotions or pay raises

to those followers who meet or exceed the leader’s goals. Rewards are seen as a

tool that a leader utilizes to get the best performance out of her or his followers.

If the rewards no longer exist, followers will no longer have the external

motivation to meet or exceed goals.

Transformational leadership, on the other hand, can be defined as the “process

whereby a person engages with others and creates a connection that raises the

level of motivation and morality in both the leader and the follower.” [38] In

essence, transformational leadership is more than just getting followers to meet

or exceed goals because the leader provides the followers rewards. Bernie Bass

proposed a more complete understanding of transformational leadership and

noted three factors of transformational leadership: charismatic and inspirational

leadership, intellectual stimulation, and individualized consideration. [39] [40]

Charismatic and Inspirational Leadership

The first factor Bass described for transformational leaders was charismatic and

inspirational leadership. Charisma is a unique quality that, Bass argued, not

everyone possesses. Those who are charismatic have the ability to influence and

inspire large numbers of people to accomplish specific organizational goals or

tasks. Where the transactional leader rewards followers for accomplishing tasks,

transformational leaders inspire their followers to accomplish goals and tasks

with no promise of rewards. Instead, followers are inspired by a transformational

leader to accomplish goals and tasks because they share the leader’s vision for

the future. Bass later made inspirational motivation a unique factor unto itself to

clearly separate its impact from charismatic leadership. [41]

Related Research

Measuring Transformational and Charismatic Leadership: Why Isn’t

Charisma Measured?

By Kenneth J. Levine, Robert A. Muenchen, and Abby M. Brooks

Although a lot of organizational researchers talk about the notion of

transformational research, only a handful of research measures are commonly

utilized to examine the concept. One commonly used measure of charismatic

leadership was created by Jay Conger and Rabindra Kanungo and measures

six factors they believe contribute to charismatic leadership: vision and

articulation, environmental sensitivity, unconventional behavior, personal

risk, sensitivity to member needs, and not maintaining the status quo. [42]

Only two of the items on this measure have anything to do with how a leader

actually communicates. Unfortunately, this is a common problem with most

measures that allegedly examine transformational leadership.

The purpose of Levine, Muenchen, and Brooks’s study was to create a better

understanding of the communicative aspects of charisma. To do this, the

researchers asked participants two simple questions. The first question asked

participants was “How do you define leadership?” This method led to five

specific categories of charisma:

1. Outgoing personality (“This person is strong, charming, confident,

humorous, understanding, is a quality individual, shows good sense, is

influential, possesses a good attitude and is a good speaker.” [43])

2. Ability to listen, empathize, and understand people

3. Ability to speak well

4. Appropriate nonverbal behaviors

5. Personal presence (“someone who is powerful, loud, understanding,

enthusiastic, and has the ability to put others at ease.” [44])

The second research question was “What communicative behaviors does a

charismatic person demonstrate?” This method also yielded five

communicative behavioral patterns:

1. Having the ability to communicate with a wide range of different

stakeholders.

2. The ability to set goals and persuade others to follow them.

3. Demonstrate effective emotions through both verbal and nonverbal

behavior.

4. A charismatic leader can get everyone to see the task at hand and

motivate her or his followers to accomplish that task.

5. A charismatic leader is one who believes in participative decision

making.

Clearly these five factors of both leadership and charisma cannot be easily

summed up in two items on a single research measure as is seen in Conger

and Kanungo’s measure. Ultimately, the researchers determined that the

commonly utilized measures of transformational leadership are not adequate

measures of charisma, so the current research on the subject of

transformational leadership is lacking and needs further study.

Intellectual Stimulation

The second characteristic of transformational leaders is intellectual stimulation.

In essence, a transformational leader “stimulates followers to be creative and

innovative and to challenge their own beliefs and values as well as those of the

leader and the organization.” [45] While both transactional and transformational

leaders engage in intellectual stimulation themselves, the purpose of this

intellectual stimulation differs. Transactional leaders tend to focus on how best

to keep their organizations and the systems within their organizations

functioning. Very little thought to innovation or improving the organization

occurs because transactional leaders focus on maintaining everything as is.

Transformational leaders, on the other hand, are always looking for new and

innovative ways to manage problems. As such, they also encourage those

around them to “think outside the box” in an effort to make things better.

Individualized Consideration

The last factor of transformational leadership is individualized consideration, or

seeing followers as individuals in need of individual development.

Transformational leaders evaluate “followers’ potential both to perform their

present job and to hold future positions of greater responsibility. The leader sets

examples and assigns tasks on an individual basis to followers to help

significantly alter their abilities and motivations as well as to satisfy immediate

organizational needs.” [46] The goal of this individualized consideration is to

help individual followers maximize their potential, which maximizes the leader’s

use of her or his resources at the same time.

Greenleaf’s Servant Leadership

In 1970, Robert Greenleaf wrote a self-published book titled The Servant as

Leader. [47] In this book, Greenleaf proposed a new way of understanding and

talking about leadership. Greenleaf argued that effective and ethical leaders are

ones who start from a position of servitude toward both the organization and its

stakeholders. When someone approaches leadership from this perspective, how

she or he will view herself or himself is radically changed from someone who

sees the role of organizations fundamentally differently from those who do not.

Servant leaders approach the world from the basic idea that the role of

organizations is to produce a better tomorrow. As such, servant leaders

fundamentally see their role as a leader as one that has been bestowed upon and

entrusted to them. However, Greenleaf’s notion that someone approaches

leadership from this servanthood perspective is one that is more inherently a

personality trait than it is a management style.

Another contemporary drawn to Greenleaf’s ideas of servant leadership was

Larry Spears. Spears originally came to read Greenleaf’s writings about servant

leadership while working on the staff of Friends Journal, a Quaker publication.

He eventually left his position to become the CEO of the Greenleaf Center. In

2008, Spears left the Greenleaf Center to create the Spears Center for Servant

Leadership. One of Spears’s (1998, 2002) most notable contributions to the

literature on servant leadership has been the ten characteristics of a servant

leader: [48] [49] [50]

1. Listening. The extent to which a leader listens to both her or his followers’

wills and her or his own internal voice coupled with periods of reflection.

2. Empathy. The ability to accept people as individuals while also rejecting

their inappropriate behavior and subpar performance.

3. Healing. The extent to which a leader has the ability to help people who

have suffered from crushed spirits and emotional injuries to heal and

become whole again.

4. Awareness. The extent to which a leader is self-aware and has the ability to

see situations holistically.

5. Persuasion. The extent to which a leader relies on her or his ability to

convince others to a position instead of using her or his position of

authority to coerce others.

6. Conceptualization. The extent to which a leader can develop her or his

ability, along with her or his followers’ ability, to think big and “dream

great dreams.”

7. Foresight. The extent to which a leader has the ability to see the lessons of

the past, the realities of the present, and potential consequences of decisions

in the future.

8. Stewardship. The extent to which a leader sees every individual’s part in

the whole while making a commitment to, first and foremost, serve.

9. Commitment to the growth of people. The extent to which a leader sees

the potential of all organization members and helps them nurture their

personal, professional, and spiritual growth.

10. Building community. The extent to which a leader identifies the means of

building a community among members of the organization and its various

stakeholders.

Although there has been quite a bit of buy-in within corporate America, there

really is a lack of objective research examining the effectiveness of servant

leadership. [51] Denise Linda Parris and Jon Welty Peachey (2013) set out to

examine the degree to which scholarly research supported the theoretical

assumptions of servant leadership. The researchers analyzed eleven qualitative

studies, twenty-seven quantitative studies, and one mixed-methods study for a

total of thirty-nine studies that were published in academic, peer-reviewed

journals from 2004 to 2011. Without going into too much detail at this point,

here are some of the major conclusions the researchers came to after analyzing

the thirty-nine studies:

Servant-leadership (SL) is accepted and practiced in multiple cultures.

Spears’s notions of ten factors of servant leadership are a strong explanation

of the concept.

SL leads to increases in both leadership trust and organizational trust.

SL fosters organizational citizenship behaviors.

SL leads to increases in both collaboration and team effectiveness.

SL leads to an increase in job satisfaction and commitment.

SL creates a positive work climate that fosters employee creativity and

helping behaviors.

SL decreases employee turnover.

As you can see from these eight findings, servant leadership has a number of

different positive outcomes in the organizational environment.

KEY TAKEAWAY

The trait approach to leadership is the oldest approach to

leadership and theorizes that certain individuals are born with

specific personality or communication traits that enable

leadership. As such, scholars who take a trait approach have

examined thousands of possible traits that may have an impact

on successful or unsuccessful leadership practices.

The situational approach to leadership focuses on specific

organizational contexts or situations that enable leadership. Fred

Fiedler’s contingency theory examines an individual’s preference

for either tasks or relationships and then theorizes that leaders

who find themselves in situations that favor that type of leadership

will be fine, while leaders who are out of balance need to either

change the situation or adjust their leadership styles. Paul Hersey

and Kenneth Blanchard’s theory of situational leadership, on the

other hand, examines how leadership is dependent upon whether

a follower is someone being developed or someone who has

already been developed. New followers, Hersey and Blanchard

theorize, need more guidance, so leaders should focus on the

task at hand and not on relationships with these followers. Old

followers, on the other hand, need little guidance and little

relationship building.

The functional approach to leadership posits that a leader is

someone who looks like, acts like, and communicates like a

leader. Chester Barnard’s functions of the executive posits that

leaders should engage in three specific functions: (1) formulating

organizational purposes and objectives, (2) securing essential

services from other members, and (3) establishing and

maintaining a system of communication. A second functional

approach is Kenneth Benne and Paul Sheats’s classification of

functional roles in groups, which examines how different people

take on various group/team roles in an effort to keep the

group/team striving toward a specific goal. Each of the roles that

group/team members take on serves a specific function in the

group/team decision-making and implementing process.

The relational approach to leadership theorizes that leadership is

a matter of building and maintaining relationships with one’s

followers. Robert Blake and Jane Mouton’s managerial grid

examines the intersection of relationship-oriented and task-

oriented leader perspectives. Ultimately, Blake and Mouton

propose five distinct types of leadership: (1) impoverished (low

task, low relational), (2) authority-compliance (high task, low

relational), (3) country club (low task, high relational), (4) team

(high task, high relational), and (5) middle-of-the-road (moderate

task, moderate relational). A second relational approach is

George Graen’s leader-member exchange (LMX) theory, which

looks at the exchange relationship between a follower and a

leader. Under LMX theory, leaders take on protégés in an

interpersonal communicative relationship that enables a follower

to succeed within an organization.

The transformational approach to leadership espoused by James

MacGregor Burns looks at leadership as a comparison to the

traditional transactional model of leadership. In the transactional

model, leaders promise to punish or reward followers in order

gain support. Transformational leadership, on the other hand,

occurs when a leader utilizes communication in an effort to

increase follower morale, motivation, and performance to

accomplish organizational goals.

Charisma :

Transformational Leadership:

Functional Approach:

EXERCISES

1. Fill out the Least Preferred Coworker

Scale (http://tinyurl.com/myrcrlx). After completing the measure,

what did you learn about your own approach to leadership?

According to contingency theory, what leadership situations will

you succeed in, and in what leadership situations will you need to

alter either the situation or your own leadership behavior?

2. Looking at Blake and Mouton’s managerial grid, which type of

leadership style do you respond best to? Why do you think you

respond best to this leadership style? Do you think you lead

others in this fashion? Why or why not?

3. Create a list of at least five transactional leaders and five

transformational leaders. What differences do you see between

these two lists and the types of organizational accomplishments

they’ve had?

KEY TERMS AND DEFINITIONS

Unique leadership trait in which an individual has the ability to influence and inspire large numbers of people to accomplish specific organizational goals or tasks.

Leadership approach that utilizes communication in an effort to increase follower morale, motivation, and performance to accomplish organizational goals.

Approach to leadership that posits it’s not a series of leadership characteristics that make a leader, but rather a leader is

High-Quality LMX Relationships:

Leadership:

Low-Quality LMX Relationships:

Manage:

Management:

Relational Approach:

Situational Approaches:

Trait Approach:

Transactional Leadership:

someone who looks like, acts like, and communicates like a leader.

Leader-member-exchange relationship marked by follower access to decision making, support, influence, and occupational success.

The modification of attitudes, beliefs, and values of a group to further an organization’s goals, mission, and vision.

Leader-member-exchange relationships marked by follower supervision, lack of leadership support, and little to no access to decision making, which leads to lower levels of organizational success.

The communicative process where an individual or group of individuals helps those below them in an organizational hierarchical structure accomplish the organization’s goals.

Those individuals who use communication to help an organization achieve its goals through the proper utilization of the organization’s resources (e.g., employees, facilities).

Approach to leadership that emphasizes the types of relationships that develop between leaders and followers.

Approach to leadership that studies leadership as a phenomenon of differing organizational contexts and situations that lead or enable different types of leadership behavior.

Approach to leadership studies that searches for a series of physical, mental, or personality traits that effective leaders possess that neither nonleaders nor ineffective leaders possess.

Leadership that focuses on an array of exchanges that can occur between a leader and her or his followers in an effort to gain follower support.

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7.2 Followership

LEARNING OBJECTIVES

1. Define the term followership.

2. Explain Ira Chaleff’s styles of followership.

3. Describe Roger Adair’s 4-D followership model.

4. Differentiate among McCroskey and Richmond’s three

organizational orientations.

© Thinkstock/Hemera

In 1988, Robert Kelley wrote an article in the Harvard Business Review where

he explained that much of the research on what happens between organization

members is written from the perspective that leadership is king and everything

else is periphery. [1] Instead, Kelley believed that followership should be center

stage, right alongside research and writing on leadership. Surprisingly, this

article was met with a lot of controversy: “Some people just flat out didn’t like it,

comparing followers to sled dogs whose destiny is always to look at the rear end

of the dog in front of them, but never to see the wider horizon or make the

decisions of the lead dog. Other readers could not thank me enough for

articulating what they secretly held in their hearts.” [2] Since 1988, writings in

the popular press and in academic circles have routinely discussed the nature of

followership. While there is still some controversy over the nature of

followership, leadership researchers now uniformly examine and discuss the

importance of followership in the corporate environment.

So what then is followership? As a basic concept, followership is the act or

condition under which an individual helps or supports a leader in the

accomplishment of organizational goals. However, Jon Howell and Maria

Mendez defined followership less in terms of a straightforward definition and

more as different roles followership can take. First, followership can take an

interactive role, which means that a follower’s role is to complement and support

her or his leader in accomplishing organizational goals. Second, followership

can be an independent role, where followers act independently of their leaders

with little necessity for oversight or management. Lastly, followership can take

on a shifting role perspective, where followership is seen as less a concrete title

or position than a state one embodies depending on the tasks at hand. In some

situations, an individual may be a leader and in others a follower, depending on

the context of the organizational goals. The rest of this section examines a series

of different perspectives in the literature involving organizational followership:

Ira Chaleff’s styles of followership, Roger Adair’s 4-D followership model, and

McCroskey and Richmond’s organizational orientations.

Chaleff’s Styles of Followership

One of the first models for understanding the nature of leader-follower

interactions from the follower’s perspective is Ira Chaleff’s styles of

followership he discussed in his groundbreaking book, The Courageous

Follower. [3] Based on the title of the book, Chaleff’s perspective is that

followership is an act of courage that someone decides to do. As such, he sees

followership as having the courage to engage in two different behaviors: the

courage to support the leader and the courage to challenge the leader’s behavior

and/or policies. Figure 7.5 demonstrates what happens when you combine the

courage to challenge and support.

Figure 7.5 Styles of Followership

Resource

The first follower style discussed by Chaleff is the resource. The resource is

someone who will not challenge or support the leader. This follower basically

does the minimal amount to keep her or his job, but nothing more.

Individualist

The second followership style is the individualist. This individual will provide

little to no support for her or his leader but has no problem challenging the

leader’s behavior and policies. This individual is generally very argumentative

and/or aggressive in her or his behavior. While this individual will often speak

out when no one else will, people see this person as inherently contrarian, so her

or his ideas are generally marginalized.

Implementer

The third followership style is the implementer. The implementer is more than

happy to support her or his leader in any way possible, but the implementer will

not challenge the leader’s behavior and/or policies even when the leader is

making costly mistakes. The implementer simply sees it as her or his job to

follow orders, not to question those orders. While this kind of pure followership

may be great in the military, it can be very harmful in the corporate world.

Partner

The final type of followership is the partner. Partner followership occurs when

a follower is both supportive and challenging. This type of follower believes that

he or she has a stake in a leader’s decisions, so he or she will act accordingly. If

the partner thinks a leader’s decision is unwise, he or she will have no problem

clearly dissenting within the organizational environment. At the same time, these

followers will ultimately provide the most (and most informed) support possible

to their leader.

Adair’s 4-D Followership Model

In 2008, Roger Adair proposed the 4-D followership model to help explain the

types of people who exist within an organization. [4] The basic model Adair

proposed for understanding followers examines a follower’s level of job

satisfaction and her or his productivity. Based on the combination of job

satisfaction and productivity, Adair demonstrates the likelihood that someone

will decide to leave the organization. The basic model can be seen in Figure 7.6.

Figure 7.6 Followership Model

Disgruntled

The first type of follower is called the disgruntled follower. He or she has low

levels of job satisfaction and is not overly productive at work. These followers

have typically encountered some event within the organization that has left them

feeling detached, angry, or displeased. Maybe this person was passed up for a

job promotion, or he or she is being bullied in the workplace. Whatever the

initial trigger, these individuals are toxic to the work environment. If the

disgruntled follower is caught early on in her or his downward slip into this

state, there is a chance to pull her or him away from the disgruntled cliff.

Unfortunately, too many leaders do not notice the signs early on, and these

followers either end up reacting negatively in the workplace or jump ship as

soon as they get an offer.

Disengaged

The second type of follower is someone who is disengaged, or someone who

doesn’t see the value in her or his work, so she or he opts to do the minimum

necessary to ensure employment. Often, these individuals perceive their work as

meaningless or not really helping the organization achieve its basic goals, so

they basically tune out. People who are disengaged likely become so because the

original expectations they had for the job are simply not met, so they may feel

lied to by the organization, which can lead to low levels of organizational

commitment.

Doer

The third type of follower is called the doer. Doers “are motivated, excited to be

part of the team. They are enterprising people, and overall are considered high

producers. The only real issue with these employees is that no matter where they

go in an organization, the grass always looks greener elsewhere.” [5] A doer

often starts as someone who is upwardly mobile in the organization and becomes

a doer when one of two things occurs. First, doers want more out of life, and if

they don’t feel that there is a continued possibility for upward mobility within an

organization, they are very likely to jump ship. Second, if a doer does not feel he

or she is receiving adequate recognition for contributions to the organization,

then the doer will find someone to provide that affirmation.

Disciple

The last type of follower is the disciple, and this individual is highly satisfied

and highly productive. In an ideal world, only disciples would fall under leaders

because they have no problem sacrificing their personal lives for the betterment

of the organization. These workers are true believers, both in their work and in

the overarching goals of the organization. While some people may remain

disciples for a lifetime, many more workers start as disciples and quickly

become disengageds, disgruntleds, or doers. This generally happens because an

organization’s own employees, processes, or systems do not encourage disciple

behavior and eventually wear the disciple down to the point where his or her

sunny organizational outlook becomes one filled with clouds.

McCroskey and Richmond’s Organizational

Orientations

In 1962, Robert Presthus created a theory of organizational life that defined three

unique types of workers: upwardly mobiles, ambivalents, and indifferents. He

defined these three terms thus: “The upward-mobiles are those who react

positively to the bureaucratic situation and succeed in it. The indifferents are the

uncommitted majority who see their jobs as mere instruments to obtain off-work

satisfactions. The ambivalents are a small, perpetually disturbed minority who

can neither renounce their claims for status and power nor play the disciplined

role that would enable them to cash in such claims.” [6]

In 2004, James McCroskey and Virginia Richmond, along with their students

Aaron Johnson and Heather Smith, created a measure to examine and test

Presthus’s typology of workers to see whether the three organizational

orientations held up to empirical scrutiny. [7] The “Organizational Orientations:

Short Form” sidebar contains a short version of the organizational orientations

scale. Before continuing, please take a moment to complete the measure.

Organizational Orientations: Short Form

Read the following questions and select the answer that corresponds with

how you perceive your workplace. Do not be concerned if some of the items

appear similar. Please use the following scale to rate the degree to which each

statement applies to you:

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. One of my goals in life is excelling at my job. _____

2. I would like to learn as much as possible in my job. _____

3. Most of all, I really want to be recognized for the excellent work I do in

the workplace. _____

4. Accomplishing my organization’s goals is worth all the work you have

to do. _____

5. I am willing to work hard to accomplish my organization’s goals. _____

6. Since I am a really good worker, I know I will succeed in my career.

_____

7. A job is a job, it doesn’t really matter where you work. _____

8. I am generally indifferent to where I work. _____

9. Generally, I just do as much as is required by my supervisor to get a

paycheck. _____

10. I don’t much care where I work, so long as I get a paycheck. _____

11. One job is pretty much like any other. _____

12. When it comes to choosing a workplace, I found the one that would let

me get by doing the least amount of work. _____

13. I really dislike the rules and regulations I am forced to live with at my

job. _____

14. Generally, I don’t like the rules that my workplace makes me follow.

_____

15. Most of the time, a halfhearted effort is all I feel I need to give at work.

_____

16. I really think my job should just give me a paycheck and leave me alone.

_____

17. One job is about like any other, a pain in the backside. _____

18. What I want most in my job is to be left alone. _____

Scoring

To compute your scores, follow these instructions:

1. Upwardly Mobile

Add scores for items 1, 2, 3, 4, 5, and 6. For Upwardly Mobiles, scores should be between 6 and 30. If your score is above 15, you are considered an upwardly mobile worker. If your score is below 15, you’re not considered an upwardly mobile worker.

2. Indifferent

Add scores for items 13, 14, 15, 16, 17, and 18. For Indifferents, scores should be between 6 and 30. If your score is above 15, you are considered a highly indifferent worker. If your score is below 15, you’re not considered an indifferent worker.

3. Ambivalent

Add scores for items 7, 8, 9, 10, 11, and 12. For Ambivalents, scores should be between 6 and 30. If your score is above 15, you are considered an a highly ambivalent worker. If your score is below 15, you’re not considered an ambivalent worker.

Source: Wrench, J. S., Brogan, S. M., Fiore, A. M., & McKean, J. R. (2011,

November). Consumerist education in America: When ideology impacts the

basic purpose of higher education. Paper presented at the National

Communication Association 97th Annual Convention, New Orleans, LA.

The Three Orientations

According to Virginia Richmond and James McCroskey, organizational

orientations explain how followers orient themselves toward both their work and

their workplace. [8] To help us understand the organizational orientations and

their relationship to followership, let’s examine each one separately.

Upwardly Mobiles

The upwardly mobile organizational orientation is one associated with

individuals who are devoted to their work, their organization, and the

organization’s goals. To these individuals, working and their jobs are an inherent

part of their lives. In fact, these people often identify their jobs as being careers

and not just jobs. To upwardly mobiles, a job is a way to earn money, but a

career involves the pursuit of lifelong ambition and goals related to one’s chosen

occupation. Upwardly mobile individuals see themselves as having careers and

not just jobs. In fact, an inherent part of the identity of an upwardly mobile

relates to her or his career (e.g., I’m a lawyer, I’m a teacher, I’m an accountant).

These individuals generally are great followers because they really see their lives

and their careers as highly intertwined constructs. However, upwardly mobile

individuals want to continue up the hierarchy and will consider jumping ship if

they do not see a place for them within an organization in the future.

Indifferents

The second way people orient themselves at work is the indifferent

organizational orientation. Where upwardly mobiles see themselves as having

careers, indifferents clearly believe they have a job. In essence, the indifferent

follower is one who sees work as a means to an end. The indifferent goes to

work and does her or his job to get a paycheck, but the indifferent really sees life

as something that begins once he or she has left the workplace. Indifferent

followers need more guidance, because they will do the minimum amount of

work necessary to keep a job and earn a paycheck. Indifferents will look for a

new job if they believe their current job is starting to encroach on their life

outside of work. As for their communicative behavior at work, their

“communication on the job is about their family or personal life. When

encouraged to communicate about organizational matters with colleagues, they

generally say nothing, change the topic, or suggest that others should discuss

these matters.” [9]

Ambivalents

The last group of followers commonly seen in the workplace is the ambivalents.

Ambivalents are somewhat hard to describe because they can be unpredictable.

Where upwardly mobiles like to work within the hierarchy to accomplish goals,

and indifferents go along with the hierarchy and do what they are told to do,

ambivalents tend not to like the existing hierarchical structure, the tasks they are

assigned, or the organizational goals. These individuals are just generally

discontent. In fact, these individuals often think the grass would be greener in a

different pasture. However, when they move to a new organization, they tend to

find themselves making the same complaints about their new organization as

well. Furthermore, their moods and behaviors within the organization can

change daily. “These people can be supportive one day and destructive the next.

They are moody, which makes it difficult for people to work with or for them.” [10] Sadly, most organization members and leaders learn to keep their distance

with ambivalents and keep their interactions with ambivalents to “small talk” to

avoid setting them off. Most organizations (and their members) will be happier

and more productive when these individuals leave.

Outcomes of Organizational Orientations

In the original study by McCroskey, Richmond, Johnson, and Smith examining

organizational orientations, the researchers set out to examine how the three

orientations related to a series of different communication and organizational

variables. [11] First, they found that upwardly mobile individuals were more

motivated and had higher levels of job satisfaction, while indifferents and

ambivalents were neither motivated nor satisfied. As for their communication

with others, upwardly mobile individuals were shown to be considerably more

communicatively competent than either indifferents or ambivalents. The third

major finding from the first study examined how an individual’s organizational

orientation impacted her or his views of a supervisor’s credibility. Not

surprisingly, upwardly mobile followers saw their leaders as credible

(competent, caring, and trustworthy), while indifferent and ambivalent followers

did not. These results were later confirmed in a second study that compared both

nonprofit and for-profit organization members. [12]

A 2008 study conducted by Alan Goodboy and James McCroskey furthered our

understanding of organizational orientations by examining the relationship

between the three organizational orientations and nonverbal immediacy and

Machiavellianism. [13] Nonverbal immediacy is the perceived psychological or

physical closeness between two people. The nonverbal literature has consistently

shown that nonverbal immediacy (which can be influenced by effective eye

contact, appropriate use of gestures, smiling, etc.) is a positive communication

trait that improves a variety of different communicative interactions, including

both leader-follower relationships and coworker relationships. In this study,

upwardly mobile individuals were more likely to be nonverbally immediate in

the workplace when compared to either indifferents or ambivalents.

Machiavellianism, on the other hand, is a personality trait associated with an

individual’s tendency to manipulate those around them. Both indifferents and

ambivalents were more likely to be highly Machiavellian in the workplace when

compared to their upwardly mobile counterparts.

Overall, these three studies clearly show that understanding one’s followers’

organizational orientations can be very important for follower-leader interactions

in the workplace. While leaders should cultivate upwardly mobiles, they

shouldn’t ignore either indifferents or ambivalents to have a more productive and

harmonious working environment.

KEY TAKEAWAY

Followership is the act or condition under which an individual

helps or supports a leader in the accomplishment of

organizational goals. Followership is considered an act because

of the various behaviors associated with following someone.

Followership is considered a condition because of an individual’s

place within an organizational hierarchy.

Ira Chaleff’s styles of followership are based on the degree to

which an individual follower will support her or his leader and the

extent to which a follower will challenge her or his leader. Based

on these two characteristics, Chaleff proposes four distinct

follower types: (1) resource (low challenge, low support), (2)

individualist (high challenge, low support), (3) implementer (low

challenge, high support), and (4) partner (high challenge, high

support).

Roger Adair’s 4-D followership model looks at the combination of

a worker’s level of job satisfaction and her or his intentions to

leave the organization. Based on these two levels, Adair

proposed four distinct types of workers: (1) disengaged (low job

satisfaction, low turnover intention), (2) disgruntled (low job

satisfaction, high turnover intention), (3) doer (high job

satisfaction, high turnover intention), and (4) disciple (high job

satisfaction, low turnover intention). Ultimately, Adair also notes

that disengaged and disgruntled followers are not very productive,

while doers and disciples are very productive followers.

Based on Robert Presthus’s theory of organizational life,

McCroskey and Richmond have operationalized and studied three

unique organizational orientations: upwardly mobiles (individuals

who see their careers as a vibrant part of their daily lives, so they

strive to be their best at work), indifferents (followers who see

work as a means to an end and life as something that happens

outside the workplace), and ambivalents (individuals who are

disgruntled with existing hierarchical structures, the tasks they are

assigned, and/or the organizational goals). Upwardly mobile

followers are generally more motivated, productive, and satisfied

than their indifferent and ambivalent peers.

EXERCISES

1. Thinking back to your most recent job, what type of follower would

Ira Chaleff characterize you as? Why?

2. Thinking back to your most recent job, what type of follower would

Roger Adair characterize you as? Why?

3. After completing the Organizational Orientations: Short Form

scale in the sidebar, what organizational orientation is your most

prominent? How do you think your organizational orientation

Ambivalents:

Career :

Disciple:

Disengaged:

Disgruntled :

Doer:

Followership :

Implementer:

Indifferent :

affects your current job? Do you think your organizational

orientation would change if you were in a job versus a career?

KEY TERMS AND DEFINITIONS

Organizational orientation described by James C. McCroskey and Virginia Richmond, depicting a follower who is disgruntled by the existing hierarchical structure, the tasks assigned, and/or the organizational goals.

Post of employment for an individual who is pursuing lifelong ambitions and goals related to a chosen occupation.

Described by Roger Adair as a follower who believes both in her or his work and in the overarching goals of the organization, so this follower is highly satisfied and productive.

Described by Roger Adair as a follower who doesn’t see the value in her or his work, so he or she opts to do the minimum necessary to ensure her or his employment.

Described by Roger Adair as a follower who has encountered some event within the organization that has left them feeling detached, angry, or displeased, which leads to low levels of job satisfaction and productivity.

Described by Roger Adair as a follower who is highly motivated and constantly looking for bigger and better work opportunities either within the current organization or in a new one.

The act or condition under which an individual helps or supports a leader in the accomplishment of organizational goals.

Described by Ira Chaleff as a follower type who will be more than happy to support her or his leader in any way possible, but the implementer will not challenge the leader’s behavior or policies even when the leader is making costly mistakes.

Organizational orientation described by James C.

Individualist:

Job :

Partner:

Resource:

Upwardly Mobile:

McCroskey and Virginia Richmond, describing followers who go to work and do their jobs to get a paycheck. These followers sees life as something that begins once they leave the workplace.

Described by Ira Chaleff as a follower type who will provide little to no support for her or his leader but has no problem challenging the leader’s behavior and policies.

Post of employment for an individual who is just looking to earn money.

Described by Ira Chaleff as a follower type who will support and challenge a leader because this follower sees herself or himself as having a stake in the leader’s decisions.

Described by Ira Chaleff as a follower type who will not challenge or support the leader and does only the minimal amount of work to keep her or his job.

Organizational orientation described by James C. McCroskey and Virginia Richmond and associated with individuals who are devoted to their work, their organization, and the organization’s goals.

[1] Kelley, R. E. (1988). In praise of followers. Harvard Business Review,

66(6), 142–148.

[2] Kelley, R. E. (2008). Rethinking followership. In R. E. Riggio, I.

Chaleff, & J. Lipman-Blumen (Eds.), The art of followership: How great

followers create great leaders and organizations (pp. 5–15). San

Francisco, CA: Jossey-Bass, p. 6.

[3] Chaleff, I. (2003). The courageous follower (2nd ed.). San Francisco,

CA: Barrett-Koehler.

[4] Adair, R. (2008). Developing great leaders, one follower at a time. In

R. E. Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of

followership: How great followers create great leaders and organizations

(pp. 137–153). San Francisco, CA: Jossey-Bass.

[5] Adair, R. (2008). Developing great leaders, one follower at a time. In

R. E. Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of

followership: How great followers create great leaders and organizations

(pp. 137–153). San Francisco, CA: Jossey-Bass, p. 145.

[6] Presthus, R. (1962). The organizational society: An analysis and a

theory. New York, NY: Random House, p. 15. Emphasis in original.

[7] McCroskey, J. C., Richmond, V. P., Johnson, A. D., & Smith, H. T.

(2004). Organizational orientations theory and measurement:

Development of measures and preliminary investigations.

Communication Quarterly, 52, 1–14.

[8] Richmond, V. P., & McCroskey, J. C. (2009). Organizational

orientations. In Organizational communication for survival: Making work,

work (4th ed., pp. 82–93). Boston, MA: Allyn & Bacon.

[9] Richmond, V. P., & McCroskey, J. C. (2009). Organizational

orientations. In Organizational communication for survival: Making work,

work (4th ed., pp. 82–93). Boston, MA: Allyn & Bacon, p. 84.

[10] Richmond, V. P., & McCroskey, J. C. (2009). Organizational

orientations. In Organizational communication for survival: Making work,

work (4th ed., pp. 82–93). Boston, MA: Allyn & Bacon, p. 85.

[11] McCroskey, J. C., Richmond, V. P., Johnson, A. D., & Smith, H. T.

(2004). Organizational orientations theory and measurement:

Development of measures and preliminary investigations.

Communication Quarterly, 52, 1–14.

[12] McCroskey, L., McCroskey, J. C., & Richmond, V. P. (2005). Applying

organizational orientations theory to employees of profit and non-profit

organizations. Communication Quarterly, 53, 21–40.

[13] Goodboy, A. K., & McCroskey, J. C. (2008). Toward a theoretical

model of the role of organizational orientations and Machiavellianism on

nonverbal immediacy behavior and job satisfaction. Human

Communication, 3, 293–308.

7.3 Mentoring and Coaching

LEARNING OBJECTIVES

1. Differentiate between the terms mentoring and coaching.

2. Explain Gregory Dawson and Richard Watson’s three stages of

mentoring.

3. Describe Pamela Kalbfleisch’s mentoring enactment theory.

4. Differentiate between executive and supervisory coaching.

5. Describe and explain the three types of coaching.

© Thinkstock/iStock

This chapter has thus far focused on the nature of leadership and followership.

We will now turn our attention to two very specific types of leader-follower

behaviors: mentoring and coaching. Unfortunately, there tends to be some

confusion within the organizational world as to the nature of these two terms, so

let’s quickly define them here before exploring each one in more depth.

Mentoring is “the transfer of your [mentor’s] knowledge or professional

experience to another person [mentee or protégé] to advance their

understanding or achievement.” [1] Coaching, on the other hand, is the process

of providing advice, instruction, or support in an attempt to help an individual

increase efficiency or productivity in the workplace. The basic difference

between mentoring and coaching is the desired result. The goal of mentoring is

to help someone advance through the various hurdles associated with a career;

coaching is about helping an individual engage in self-improvement in an effort

to do her or his job better. Now that we’ve explored the basic differences

between mentoring and coaching, let’s explore each in turn.

Mentoring

Mentoring is a term used throughout business and a variety of other endeavors in

life, and the concept goes back thousands of years to Homer’s epic poem The

Odyssey. The Odyssey tells the story of an elderly and wise sea captain named

Mentor who gives Odysseus’s son, Telemachus, guidance while his father is off

fighting the Trojan War. From the gentle guidance of Mentor to the more

formalized and established mentoring programs commonly seen in corporate

America, the word mentoring commonly refers to a relationship where one

individual with more knowledge and experience (the mentor) aids another

individual who has less knowledge and experience (the mentee or protégé).

Why would any individual desire to belong to a mentoring relationship?

According to Kathy Kram in her groundbreaking book Mentoring at Work, [2]

mentoring provides two basic functions for mentees: career and psychosocial.

Career functions are the ones people most commonly think of when they think

about mentoring, because career functions are associated with helping the

mentee “learn the ropes” in the organization (or a field) in an effort to help that

person climb the corporate ladder. Mentors can engage in a number of different

behaviors to help a mentee do this. For example, a mentor can coach the mentee

(more on this later in this section); a mentor can sponsor the mentee’s

advancement by placing the mentee on interesting and challenging projects; a

mentor can help the mentee receive recognition and/or ensure the mentee is

widely visible; and a mentor can provide the mentee certain protections from

organizational or field-based politics. [3] The psychosocial functions, on the

other hand, include mentoring behaviors that “build on trust, intimacy, and

interpersonal bonds in the relationship and include behaviors that enhance the

protégé’s professional and personal growth, identity, self-worth, and self-

efficacy.” [4] The goal of psychosocial functions is to help foster a relationship

that is built on “acceptance and confirmation and providing counseling,

friendship, and role-modeling” for the mentee. [5] In the rest of this section, we

examine the basic stages that a mentoring relationship goes through, mentoring

enactment theory, and the outcomes mentoring has for mentees, mentors, and

organizations.

Stages of Mentoring

Mentors and mentoring is not a stagnant concept by any stretch of the

imagination. In fact, mentoring relationships evolve over time and change as the

mentee and mentor’s relationship changes. Gregory Dawson and Richard Watson

explain mentoring as a three-stage process: hierarchical years, junior/senior

colleague years, and trusted sage years. [6]

Hierarchical Years

After either acquiring a mentor on one’s own or having one formally assigned,

the first period in a mentoring relationship is one marked by formality. During

these years, the mentor’s job is to direct and guide a mentee through corporate

life. This period can last from three to five years and generally includes such

behaviors as assisting “that person in understanding the corporate culture,

getting appropriate work supplies, completing required forms, getting placed on

an initial project and guiding the new professional through recurring yearly

actions (e.g., performance appraisals)." [7] [8]

Junior/Senior Colleague Years

The junior/senior colleague years are marked by a period when the mentor and

mentee redefine their relationship based on the needs and goals of those involved

in the relationship. One of the marked differences during this time period is the

change from a directive approach to mentoring (where the mentor is advising

and supervising the mentee) to one that is marked by mutual respect and

collaboration. Instead of the mentor inviting the mentee to participate on

projects, the mentee is now dealing with her or his own projects and may or may

not invite the mentor to participate as an equal partner on projects. During this

period, the mentee should further expand her or his professional network and be

seen as someone who can launch out on her or his own. You’ll notice that this

period has the notion of both junior and senior colleague. This shift happens

naturally over time. As someone starts out as a junior colleague, there is the

expectation that the mentee will take on more and more projects of increasing

complexity. Eventually, these projects become more central to the organization’s

mission, and the individual takes on senior status as a colleague to her or his

mentor.

Trusted Sage Years

The final stage of the mentoring relationship occurs when the mentor and mentee

are no longer bound by notions of organizational hierarchy and truly develop a

working friendship. During this stage, it becomes even more important for an

individual to have her or his own mentees as a way to pass on the legacy

received from a mentor(s). Probably the hallmark of going from the colleague

years to the trusted sage years is the establishment of one’s own mentoring

relationships with mentees.

Kalbfleisch’s Mentoring Enactment Theory

Now that we’ve explored the basic stages of mentoring, we are going to switch

gears and try to gain a more general understanding of the initiating, maintaining,

and repairing of mentoring relationships. To help us understand how mentor-

mentee relationships function from a communication perspective, Pamela

Kalbfleisch developed the mentoring enactment theory. [9] From Kalbfleisch’s

theory on mentoring, we learn that the very center of the mentor-mentee

relationship is two people who are joined together either formally or informally

for the explicit purpose of achieving success. While mentees desire mentoring

relationships because of the known value of mentoring on one’s career trajectory,

mentors experience inherent costs.

For example, there are costs associated with “loss of time spent coaching a

protégé, vulnerability through sharing hard-earned techniques and secrets, and

potentially developing difficulties in one’s personal and professional life because

of a relationship with a protégé.” [10] Why, then, do mentors opt to enter into

mentoring relationships? There is no single answer to this question. Different

people have a variety of different answers, depending on their own

organizational and personal perceptions of mentoring itself. According to

Kalbfleisch, there are four common reasons people decide to mentor a protégé:

altruism, paying it forward, organizational expectations, or self-interest. First, a

mentor could enter a mentoring relationship out of pure altruism. The mentor

may feel some kind of deeply held obligation to help others, so he or she seeks

out and enters into mentoring relationships out of a simple desire to see others

grow. Second, a mentor could undertake a mentoring relationship because he or

she feels the need to pay it forward. The notion of paying it forward is based on

the idea that the second-generation mentor was at one point a protégé, so he or

she feels a sense of obligation to her or his mentor, and the second-generation

mentor pays the debt to her or his mentor by opting to take on protégés. In this

sense, you’re paying the mentoring forward to a new generation of protégés. The

third reason a mentor may opt to take on a protégé is a result of organizational

expectations. Many organizations have formal mentoring requirements for

individuals who reach a certain seniority stage. Often in these formal mentoring

situations, the mentor may not have a choice in the choosing of her or his

protégés, so these mentoring relationships may not be the most effective because

the mentor may feel strong armed into the relationship. The final reason some

mentors take on a protégé is out of pure self-interest. Some mentors want a

protégé for no other reason than to help “accomplish outcomes or for an

entourage to follow in one’s wake.” [11] When it’s all said and done, there is a

variety of reasons or even a combination of reasons a mentor ultimately decides

to enter into a mentoring relationship.

Kalbfleisch’s mentoring-enactment theory was developed by applying the

knowledge communication scholars have about a range of other interpersonal

relationships. For the purposes of this text, we’ve adapted Kalbfleish’s

mentoring-enactment theory into a series of eight hypotheses.

Table 7.4 Mentoring Enactment Hypothesis

Hypothesis

# Hypothesis

Hypothesis

1 Your first request to a potential mentor is likely to be rejected.

Hypothesis

2 Despite Hypothesis 1, potential mentors are likely to help you on specific projects.

Hypothesis

3 When an individual has agreed to mentor someone, he or she is more open to mentoring.

Hypothesis

4 You will generally accept offers of mentoring.

Hypothesis

5 You are likely to agree to help when a potential mentor offers the help.

Hypothesis

6

You are more likely than mentors to focus your communication on finding, maintaining, and

keeping a mentor.

Hypothesis

7

If you view mentoring as very important to your career success,you are more likely to

engage in communication that helps you find, maintain, and keep a mentor.

Hypothesis As mentors become more invested within a mentoring relationship, they also are likely to

engage in prosocial interpersonal behaviors like relational maintenance and reparative

8 communicative behaviors.

Adaptation of: Kalbfleisch, P. J. (2002). Communicating in mentoring

relationships: A theory for enactment. Communication Theory, 12, 63–69; pp.

66–68.

The first three propositions are all geared to examine the initiation of mentoring

relationships. In essence, mentors are not likely to take on a protégé when the

protégé approaches the mentor and asks for that mentoring relationship.

However, mentors are more likely to help a potential protégé with a specific

task. In essence, it’s better as someone looking for a mentor to ask for help on a

specific task and then let the relationship develop naturally. The one case when

this isn’t true occurs when a potential mentor has previously agreed to mentor

someone. In these cases, the mentor has already been primed to take on the role

of mentor, so he or she tends to be more open in these cases to mentoring.

The four and fifth propositions approach mentoring initiation from the mentor’s

perspective instead of the protégé’s. In proposition four, Kalbfleisch theorizes

that when a mentor asks a protégé to initiate a mentoring relationship, the

protégé is more likely than not to agree to the relationship. This is also true if a

mentor reaches out to a potential protégé, offering a helping hand (as seen in the

fifth proposition). In both cases, individuals who are less advanced in a

hierarchical structure are willing and will accept both offers of help and offers of

mentorship.

Propositions six, seven, and eight examine the role of communication within a

mentor-protégé relationship. Specifically, Kalbfleisch theorizes that protégés will

use conversations and strategic communication to initiate, maintain, and repair

their mentoring relationships. Kalbfleisch predicts that this is more likely if

someone is in a mentoring relationship that impacts the protégé’s success in the

workplace or if the protégé is a female. Obviously, if someone’s success is in the

hands of a mentor, making sure that relationship is effective is of paramount

importance to the protégé. As such, the protégé will use communication

strategically to ensure that the mentoring relationship is stable and healthy.

Kalbfleisch also predicts that women will engage in this behavior to a greater

degree than men, which has been supported by previous research on mentoring. [12]

The final proposition for the enactment of mentoring relationships theorizes that

as mentors become more involved in the mentoring relationship, the mentors

will become more likely to direct conversational goals and communication

strategies toward maintaining and repairing that relationship with their protégés.

In the initial stages of a mentoring relationship, the mentor really has nothing to

gain from the mentoring relationship but incurs a number of costs. As the

relationship progresses, the mentor invests a lot of time and resources into

developing her or his protégé, so it should be no surprise then that the mentor

will want to protect that relationship because of the investment.

Outcomes for Mentoring

By now you may be wondering why mentoring is so important. We’re here to

tell you that a wide range of positive outcomes happen as a result of mentoring.

To help us understand the importance of mentoring in the modern organization,

let’s examine outcomes related to mentees, mentors, and organizations.

Mentee Outcomes

In a 2007 analysis of twenty years of mentoring research, Thomas Dougherty

and George Dreher found a wide range of positive benefits for everyone

involved in the mentoring process. [13] Here is a partial list of the outcomes

mentoring can have on a mentee over the course of her or his career. All these

outcomes are positively related to mentoring unless otherwise stated in the

outcome:

Career commitment

Career mobility

Career opportunity

Career recognition

Employee motivation

Hierarchical level

Job satisfaction

Lower levels of work stress

Lower turnover intentions

Number of promotions

Organizational commitment

Organizational socialization

Performance

Productivity

Total annual compensation

Mentor Outcomes

While there has been a lot of research examining how mentoring is beneficial for

the protégé, there has not been as much research examining possible benefits to

the mentor-mentee relationship from the perspective of the mentor. As noted

earlier, there is a range of reasons an individual may opt to become a mentor, so

some of the outcomes are intrinsically tied to the original reason(s) someone opts

to engage in a mentoring relationship with a potential protégé. However, the

following tangible benefits have been seen for the mentor: [14]

Job satisfaction

Lower burnout rates

Lower turnover intentions

Number of promotions

Organizational commitment

Salary

Subjective career success

One theoretical reason mentors actually have positive outcomes (especially those

related to promotions and salaries) may have to do with the fact that “mentors

may be rewarded by organizations because they are recognized as good

organizational citizens.” [15]

Organizational Outcomes

Many of the outcomes seen for both the mentor and the mentee are also

outcomes for the organization itself. For example, organizations benefit from

employees who are motivated, satisfied and less likely to leave, and who show

higher performance and productivity levels. Based on these factors alone, you

would think organizations would spend more time formalizing the mentoring

process to ensure that all employees receive these kinds of opportunities and

advancements within the organization. Furthermore, numerous studies have

found a very strong return on investment for organizations that engage in formal

mentoring programs, so formalized mentoring programs really do make business

sense. [16]

Coaching

As discussed at the beginning of this section, coaching can be defined as the

process of providing advice, instruction, or support in an attempt to help an

individual be more efficient or productive in the workplace. From this

perspective, the goal of coaching is to help individuals succeed in the workplace.

Where the goal of mentoring is to help someone advance through a mentee’s

career, coaching focuses on helping an individual engage in self-improvement in

an effort to do her or his job better.

Now before we go into more detail about coaching, we should differentiate

between two basic types of coaching commonly discussed in the management

literature. First, we have executive coaching, or the “process of a one-on-one

relationship between a professional coach and an executive (the person

coached) for the purpose of enhancing behavioral change through self-

awareness and learning, and thus ultimately for the success of the individual and

the organization.” [17] In the world of executive coaching, a leader within an

organization hires an executive coach for the pure purpose of improving that

leader’s performance within the organization. An entire subfield of executive

coaches exists in today’s marketplace. Some executive coaches are very effective

and have helped the top CEOs in the country become better leaders and achieve

their organization’s goals. However, many charlatans exist within this market, so

we do not really recommend just hiring an executive coach on a whim.

Supervisory coaching, on the other hand, involves “an ongoing process for

improving problematic work performance; helping employees recognize

opportunities to improve their performance and capabilities; empowering

employees to exceed prior levels of performance; and giving guidance,

encouragement and support to the learner.” [18] This form of coaching involves

what most people in the workplace will encounter with regard to coaching. We

term this supervisory coaching because, in this instance, the coaching is actually

being conducted by one’s supervisor in the workplace.

Three Types of Coaching

In 1948, during the American Psychological Association Convention in Boston,

Massachusetts, Benjamin Bloom led a discussion about creating a common

language for test developers and educators. Through a series of conference

presentations from 1949 to 1953, groups met to discuss the idea of a common

language, which culminated in the publication of the groundbreaking book

Taxonomy of Educational Objectives: The Classification of Educational Goals;

Handbook I: Cognitive Domain in 1965. [19] In this book, Bloom and his

colleagues noted three primary dimensions of learning that teachers should be

concerned with in the classroom: cognitive (knowledge), psychomotor (skill),

and affective (attitude). Before we explain each of these three domains of

learning, please take a second and complete the Organizational Coaching Scale

found in the sidebar.

Organizational Coaching Scale

This survey includes a number of statements about how you may feel about

your current working condition. You will probably find that you agree with

some of the statements and disagree with others, to varying extents. Please

indicate your reaction to each of the statements by marking your opinion to

the left of each statement according to the following scale:

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. My supervisor works with me to improve my on-the-job skills. _____

2. My job skills have gotten better as a result of my supervisor’s training.

_____

3. My supervisor has not helped me with any job skills necessary to

complete my work. _____

4. My supervisor has not attempted to correct any of my job-related

behaviors. _____

5. My supervisor trains new employees on any necessary skills to

completely function in our workplace. _____

6. My supervisor does not work with me to improve my on-the-job skills.

_____

7. My job skills are not improving because of a lack of training from my

supervisor. _____

8. My supervisor has helped me improve my job skills. _____

9. My supervisor corrects job-related behavior problems when he or she

sees them. _____

10. My supervisor makes sure all new hires are completely trained on skills

that are necessary to function in our workplace. _____

11. My supervisor makes sure I have all necessary information to complete

my job. _____

12. My supervisor withholds information that could help me function better

as an employee. _____

13. My supervisor makes sure my information needs are fulfilled. _____

14. My supervisor makes sure I understand what I’m doing at work. _____

15. My supervisor provides me with all the information I need to be a

competent worker. _____

16. My supervisor prevents me from getting necessary information to

complete my job. _____

17. My supervisor gives me all the information I need to help me function

better as an employee. _____

18. My supervisor does not make sure that I understand what’s going on at

work. _____

19. My supervisor does not make sure my information needs are fulfilled.

_____

20. My supervisor does not make any attempt to see if I understand what is

going on at work. _____

21. 21. My supervisor is concerned with whether or not I enjoy what I’m

doing while at work. _____

22. My supervisor does not care if I think my job is dull. _____

23. My supervisor clearly is involved with trying to motivate me to be a

better employee. _____

24. My supervisor wants to make sure that I’m not bored on the job. _____

25. My supervisor is only concerned with whether or not I get my work

done. _____

26. My supervisor does not try to motivate me on the job. _____

27. My supervisor does not care if I am interested in the work at all. _____

28. My supervisor tries to make sure I’m excited to be at work. _____

29. My supervisor doesn’t care about how I feel about my job. _____

30. My supervisor creates a positive working atmosphere. _____

Scoring

To compute your scores, follow these instructions:

1. Skills-Based Coaching

Step 1: Add scores for items 1, 2, 5, 8, 9, and 10. Step 2: Add scores for items 3, 4, 6, and 7. Step 3: Add 24 to Step 2. Step 4: Subtract the score for Step 2 from the score for Step 3. For Skills-Based Coaching, scores should be between 10 and 50. If your score is above 50, you perceive your supervisor to be teaching you the skills you need to perform your job. If your score is 29 or below, you do not perceive your supervisor as teaching you the skills you need to perform your job.

2. Cognitive-Based Coaching

Step 1: Add scores for items 11, 13, 14, 15, and 17. Step 2: Add scores for items 12, 16, 18, 19, and 20. Step 3: Add 30 to Step 2. Step 4: Subtract the score for Step 2 from the score for Step 3. For Cognitive-Based Coaching, scores should be between 10 and 50. If your score is above 50, you perceive your supervisor to be providing you the knowledge you need to perform your job. If your score is 29 or below, you do not perceive your supervisor as providing you the information you need to perform your job.

3. Affective-Based Coaching

Step 1: Add scores for items 21, 23, 24, 28, and 30. Step 2: Add scores for items 22, 25, 26, 27, and 29. Step 3: Add 30 to Step 2. Step 4: Subtract the score for Step 2 from the score for Step 3. For Affective-Based Coaching, scores should be between 10 and 50. If your score is above 50, you perceive your supervisor to be promoting in you a positive attitude about your job. If your score is 29 or below, you perceive your supervisor to be either unconcerned with your attitude about your job or actually creating a negative organizational environment.

Source: Wrench, J. S., McCroskey, J. C., Berletch, N., Powley, C., & Wehr,

A. (2008). Organizational coaching as instructional communication. Human

Communication, 11, 279–292.

You may be wondering what the three domains of learning have to do with

organizational coaching. Quite a lot actually. In a 2008 study conducted by

Wrench, McCroskey, Berletch, Powley, and Wehr, [20] the researchers argued

that organizational coaching is fundamentally related to learning, so examining

organizational coaching in light of the three domains of learning made

conceptual sense. We should also note that the three domains of learning have

been applied in other noneducational settings. For example, the three domains of

learning are commonly referred to as the KSAs (knowledge, skills, and attitudes)

in both training and development and human performance improvement. [21]

Cognitive/Knowledge

The first domain of coaching is cognitive-based coaching, which refers to the

recognition and recall of information and the development of intellectual

abilities and skills. Let’s look at both parts of this definition. First, individuals

undergoing cognitive coaching will be taught how to recognize and recall

information that will help them perform their jobs better. This could be anything

from learning how to recognize and troubleshoot problems as they arise in the

workplace to more simplistic tasks like knowing whom to call when you have a

question. The second part of coaching involves the development of intellectual

abilities and skills. Over time, a good coach will help subordinates develop

themselves intellectually.

When it comes to developing someone intellectually, you want to stretch the

subordinate and give them new cognitive tasks that will be a reach for the person

but without undue stress. For example, one of our colleagues had a secretary

who was not technically savvy. When he became the secretary’s immediate

supervisor, he decided he wanted to use an electronic calendar instead of the

more traditional paper calendar for keeping track of his meetings. While this

may not seem like a big deal, this secretary needed to be coached and taught how

to use the computer scheduling program. This new cognitive task was just

enough of a stretch for the secretary without causing her complete frustration

and a huge amount of stress.

Psychomotor/Behavior

The second type of coaching, skills-based coaching, is very important in the

workplace even though it’s a domain of learning often overlooked in the

educational system. Psychomotor learning emphasizes “some muscular or motor

skill, some manipulation of material objects, or some act which requires

neuromuscular co-ordination.” [22] The goal of psychomotor learning is the

acquisition of a specific skill that can help someone be more productive or

efficient. Think back across your own life. You’ve learned many skills that make

you more productive and efficient in life. Maybe you’ve learned to use a

computer keyboard and no longer need to look at your fingers while typing.

Maybe you’ve learned how to use the bells and whistles of a specific software

program like Microsoft Office or Adobe Creative Suite. When we learn these

skills, they clearly involve cognitive power, but we refer to them as psychomotor

because it’s the manipulation of your body to complete a task, which is a

fundamentally different type of learning. Think about when you learned to ride a

bicycle. You could have all the knowledge in the world about gravity and the

engineering of a bicycle, but just having the cognitive knowledge is not enough

to get you upright and moving down a road successfully.

A great deal of coaching in the workplace involves psychomotor coaching,

because the professional world is filled with skills that workers need to learn.

Everything from learning how to put together a burger at a fast-food restaurant to

computer programming involves learning specific skill sets in the workplace.

Affective/Attitude

The final type of coaching that happens in the workplace relates to the affective

nature of one’s work. The affective domain of coaching is one where “objectives

which emphasize a feeling tone, an emotion, or a degree of acceptance or

rejection. Affective objectives vary from simple acceptance to selected

phenomena to complex but inherently consistent qualities of character and

conscience [learning about] interests, attitudes, appreciations, values, emotional

sets or biases.” [23] In other words, affective coaching examines an individual’s

emotional reaction to her or his work and working environment.

First, affective coaching involves ensuring that one’s subordinate has a positive

attitude toward the work. When subordinates do not see the value of their work

or how their work fits into the larger picture of the organization, it’s very

common that they will become disillusioned and not be optimal workers. As

such, supervisors have a responsibility to ensure that their subordinates maintain

a positive attitude about the work. In fact, subordinates often take their cues

from supervisors with regard to how they emotionally approach a task. If a

supervisor assigns a task with a grimace on her or his face, then of course the

subordinate is going to approach that same task with some trepidation and

disappointment. Ultimately, supervisors, through their coaching capacity, need to

check in with subordinates and see how they are emotionally reacting to their

work.

Second, affective coaching involves ensuring that employees are working in, and

helping to create, a positive working environment. In some organizations where

supervisors are removed from their subordinates, they may have no idea when an

organizational climate is becoming toxic. For our purposes, we want supervisors

who are tied into the organization and actually go about fostering and

encouraging a positive working climate for their subordinates.

Outcomes of Coaching

Now that we’ve examined the basic types of coaching in the workplace, let’s talk

about some of the research that has been conducted examining organizational

coaching. In the original study that created the Organizational Coaching Scale,

the researchers found that individuals with supervisors who utilized all three

forms of coaching were more motivated, satisfied, and productive. [24]

Furthermore, subordinates who reported having coaching supervisors reported

fewer disengagement strategies. Disengagement strategies are strategies that an

individual uses to decrease closeness or termination relationships in the

workplace. [25] In essence, people who have a positive coaching relationship

with their supervisor feel more connected to their organizations, so they are less

likely to start to disengage from their workplace relationships. Furthermore, a

subsequent study examining cognitive, skill, and affective coaching in an

organization found that individuals who received all three types of coaching

were less likely to engage in latent dissent in the workplace (see Chapter 5 for a

refresher on organizational dissent). [26]

Overall, the research results clearly indicate that organizational coaching is an

important part of the success of an organization. For this reason, supervisors

should create clear strategies for how they go about cognitive, skill, and affective

coaching to ensure that it is happening in a systematic manner. Too often,

coaching is left to chance in the modern workplace—to the organization’s

detriment.

KEY TAKEAWAY

Differentiate between the terms mentoring and coaching.

Explain Gregory Dawson and Richard Watson’s three stages of

mentoring. The first stage, the hierarchical years, occurs after a

protégé has gotten a job and the mentor’s job is to direct and

guide a mentee through corporate life. The second stage, the

junior/senior colleague years, is marked by a period when the

mentor and mentee redefine their relationship based on the needs

and goals of those involved in the relationship. During this stage,

the mentor-mentee relationship changes from a directive

approach to mentoring (where the mentor is advising and

supervising the mentee) to one that is marked by mutual respect

and collaboration. The final stage of mentoring, the trusted sage

years, occurs when the mentor and mentee are no longer bound

by notions of organizational hierarchy and truly develop a working

friendship.

Pamela Kalbfleisch created mentoring enactment theory as a way

to explain the establishment and enactment of mentoring

relationships within organizational settings. The theory examines

a series of conversational goals and communication strategies

that both mentors and mentees utilize within a mentoring

relationship. The eight propositions in the theory can be seen in

Table 7.4.

Executive coaching occurs when an individual, the leader, hires

an external consultant who functions in the position as paid-for

mentor (usually a professional coach or therapist specializing in

leader development). The goal of executive coaching is to help

the leader become all he or she can be within her or his

leadership position. Supervisory coaching, on the other hand,

includes the day-to-day work that a person in a supervisory

position does with someone in a subordinate position. The goal of

supervisory coaching is to help the subordinate improve her or his

performance through direction, encouragement, and support.

Famed educational researcher Benjamin Bloom and a group of

colleagues first noted there were three domains of learning.

McCroskey, Berletch, Powley, and Wehr furthered these notions

of learning domains by attaching them to supervisory coaching.

The three forms of coaching are cognitive-based coaching

(recognition and recall of information and the development of

intellectual abilities and skills), skills-based coaching (acquisition

or enhancement of a specific skill that can help someone be more

productive or efficient), and affective coaching (acquisition or

enhancement of positive emotional reactions to an individual’s

work and working environment).

Coaching:

Mentoring :

Supervisory Coaching:

Affective Coaching:

EXERCISES

1. Think of a time when you’ve been mentored. What stages do you

think your mentoring relationship reached? Did you get all the way

to trusted sage? Why or why not?

2. Apply Pamela Kalbfleisch’s mentoring enactment theory to one of

your own mentoring relationships (as either mentor or mentee).

3. Complete the Organizational Coaching Scale in the sidebar.

Based on the results from your analysis of your supervisor’s

coaching behavior, what areas do you think your supervisor could

improve on? Why do you think your supervisor coaches you in the

way he or she does?

KEY TERMS AND DEFINITIONS

The process of providing advice, instruction, or support in an attempt to help an individual be more efficient or productive in the workplace.

The transfer of experience or knowledge from a senior individual (the mentor) to a junior individual (the mentee or protégé) in an effort to help the junior individual learn the ins and outs of organizational life.

The communicative process of helping a subordinate improve her or his performance through direction, encouragement, and support.

The coaching process associated with the acquisition or enhancement of positive emotional reactions to an individual’s work and working environment.

Cognitive-Based Coaching:

Executive Coaching:

Skills-Based Coaching:

The coaching process associated with the acquisition or enhancement of recognition and recall of information and the development of intellectual abilities and skills.

The establishment of a professional relationship between a hired individual (professional coach or therapist) whose job it is to help leaders become all that he or she can be within an organizational environment.

The coaching process associated with the acquisition or enhancement of a specific skill that can help someone be more productive or efficient.

[1] Hicks, R., & McCracken, J. (2009). Mentoring vs. caching: Do you

know the difference? Physician Executive, 35(4), 71–73, p. 71.

[2] Kram, K. E. (1985). Mentoring at work. Glenview, IL: Scott, Foresman.

[3] Ragins, B. R., & Kram, K. E. (2007). The roots and meaning of

mentoring. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 3–15). Los

Angeles, CA: Sage.

[4] Ragins, B. R., & Kram, K. E. (2007). The roots and meaning of

mentoring. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 3–15). Los

Angeles, CA: Sage, p. 5.

[5] Ragins, B. R., & Kram, K. E. (2007). The roots and meaning of

mentoring. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 3–15). Los

Angeles, CA: Sage, p. 5.

[6] Dawson, G. S., & Watson, R. T. (2007). Involved or committed?

Similarities and differences in advising and mentoring in the academic

and business world. Communications of the Association for Information

Systems, 2007(20), 3–10.

[7] Dawson, G. S., & Watson, R. T. (2007). Involved or committed?

Similarities and differences in advising and mentoring in the academic

and business world. Communications of the Association for Information

Systems, 2007(20), 3–10, p. 5.

[8] Dawson, G. S., & Watson, R. T. (2007). Involved or committed?

Similarities and differences in advising and mentoring in the academic

and business world. Communications of the Association for Information

Systems, 2007(20), 3–10, p. 5.

[9] Kalbfleisch, P. J. (2002). Communicating in mentoring relationships: A

theory for enactment. Communication Theory, 12, 63–69.

[10] Kalbfleisch, P. J. (2002). Communicating in mentoring relationships:

A theory for enactment. Communication Theory, 12, 63–69, p. 64.

[11] Kalbfleisch, P. J. (2002). Communicating in mentoring relationships:

A theory for enactment. Communication Theory, 12, 63–69, p. 64.

[12] Kalbfleisch, P. J. (1997). Appeasing the mentor. Aggressive

Behavior, 23, 389–403.

[13] Dougherty, T. W., & Dreher, G. F. (2007). Mentoring and career

outcomes. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 51–93). Los

Angeles, CA: Sage.

[14] Allen, T. D. (2007). Mentoring relationships: From the perspective of

the mentor. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 123–147). Los

Angeles, CA: Sage.

[15] Allen, T. D. (2007). Mentoring relationships: From the perspective of

the mentor. In B. R. Ragins & K. E. Kram (Eds.), The handbook of

mentoring at work: Theory, research, and practice (pp. 123–147). Los

Angeles, CA: Sage, p. 135.

[16] Kaye, B., & Scheef, D. (2000, April). Mentoring. In ASTD’s Info-line

Series. Alexandria, VA: American Society for Training and Development.

[17] Baek-Kyoo, B. J., Sushko, J. S., & McLean, G. N. (2012). Multiple

faces of coaching: Manager-as-coach, executive coaching, and formal

mentoring. Organization Development Journal, 30, 19–38, p. 26.

[18] Baek-Kyoo, B. J., Sushko, J. S., & McLean, G. N. (2012). Multiple

faces of coaching: Manager-as-coach, executive coaching, and formal

mentoring. Organization Development Journal, 30, 19–38.

[19] Bloom, B. S., Engelhart, M. D., Furst, E. J., Hill, W. H., & Krathwohl,

D. R. (1956). Taxonomy of educational objectives: The classification of

educational goals, Handbook I: Cognitive domain. New York, NY: David

McKay.

[20] Wrench, J. S., McCroskey, J. C., Berletch, N., Powley, C., & Wehr, A.

(2008). Organizational coaching as instructional communication. Human

Communication, 11, 279–292.

[21] Biech, E. (Ed.). (2008). ASTD handbook for workplace learning

professionals. Alexandria, VA: American Society for Training and

Development.

[22] Krathwohl, D. R., Bloom, B. S., & Masia, B. B. (1964). Taxonomy of

educational objectives: The classification of educational goals. Handbook

II: The affective domain. New York, NY: David McKay, p. 7.

[23] Krathwohl, D. R., Bloom, B. S., & Masia, B. B. (1964). Taxonomy of

educational objectives: The classification of educational goals. Handbook

II: The affective domain. New York, NY: David McKay, p. 7

[24] Wrench, J. S., McCroskey, J. C., Berletch, N., Powley, C., & Wehr, A.

(2008). Organizational coaching as instructional communication. Human

Communication, 11, 279–292.

[25] Sias, P. M., & Perry, T. (2004). Disengaging from workplace

relationships. Human Communication Research, 30, 589–602.

[26] Berletch, N., Powley, C., Wrench, J. S., & Wehr, A. (2007, April). The

interrelationships between positive feedback and coaching in the

workplace. Paper presented at the Eastern Communication Association’s

Convention, Providence, RI.

7.4 Chapter Exercises

REAL-WORLD CASE STUDY

The following case is based on a consulting experience of one of

our colleagues. Names and institutions have been altered for this

case.

Janet, an organizational consultant, was approached to serve as an

executive coach for Jerry, a financial wizard at an auditing firm. Jerry

had everything senior management was looking for in a star

employee. His projects came in on time and always under budget,

using fewer company resources than his counterparts did. However,

there was one problem the company had with Jerry—no one wanted

to work with him. Jerry was known for belittling and yelling at

subordinates, who did not turn in assignments on time and up to

Jerry’s high standards.

Janet was contacted to work one on one with Jerry and help him

develop various interaction skills. The company wanted to keep

Jerry, but it needed Jerry to start acting and playing like someone on

a team. Janet’s first contact with Jerry went about as badly as one

would expect. Jerry didn’t understand why Janet was there and

thought the whole coaching process was a waste of money.

Furthermore, Jerry really believed that there was nothing wrong with

how he communicated with others. In his own words, “I’m just

honest. I may be blunt, but that’s because I don’t have time to play

wet nurse to a bunch of junior colleagues who shouldn’t be in

corporate America.” Jerry became more and more aggressive as

their coaching sessions continued. In fact, Jerry showed a clear

resistance to coaching, and the reports of aggressive behavior from

his subordinates to human resources escalated.

1. Can all employees be coached?

2. If you were Janet, how would you handle this situation?

3. Is it ever appropriate for a consultant to fire a client who just has

no desire to change?

4. If you were Jerry’s boss, how would you handle his behavior and

his lack of desire to change his behavior?

END-OF-CHAPTER ASSESSMENT

1. Jonathan is a leadership researcher. He is currently trying to determine if an individual’s communication apprehension (a commonly studied communication trait) impacts the effectiveness of an individual’s leadership within a nonprofit. Which approach to leadership is Jonathan employing?

a. functional b. relational c. situational d. trait

e. transformational

2. Tika’s new boss is so much fun to work for. Basically, the job is almost like a party on most days. Her boss is more concerned with building morale and relationships than micromanaging people to ensure that the group gets their work done. According to Blake and Mouton’s leadership grid, what type of leader is Tika’s new boss?

1. authority-compliance 2. country club 3. impoverished 4. middle-of-the-road 5. team

3. Which of the following is not an outcome of a leader-member exchange relationship?

a. greater follower organizational commitment b. greater follower communication apprehension c. greater follower organizational participation d. lower voluntary turnover intentions of a follower e. lower follower exhibition of organizational citizenship

behaviors

4. Joaquin is a definite go-getter. While Joaquin is one of the most productive individuals at X-corp, he also realizes that X-corp may not necessarily be the best organization for him to travel up the corporate ladder. As such, he’s always checking want ads on Monster.com and LinkedIn. What type of follower would Roger Adair classify Joaquin as?

a. disciple

b. disengaged c. disgruntled d. doer e. dramatic

5. Bob has a phone call every Monday morning with a paid consultant. The consultant’s job is to help Bob, the CEO of a small tech firm in California, direct his company’s future and help Bob realize his own goals. What type of coaching is Bob involved in?

a. supervisory coaching b. skills-based coaching c. executive coaching d. affective coaching e. cognitive-based coaching

Answer Key

1. a

2. b

3. e

4. d

5. c

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Chapter 8

Organizational Identity and Diversity

Who Are We?

It’s a weeknight, you’ve worked late, and you don’t feel

like making dinner when you get home. So you decide to

grab a bite on the way. Having opted for fast food, you

consider the choices. There’s the leading national burger

chain; if you go there, then you know exactly what you’ll

get no matter which location you visit. One rival burger

chain, however, works hard at promoting a reputation for

higher-quality meat, while another advertises a higher-

quality burger menu. Then there are the alternatives to hamburgers: a national

chain that proffers a home-style menu; another that promotes chicken as a kind

of antiburger; yet another that specializes in Mexican-themed foods. Among all

these different chains, their corporate identities have been respectively conveyed

through the symbols of a clown, a king, a redhead, a colonel, a cow, and a dog.

This scenario highlights some basic issues of organizational identity. Each of the

organizations referenced here is trying to foster a unique identity in a world

already saturated with competing messages. George Cheney and Lars

Christensen likened this challenge to that of a shipwrecked castaway who, after

putting a message in a bottle, goes to throw it in the ocean but “cannot see the

water [because] it is covered with messages in bottles.” [1] To convey its identity

to the world, however, the organization must first establish its own firm sense of

who “we” are. And because “we” means everyone, organizational identity is not

just a corporate matter to be decided by management. To carry off its corporate

image, individual organization members—from executives to employees—must

buy into and identify with the organization.

Then, too, if organizational identity starts with members and is then projected to

others, the traditional distinction between “external” and “internal”

communication becomes blurred. Communication activities—including

advertising, marketing, and public relations—that convey an organization’s

identity to external audiences are, in fact, the flip side of internal communication

activities by which members make sense of who “we” are. To return to our

opening scenario, the external activities by which each fast-food chain

communicates its identity to consumers cannot be divorced from the internal

communications by which that same identity is fostered among members of each

organization. Indeed, fostering and maintaining organizational identification is a

prime corporate objective, as management strives to cultivate employees who

feel strongly attached and loyal to the organization and its values. At the same

time, leaders engage in impression management to engender positive feelings

among the various publics—from customers, to shareholders, to the media—on

whose goodwill the organization depends.

Nevertheless, the managerial drive to maintain a stable corporate identity and

foster strong organizational identification among employees has certain risks.

Too much homogeneity can cause an organization to be set in its ways and

respond too slowly to changes in the marketplace. For example, IBM ruled the

computer world through the 1980s, but its organizational identity as a maker of

“business machines” may have caused it to miss the personal-computer

revolution. Moreover, too much homogeneity in a workforce can lead to

groupthink and deny organizations the diverse mix of employees and viewpoints

that boosts creativity and leads to better decisions. In this chapter, then, we have

paired identity and diversity as two aspects of organizational life existing in a

tension that must be successfully balanced. This is true for leaders who must

manage the public identity of the organization and, simultaneously, manage

employees so that they identify the organization’s public identity.

Yet the need to manage the tension between identity and diversity is also true for

individual organization members. Since the Industrial Revolution, and especially

over the past century, organizations have become major sources of personal

identity for many people. In traditional societies, the bonds of local community

and local authority supplied stable roles for people. In modern societies,

however, people derive a major part of their identities from the organizations

with which they affiliate. Perhaps you know people who identify so completely

with an organization that its values form their personal sense of moral duty.

Perhaps you have experienced this feeling yourself about a sports team on which

you played, a house of worship to which you belong, a club you joined, or even

the college you now attend. For individuals, the tension between organizational

identity and diversity is sometimes called the work-life conflict. At work, you

want to be a valued “team player” who helps to achieve organizational goals,

and yet you also want to retain your own identity and “get a life.”

Then, too, the social contract between employers and employees has changed

over the past two generations in response to globalization (see Chapter 6). Until

the 1970s, people generally believed that employees who strongly and loyally

identified with their organizations would be rewarded with job security and a

reasonable expectation of a lifelong career. Today, you have no such guarantees

and likely do not expect to spend your entire adult life working for a single

company. Under this new social contract, you must balance the level of

organizational identification needed to do your work effectively and gain

satisfaction from your employment with the knowledge that you must build a

personal “brand” that is separate from your current organization. Why? Chances

are that you will be working for another company someday.

[1] Cheney, G., & Christensen, L. T. (2001). Organizational identity:

Linkages between internal and external communication. In F. M. Jablin &

L. L. Putnam (Eds.), The new handbook of organizational communication

(pp. 231–269). Thousand Oaks, CA: Sage, p. 240.

8.1 Identity and the Organization

LEARNING OBJECTIVES

1. See how different approaches to the nature of organizations lead

to different perspectives on organizational identity.

2. Understand the concept of organizational identity, both its roots in

theories of individual identity and how the literature on

organizational identity has developed to the present.

3. Differentiate between organizational identity, organizational

culture, and organizational image and grasp the dynamic

relationships between them.

4. See how organizational identity can be unstable and mutable,

changing and adapting in response to external feedback or events

that challenge an organization’s image and reputation.

5. Understand the danger of self-referential autocommunication and

the ethical challenges posed.

© Thinkstock/iStock

Because it raises questions of ontology (how things exist), epistemology (how

things are known), and axiology (what is worth knowing) that we encountered in

Chapter 4, the concept of identity evokes debate among organizational

communication scholars. One review noted that, while “interest in concepts of

organizational identity has grown” and “the literature is expanding rapidly,” the

notion “has been subjected to much scrutiny and debate, [and] definitions and

conceptualizations of the topic remain essentially contested.” [1] Table 8.1

suggests how the four approaches to organizations that we first discussed in

Chapter 4—postpositive, interpretive, critical, and postmodern—might view

organizational identity. [2]

Table 8.1 Approaches to Organizational Identity

Approach to

Organizations View of Organizational Identity

Postpositive Identity is one of the attributes that an organization “has” and that may be managed to

improve organizational performance.

Interpretive Identity arises from the social and communicative interactions between members and

thus helps constitute what an organization “is.”

Critical Identity is a tool that management can manipulate to universalize its interests (i.e.,

equate “company interests” with managerial interests).

Postmodern

Identity is a modern conceit; an organization does not have a unique “self,” for its

intentions are conditioned by larger historical discourses; if anything, organizations are

fragmented into multiple identities.

To get a grip on the concept, we begin with two basic metaphors: the

organization as a biological organism and the organization as a person. The first

metaphor will help us grasp the organizational aspect of identity and the second

to comprehend the communicative aspect.

Biological Metaphor

As we learned in Chapter 4, systems theory is based on the metaphor that an

organization can be likened to a biological organism. From that perspective, we

can understand how a living thing must somehow maintain a boundary between

itself and the environment. The boundary may be permeable as resources pass

between the organism and the environment. But if there is no boundary, then the

organism would cease to exist as an identifiable entity. Applying this metaphor

to organizations helps us to see that a basic function of any organization is to

continually organize a boundary between itself and its environment.

Establishing such a boundary is accomplished in two ways. First, an organization

sets up formal hierarchies. For example, a company adopts a form of ownership

and a corporate structure, sets hiring and firing procedures for determining who

can be an employee, and establishes locations where work takes place. But since

all organizations establish formal boundaries, something is still missing: what

makes “us” different from “them”? Thus, a second way that an organization

creates and maintains a boundary is by developing a sense of “who we are” that

distinguishes it from other organizations. This second type of boundary is one

way to define the concept of organizational identity. From this standpoint, then,

one basic organizing function of an organization is to continually organize an

identity that distinguishes it from the environment of other organizations.

Person Metaphor

Our second metaphor likens an organization to a person. More than a century

ago, Charles Horton Cooley asserted that identity is constructed through

language and has both an individual and a social aspect. Identity is partly shaped

as each of us mentally constructs what Cooley called a looking-glass self based

on how we believe others perceive us. [3] Writing at about the same time as

Cooley, George Herbert Mead also described how speech is the means by which

each person develops a unique sense of self. [4] He reasoned that if each human

lived alone, then there would be no need for a “self.” The need arises from the

fact that humans live in societies. Each of us, Mead observed, mentally

constructs an image of what he called the “generalized other,” or a composite

picture of the society in which we live. Mead held that each person acquires a

sense of self by imagining what others think of him or her and then—through

speech—negotiating a self that will be accepted by others. A later theorist,

Erving Goffman, built on Cooley’s and Mead’s theories by likening humans’

everyday relations to a drama. People are actors who each present a face to

society and stage a life story that will gain them social approval. Though the

events of your life happen randomly, you must impose a logical narrative on

those events and turn them into a coherent and satisfying story. [5]

If we extend these ideas to organizations, we can grasp how development of an

organizational identity is a process of negotiating an organizational “self” by

telling a coherent story that the organization’s members and publics will accept.

Interest in how individuals and groups form identities through communication

arose in the 1980s and has remained strong. Not surprisingly, this movement also

stimulated scholarly interest in theorizing the dynamics of organizational

identity.

The Concept of Organizational Identity

Through the biological metaphor, we grasped how an organization must

establish boundaries, even if permeable and blurred, in order for the notion of an

“organization” to have any meaning. And through likening the organization to a

person, we saw how these boundaries must be negotiated—through

communication—in ways that distinguish the organization’s story from those of

other organizations in a socially acceptable manner. We chose this way of

introducing our topic because, as Dennis Gioia observed, the “important

features of individual identity supply the basis for the extension of the notion to

organizations.” [6] Blake Ashforth and Fred Mael similarly noted that “identity

has been researched at the level of the individual, group and, more recently, the

organization because of the many parallels across the three levels.” [7]

So we turn now to the literature on organizational identity, a concept that

originated in 1985 with Stuart Albert and David Whetten, who built on the work

of Cooley, Mead, and Goffman. They defined organizational identity as a three-

part combination of “the central character of an organization” (e.g., its values,

practices, services, products, structure, ownership), the distinctive qualities that

it claims to possess, and the enduring manifestation of its identity over time. [8] According to this definition, then, the fast-food chains described in the

opening scenario of this chapter have formed identities that bring together their

central characters as retail restaurants operated through a franchise-business

model, their individual claims to distinction vis-à-vis the other chains, and their

consistency in sticking with their respective identities. Albert and Whetten did

not suggest leaders “decide” the identities of their organizations. Rather,

formation of an organizational identity is an interactive process. Outsiders voice

perceptions of an organization, and the organization adjusts its identity

accordingly. [9]

Writing a few years later, Ashforth and Mael further grounded organizational

identity in social identity theory (SIT). [10] This psychological theory, proposed

in the 1970s by Henri Tajfel and John Turner, holds that one’s self-concept

combines a “personal identity” based on individual traits with a “social identity”

based on group traits. [11] This social identity emerges when a person feels like

an insider of a particular group. Thus, noted David Seidl, SIT opens the door “to

apply psychological identity theories to organizations,” since the theory explains

how “the individual member uses descriptions of the organization as part of his

[sic] own self-descriptions.” [12]

Since the work of Albert and Whetten and Ashford and Mael in the 1980s, the

literature on organizational identity has continued to expand. Over three decades,

the concept has moved from Albert and Whetten’s original thesis—that

organizational identity is central, distinctive, and enduring—to a more nuanced

view. Now, scholars see organizational identity as adaptive, even unstable, since

identity must respond to the perceptions of the public and the organization’s own

members. Consider how fast-food chains have transformed over the years. In the

1960s and 1970s, when families seldom ate out, McDonald’s advertising

proclaimed, “You Deserve a Break Today.” Its main rival, Burger King,

trumpeted the slogan “Special Orders Don’t Upset Us” to reassure moms that

their finicky kids would not balk at eating out. Television commercials for

Kentucky Fried Chicken were aimed at mothers who could enjoy an occasional

respite from the stove by putting a ready-made, home-style meal on the family

dinner table. Today, of course, families eat out regularly, and fast fare, rather

than home cooking, sets consumer taste preferences. As their environment has

changed, the chains have adapted their identities—and today are adapting again.

With people spending more time in fast-food establishments, all the major chains

are cultivating identities akin to comfortable sit-down restaurants. And given

concerns about obesity as a public health issue, the fast-food chains are putting

more nutritious choices on their menus.

These transformations illustrate a question on the mind of scholars today: can

organizational identity be enduring in a world of accelerating change? Given the

universal availability of the Internet, many organizations are now set up as

loosely structured networks. Stuart Albert, who originated the concept of

organizational identity in the 1980s, recently noted that organizations of the

twenty-first century operate in a world of “flattening hierarchies, the growth in

teamwork and empowerment, the outsourcing of secondary competencies, and…

creating flexible pools of sophisticated capacities.” [13] In such a world, Albert

and his colleagues argued, the dismantling of bureaucratic structures increases

the need for cognitive structures—that is, identities—that give organizations a

rudder to steer by. This assertion is countered by Gioia, Schultz, and Corley, who

contended that organizational identity exhibits a quality of “adaptive instability.” [14] As an organization projects its identity, they noted, it receives constant

feedback via today’s 24/7 media. Then, as discrepancies are detected between

self-perception and other perception, the organization adapts its identity to foster

a desirable image. Since the process is ongoing, the cycle continually reboots

itself. Such debates show that organizational identity is a lively topic of

discussion and research among scholars. Recently, Mary Jo Hatch and Majken

Schultz [15] summarized major theoretical developments, which are presented in

Table 8.2.

Table 8.2 Theorizing Organizational Identity

Roots in Sociology and Social Psychology

Cooley [16] 1902

The self has both individual and social aspects. The social aspect is constructed

as a “looking-glass self” when a person considers how others may perceive him

or her.

Mead [17] 1934

The self is composed of an “I” (the spontaneous and creative aspects of self) and

a “me” (the looking-glass self that imagines how it is perceived by the

“generalized others”).

Goffman [18] 1959

The self is a “face” that each person “presents” to others. Negotiating and

maintaining the self is like a drama; a person strives to present a face that will be

accepted by an audience of others.

Tajfel and

Turner [19] 1979

One’s self-concept combines a personal identity based on individual traits with a

social identity based on group classifications. Group identities can emerge as

members feel like insiders.

Brewer and

Gardner [20] 1996

The self can be analyzed at three levels: personal self-concept, relational self-

concept, and collective self-concept.

Early Development of the Concept

Albert and

Whetten [21] 1985

Originated concept of organizational identity, theorized as a combination of an

organization’s central character, the distinctive qualities it claims to possess, and

the enduring manifestation of an identity over time.

Schwartz [22] 1987 Proposed that research on organizational identity can be pursued through a

psychoanalytic framework.

Ashforth and

Mael [23] 1989

Applied Tajfel and Turner’s social-identity theory to organization studies and

introduced the concept of “organizational identification” to describe how

individual members identify with an organization.

Alvesson [24] 1990 Introduced the concept of “organizational image” as an aspect of organizational

identity.

Dutton and

Dukerich [25] 1991

Investigated how organizational identities adapt in response to an organization’s

environment and concerns for how it is perceived.

Ginzel,

Kramer, and

Sutton [26] 1993

Adapted Goffman’s notion of impression management to organizations, thus

envisioning impression management not as merely a managerial function, but as

a negotiation between an organization and its audiences.

Recent Developments: Multiple Identities

Pratt and

Rafaeli [27] 1997

Organization members manage multiple identities; for example, their identities as

members of a specific organization and their identities as members of their

professional community.

Golden-Biddle

and Rao [28] 1997

Different segments of an organization may have different identities, which may

lead to “hybrid identities” as members combine different (and sometimes

conflicting) identities.

Recent Development: Stability and Change

Gioia, Schultz,

and Corley [29] 2000

Contrary to Albert and Whetten’s description of organizational identity as

enduring, identity is dynamically unstable and adaptive. The label given to an

organization may be stable, but the meaning of the label changes.

Hatch and

Schultz [30] 2002

Organizational identity is formed, maintained, and transformed through the

dynamic interaction of organizational identity, organizational image, and

organizational culture.

Recent Developments: Narrative and Discourse

Czarniawska-

Joerges [31] 1997

Organizational identity may be analyzed as a narrative production or a story that

an organization tells to gain acceptance.

Alvesson and

Willmott [32] 2002 Managerial interests attempt to regulate organizational identity to “produce” an

“appropriate” member and thus maintain control.

Recent

Developments:

Audiences

Elsbach and

Kramer [33] 1996

Threats to organizational identity (e.g., criticism in the media) prompt members

to respond with various strategies to affirm and repair the threatened identity and

thus restore their own social identities.

Cheney and

Christensen [34]

2001

An organization’s internal and external communication is linked through its

identity. How an organization sees itself and believes others see it will affect

corporate issue management.

Identity, Image, and Culture

A further challenge for research on organizational identity is simple semantics.

The terms organizational identity, corporate identity, organizational image,

corporate image, organizational culture, and corporate culture have different

meanings for scholars in different organization- and management-related fields.

Hatch and Schultz attempted to sort things out with a theory that distinguishes

organizational identity, and culture, image and shows how each dynamically

interacts with the other. [35] They defined organizational identity as the internal

perspective of members who identify with the organization and base their

interpretations of the organization on internal information rather than what

outsiders say. Organizational culture emerges as members express their

collective identity and, in so doing, collectively form unconscious assumptions

and meanings that shape everyday organizational life. Finally, organizational

image is the external perspective of outsiders who do not identify with the

organization and base their interpretations of the organization on multiple

sources.

Nevertheless, these phenomena do not operate in isolation. Organizational

identity and culture influence one another, as do organizational identity and

image. Hatch and Schultz’s dynamic model of organizational identity sets forth

these relationships. First, organizational identity and culture are interrelated

because, as members reflect on their organization’s identity, these reflections are

embedded in the organization’s culture. At the same time, organizational identity

expresses members’ shared culture. Second, organizational identity and image

are interrelated because, as members express their collective identity, they leave

impressions on outsiders who then form an image of the organization. Yet

members form a mental picture of how outsiders perceive the organization and

then adjust their expressions of identity to foster a positive image. We have

adapted Hatch and Schultz’s model in Figure 8.1 to show how members’

expressions of, and reflections on, organizational identity are the “transmission

belt” between an organization’s internal culture and its external image.

Figure 8.1 Integration of Culture and Image via Identity

The Risks of Organizational Identity

If you are majoring in communication, then you may be concentrating on

advertising, marketing, and public relations. You may aspire to do these as a

career. Traditionally, these activities are viewed through the SMCR (source,

message, channel, receiver) model that we encountered in Chapter 1. Thus,

organizational leaders think up a corporate message, strategically choose the

channels that most effectively reach the desired recipients, and measure results

to determine success and guide future campaigns. In other words, corporate

communications are formulated according to the rational intentions of corporate

communicators. But George Cheney and Lars Christensen challenged this

assumption: “Internal perceptions (identities, expectations, and strategies)

strongly affect what problems are ‘seen,’ what potential solutions are envisioned,

and how the problems are ultimately addressed.” [36] In other words, an

organization’s identity can precondition its leaders and members to see certain

problems and ignore others and to favor certain solutions and forgo other

options. Thus, the way an organization chooses to manage issues and

communicate its positions can become “self-referential,” or mainly about

affirming its own organizational identity. Though communications “seem to be

directed toward others, [they] may actually be auto-communicative, that is,

directed primarily toward the [organizational] self.” [37]

At worst, messages become so auto-communicative and thinking so closed that

the organization is only talking to itself. The antidote to self-referentiality, argue

Cheney and Christensen, is self-reflection. Only by bringing the taken-for-

granted meanings and assumptions of organizational identity to the surface and

by being “sensitive to…one’s own auto-communicative predispositions…can

organizations hope to counter the self-referential tendencies” that can lead to

unethical communication. [38]

KEY TAKEAWAY

Different ontologies about organizations (i.e., the nature of their

being) lead to different perspectives on organizational identity. A

functionalist (or postpositive) ontology regards identity as one of a

set of attributes that an organization “has” and that therefore can

be managed to optimize performance. An interpretive ontology

regards identity as part of what an organization “is,” since it

emerges from the communicative interactions that constitute an

organization. A critical ontology may see organizational identity as

a tool of management to make its interests seem normal and

natural. A postmodern ontology “decenters” the very notion of

identity by seeing organizations and individuals not as

autonomous units but as sites of contestation between multiple

discourses.

In originating the concept of organizational identity, Stuart Albert

and David Whetten built on theories of how individual identities

are formed. They looked to the theories of Charles Horton Cooley,

George Herbert Mead, and Erving Goffman, who held that the

“self” has both an individual and a social aspect. Extending these

ideas to organizations, Albert and Whetten argued that

organizational identity is the central character of an organization,

the distinctive qualities it claims to possess, and the enduring

manifestation of its identity over time. Formation of this identity,

however, is an interactive process in which outsiders voice

perceptions that influence the organization’s definition of itself.

Since Albert and Whetten introduced their thesis in 1985,

subsequent scholars have explored how organizations can have

multiple identities and how organizational identities can change.

To distinguish between organizational identity, organizational

culture, and organizational image, Mary Jo Hatch and Majken

Schultz advanced a single theory to delineate each concept and

explain how each phenomenon is interrelated with the others.

Identity is a conscious perspective shared by members; culture

emerges from members’ symbolic constructions to form tacit

assumptions and meanings; and image is a perspective held by

external stakeholders. Organizational identity and culture are

interrelated because members’ reflections on identity become

embedded in culture, even as identity comes to express cultural

understandings. Organizational identity and image are interrelated

because the expression of identity leaves impressions on

outsiders, even as the organization takes those impressions into

account in forming its identity.

Dennis Gioia, Majken Schultz, and Kevin Corley challenged Albert

and Whetten’s original assertion that organizational identity is

enduring. Instead, they argued that organizational identity exhibits

“adaptive instability.” As external feedback triggers challenges to

an organization’s image, the organization reflects on itself and

how it is perceived, and addresses any discrepancy by adjusting

its identity to generate the desired image.

An organization externally communicates its identity through

advertising, marketing, and public relations. By these

communications, organizations engage in corporate issue

management. George Cheney and Lars Christensen pointed out

that an organization’s identity—how it sees itself—shapes the

problems it perceives and the solutions it formulates. When issue

management becomes “self-referential,” corporate communication

can actually become “auto-communication.” Though advertising,

marketing, and public relations are purportedly directed to

external audiences, the organization is really talking to itself. To

avoid unethical communication, leaders and managers must be

aware of their potential for autocommunication.

EXERCISES

1. Think of an organization to which you have belonged. It might be

a sports team on which you played, a club you joined, a company

where you worked, a church or mosque or synagogue where you

have worshipped, or the college you now attend. What was (or is)

its organizational identity? As you think of that identity, think of

how it may have formed. How would you compare the formation

of its identity to the way a person forms his or her identity? Are

the theories of Cooley, Mead, and Goffman applicable to

organizations? If so, how?

2. Consider again the organization you named in Exercise 1.

Describe how (using Albert and Whetten’s definition) its identity

reflects its central character and the distinctive qualities it claims

to possess and how the identity has endured over time. Now,

referring to Hatch and Schultz’s theory, describe how its identity,

culture, and image are interrelated. Finally, referring to Gioia,

Schultz, and Corley’s theory of adaptive instability, describe how

the organization’s identity has changed in response to external

feedback and events that have challenged its image.

3. Finally, think again of the organization you analyzed in Exercises

Organizational Culture:

Face :

Looking-Glass Self:

Organizational Identity:

Organizational Image:

Social Identity Theory:

1 and 2. In what ways might its organizational identity—the way it

sees itself—have shaped the problems it perceives and the

solutions it formulates? Do you see, as Cheney and Christensen

cautioned, any autocommunication in its advertising, marketing,

and public relations? Explain your answer.

KEY TERMS AND DEFINITIONS

To distinguish organizational culture from organizational identity, Hatch and Schultz described culture as emerging from members’ use of symbols (including communication) to form unconsciously accepted assumptions and meanings that shape everyday organizational life.

According to Erving Goffman, constructing your self is like a drama; that is, you are like an actor who presents a face to an audience and, as in a play, stages a life story that you hope will gain social acceptance.

A term coined by Charles Horton Cooley, meaning a mental image of how you think others perceive you and that drives the social aspect of your self.

In Albert and Whetten’s original conception, organizational identity has three dimensions as its reflects the central character of an organization and its own claims of distinctiveness and as it endures over time.

To distinguish organizational image from organizational identity, Hatch and Schultz defined image as a perspective held by external stakeholders who view the organization as “other” to themselves and interpret the organization based not only on the organization itself but on multiple sources.

Proposed by Tajfel and Turner, social identity theory (SIT) holds that one’s self-concept combines a “personal identity”

based on individual traits with a “social identity” based on group classifications.

[1] Seidl, D. (2005). Organizational identity and self-transformation: An

autopoietic perspective. Burlington, VT: Ashgate, p. 67.

[2] See also Gioia, D. A. (1998). From individual to organizational identity.

In D. A. Whetten & P. C. Godfrey (Eds.), Identity in organizations:

Building theory through conversations (pp. 17–31). Thousand Oaks, CA:

Sage.

[3] Cooley, C. H. (1922). Human nature and the social order. New York,

NY: Scribner.

[4] Mead, G. H. (1934). Mind, self, and society. Chicago, IL: University of

Chicago Press.

[5] Goffman, E. (1959). The presentation of self in everyday life. New

York, NY: Doubleday.

[6] Gioia, D. A. (1998). From individual to organizational identity. In D. A.

Whetten & P. C. Godfrey (Eds.), Identity in organizations: Building theory

through conversations (pp. 17–31). Thousand Oaks, CA: Sage, p. 20.

[7] Ashforth, B. E., & Mael, F. (1996). Organizational identity and strategy

as a context for the individual. Advances in Strategic Management, 13,

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[8] Albert, S. A., & Whetten, D. A. (1985). Organizational identity.

Research in Organizational Behavior, 7, 263–295, p. 292.

[9] Albert, S. A., & Whetten, D. A. (1985). Organizational identity.

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[10] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39, p. 21.

[11] Tajfel, H., & Turner, J. (1979). An integrative theory of intergroup

conflict. In W. G. Austin & S. Worchel (Eds.), The social psychology of

intergroup relations (pp. 38–43). Monterey, CA: Brooks/Cole.

[12] Seidl, D. (2005). Organizational identity and self-transformation: An

autopoietic perspective. Burlington, VT: Ashgate, p. 72.

[13] Albert, S., Ashforth, B. E., & Dutton, J. E. (2000). Organizational

identity and identification: Charting new waters and building new bridges.

Academy of Management Review, 25, 13–17, p. 13.

[14] Gioia, D. A., Schultze, M., & Corley, K. G. (2000). Organizational

identity, image, and adaptive instability. Academy of Management

Review, 25, 63–81.

[15] Hatch, M. J., & Schultze, M. (2004). Organizational identity: A reader.

Oxford, UK: Oxford University Press.

[16] Cooley, C. H. (1922). Human nature and the social order. New York,

NY: Scribner.

[17] Mead, G. H. (1934). Mind, self, and society. Chicago, IL: University

of Chicago Press. Mead, G. H. (1934). Mind, self, and society. Chicago,

IL: University of Chicago Press.

[18] Goffman, E. (1959). The presentation of self in everyday life. New

York, NY: Doubleday.

[19] Tajfel, H., & Turner, J. (1979). An integrative theory of intergroup

conflict. In W. G. Austin & S. Worchel (Eds.), The social psychology of

intergroup relations (pp. 38–43). Monterey, CA: Brooks/Cole.

[20] Brewer, M. B., & Gardner, W. (1996). Who is this “we”? Levels of

collective identity and self representations. Journal of Personality and

Social Psychology, 71, 83–93.

[21] Albert, S. A., & Whetten, D. A. (1985). Organizational identity.

Research in Organizational Behavior, 7, 263–295.

[22] Schwartz, H. S. (1987). Anti-social actions of committed

organizational participants: An existential psychoanalytic perspective.

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[23] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39.

[24] Alvesson, M. (1990). Organization: From substance to image?

Organization Studies, 11, 373–394.

[25] Dutton, J. E., & Dukerich, J. M. (1991). Keeping an eye on the mirror:

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Management Journal, 34, 517–554.

[26] Ginzel, L. E., Kramer, R. M., & Sutton, R. I. (1993). Organizational

impression management as a reciprocal influence process: The

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[27] Pratt, M. G., & Rafaeli, A. (1997). Organizational dress as a symbol

of multilayered social identities. Academy of Management Journal, 40,

862–898.

[28] Golden-Biddle, K., & Rao, H. (1997). Breaches in the boardroom:

Organizational identity and conflicts of commitment in a nonprofit

organization. Organization Science, 8, 593–611.

[29] Gioia, D. A., Schultze, M., & Corley, K. G. (2000). Organizational

identity, image, and adaptive instability. Academy of Management

Review, 25, 63–81.

[30] Hatch, M. J., & Schultz, M. (2002). The dynamics of organizational

identity. Human Relations, 55, 989–1018.

[31] Czarniuawska-Joerges, B. (1997). Narratives of individual and

organizational identities. Communication yearbook 17, 193–221.

[32] Alvesson, M., & Willmott, H. (2002). Identity regulation as

organizational control: Producing the appropriate individual. Journal of

Management Studies, 39, 619–644.

[33] Elsbach, K. D., & Kramer, R. M. (1996). Members’ response to

organizational identity threats: Encountering and countering the

BusinessWeek rankings. Administrative Science Quarterly, 41, 442–476.

[34] Cheney, G., & Christensen, L. T. (2001). Organizational identity:

Linkages between internal and external communication. In F. M. Jablin &

L. L. Putnam (Eds.), The nmew handbook of organizational

communication (pp. 231–269). Thousand Oaks, CA: Sage.

[35] Hatch, M. J., & Schultz, M. (2000). Scaling the tower of Babel:

Relational differences between identity, image, and culture in

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expressive organization: Linking identity, reputation, and the corporate

brand (pp. 13–35). Oxford, UK: Oxford University Press.

[36] Cheney, G., & Christensen, L. T. (2001). Organizational identity:

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[37] Cheney, G., & Christensen, L. T. (2001). Organizational identity:

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[38] Cheney, G., & Christensen, L. T. (2001). Organizational identity:

Linkages between internal and external communication. In F. M. Jablin &

L. L. Putnam (Eds.), The new handbook of organizational communication

(pp. 231–269). Thousand Oaks, CA: Sage, pp. 263–264.

8.2 Identity and the Organization Member

As noted, you may have felt such identification with a sports team, a club, a

house of worship, your alma mater, your place of work, or any number of

organizations to which you have belonged.

LEARNING OBJECTIVES

1. Distinguish between organizational identity and identification.

2. Recognize how management strives to guide employees’

socialization into the organization, so employees strongly identify

with the organization.

3. Understand the processes by which organization members come

to identify with the organization and incorporate that affinity into

their self-identities.

4. Grasp the postmodern and critical concern that managerial

interests can use organizational identity and identification to

sustain their control.

© Thinkstock/iStock

While organizational identity may be developed by an organization,

organizational identification may be developed by its members. In introducing

their concept of organizational identification, Ashforth and Mael defined it as

“a specific form of social identification,” where identification is “the perception

of oneness with or belongingness to a group, involving direct or vicarious

experience of its successes and failures.” [1] As noted, you may have felt such

identification with a sports team, a club, a house of worship, your alma mater,

your place of work, or any number of organizations to which you have belonged.

In a moment, we will look at the psychology of organizational identification. But

first, let us see the issue from the corporate side rather than the individual side.

Leaders expend much effort toward managing employees’ identification with the

organization in hopes of producing a workforce that is committed and loyal. So

they ensure new members “learn the ropes” and are socialized into the values

and practices of the organization. In Chapter 12, we will review at length the

process of organizational socialization. But the goal, from a management

perspective, is to produce employees who adopt (as we learned in Chapter 7) the

organization’s desired followership style. While numerous models of

followership have been proposed, they all assume followers should identify

strongly enough with an organization to perform their duties, to be motivated,

and to exercise their critical thinking and independent judgment for the benefit

of the group. Thus, fostering organizational identification is seen by leaders as

an essential management function. But for individuals, as we will now see, the

implications of organizational identification are more complex.

The Psychology of Identification

Imagine that you have worked your way through college as an employee of the

(hypothetical) Better Burgers chain. The company, as it name implies, has built

its identity on a claim of “gourmet” fast food. Over the years, you have come to

identify with the slogan “I’m Better!” and mentally see yourself as the kind of

person who belongs in a “Better” company. Likewise, you have internalized the

Better Burger values of creativity and quality captured in your job title of

burgerista. Your identification with Better Burgers and internalization of its

values is shown by your behavior (loyalty to the company through years of

service) and emotion (the satisfaction you feel in doing your job well). You

cannot imagine working for a different burger chain.

This scenario sets forth the basics of organizational identification. As we noted

at the outset of the chapter, while an organization has an identity, its members

may in turn identify with that organization. Much of the research on

identification follows the work of Ashforth and Mael, which is where we will

begin. [2] They applied, as we saw earlier, the social identity theory of Tajfel and

Turner, who had themselves built on the theories of Cooley and Mead. Guided

by (SIT), Ashforth and Mael defined identification as a “cognitive construct [in

which]…an individual need only perceive him- or herself as psychologically

intertwined with the fate of the group.” [3] In other words, your identification

with Better Burgers is a mental picture rather than a set of behaviors or

emotions. Further, identification can be distinguished from internalization.

“Whereas identification refers to self in terms of social categories (I am),”

observed Ashforth and Mael, “internalization refers to the incorporation of

values, attitudes, and so forth within the self as guiding principles (I believe).” [4] Thus, when you mentally picture yourself as a part of Better Burgers and

internalize its values, your behaviors (such as years of service) and emotions

(such as job satisfaction) follow. But what caused you to identify with Better

Burgers in the first place? Social identity theory suggests five factors:

1. The distinctiveness of the organization, so that membership confers a

unique self-identity

2. The prestige of the organization, so that membership boosts self-esteem

3. An awareness of out-groups (i.e., other organizations), so that awareness of

the in-group (i.e., one’s own organization) is reinforced

4. Competition with other organizations, so that distinctions are more clearly

delineated

5. Group formation factors that may include physical proximity,

interpersonal relations, attractiveness, similarity, shared background, and

common threats or aspirations [5]

So to continue our Better Burgers scenario, your identification with the chain

emerged as your own self-identity became intertwined with its distinctiveness

(“Our Burgers Are Best!”), prestige (“We’re the Gourmet Choice!”), and

contrasts to other chains (“The other chains want to be like us” and “They won’t

beat us because their burgers aren’t as good!”). In addition, your organizational

identification might be enhanced if your Better Burgers restaurant is in your own

neighborhood; if you get along well with your manager and coworkers; and if

your fellow employees are nice people who have similar personalities,

background, dreams, and challenges.

For your manager—and more broadly, for Better Burgers’s corporate leadership

—a prime goal is to “produce” employees with an organizational identification

like yours. Of course, if you like where you work and feel a sense of belonging

and purpose, then your organizational identification will tend to boost your job

satisfaction. But it also follows that an organization’s attempts to “manage” your

identity are tied to corporate leadership’s desire for control and predictability.

Phillip Tompkins and George Cheney have called this “concertive control.”

Drawing on structuration theory (see Chapter 4), they proposed that an identity-

identification duality operates within organizations. [6] The more you are linked

with other Better Burgers employees who share your identification, the more you

will all be strengthened in your identification and will enjoy relationships with

like-minded coworkers. Tompkins and Cheney theorized that organizations

deploy communication to control their members in five ways:

1. Simple control through direct and open use of power

2. Technical control that selects the communication tools employees must use

3. Bureaucratic control that determines formal policies and procedures that

employees must follow

4. Cultural control that inculcates common values and practices around

which employees form their interests and relationships

5. Concertive control through which management induces employees to

discipline themselves and approved corporate attitudes and behaviors come

to seem natural and normal until these values become the goals that

motivate members and form their sense of obligation

Tompkins and Cheney also drew on rhetorical theory (see Chapter 4), citing

Kenneth Burke’s concept that persuasion can occur when speakers can make

audiences identify with their arguments. [7] They also drew on Aristotle’s

concept of the enthymeme. [8] Aristotle observed that reasoning occurs

syllogistically from major premise, to minor premise, to conclusion. When a

premise is widely shared by an audience, the speaker can engage in enthymeme

by omitting that premise from the argument; this impels the audience to mentally

fill in the missing premise and so be drawn along to the speaker’s conclusion.

Thus, suppose that managers and workers share the premise that profits are good

for everyone. Managers need only urge employees to practice “customer service

excellence,” and employees will fill in the missing premise that “satisfied

customers are repeat customers.” In this way, employees are drawn along to

management’s conclusions that making a profit is an imperative for everyone in

the company. When such identification occurs, the organization has gained

concertive control over its members.

A Postmodern Perspective

In the premodern era of kings, wrote Michel Foucault, discipline was achieved

through direct and physical punishments such as public executions. In the

modern era of bureaucracies, however, employee discipline is achieved not

through direct and physical means but through indirect and intangible means

until people discipline themselves. [9] Foucault gave the example of a state

prison, which is an invention of modern society. Because inmates know they are

not watched every moment but could be at any moment, they discipline

themselves. In a modern bureaucratic organization, however, the methods of

surveillance are financial statements, sales reports, production figures, and other

accounting procedures that keep tabs on people. Foucault [10] concluded that four

“technologies” (or ways of getting things done) operate in the modern world:

1. Technologies of production permit us to manipulate the physical world.

2. Technologies of sign systems permit us to communicate.

3. Technologies of power permit hierarchies to be formed, since a completely

egalitarian society is impossible.

4. Technologies of the self permit individuals to modify their bodies,

thoughts, and conduct to attain desired ends, since the fact of living in a

society makes an unmodified self impossible.

Foucault then turned a postmodern eye toward these “technologies.” People are

preconditioned, he observed, by the dominant discourses in their history, culture,

and society to accept as normal and natural what each technology produces. He

then urged individuals, when under pressure from dominant discourses to modify

their selves, to respond ethnically by questioning the moral assumptions to

which they are being subjected. [11] Numerous scholars in organization studies

have applied Foucault’s ideas about the self to organizational settings. [12] For

example, Mike Savage demonstrated how railroad employees in the nineteenth

century readily disciplined themselves in return for pay increases and a career

ladder that offered upward mobility. [13] Pay scales and career ladders are, of

course, technologies of power. Railroad employees submitted themselves to this

power through technologies of the self, modifying their thoughts, conduct, even

their bodies (for instance, to work night shifts) to attain their desired rewards.

A Critical Perspective

While Foucault’s ideas provide a framework for many scholars to explore

questions of the self in organizational settings, Matts Alvesson and Hugh

Willmott took their own critical look at the literature on organizational identity

and identification. They argued that management engages in identity regulation

to “produce” the “appropriate” individuals that management desires. [14] Identity

regulation, believed Alvesson and Willmott, is accomplished as management

controls the discourses that define a good employee, how a good employee

should act, how a good employee should relate to others, and the overall context

that governs these determinations. Managerial control of these discourses shapes

the identity work that all employees must do to make sense of the organization

and figure out their parts in it. Alvesson and Willmott’s model for identity

regulation, with examples of managerial discourses and their influence on

employees’ identity work, is summarized in Figure 8.2.

Figure 8.2 Alvesson and Willmott’s Identity Regulation

In addition to identity regulation and identity work, Alvesson and Willmott

introduced a third concept, self-identity, to their model. Thus organization

members’ identity work spans six dimensions of self-identity:

1. One’s central life interest is felt as a need to answer the questions “Who

am I?” and “What are we?”

2. The desire for coherence is felt as a need to tell one’s life story as a

narrative with a discernible sequence rather than a jumble of random

events.

3. The desire for distinctiveness is felt as a need to set boundaries that

distinguish “me” from others.

4. The desire for direction is felt as a need for some basis (if often vague) for

deciding what is appropriate, desired, valued, and reasonable.

5. The desire for positive social values is felt as a need to enhance the self-

esteem of one’s identity.

6. The desire for a self-identity is satisfied only when a person has acquired a

self-awareness of that identity.

Alvesson and Willmott further proposed that their constructs—identity

regulation, identity work, and self-identity—are interrelated. Managerial identity

regulation prompts employees to do ongoing identity work, even as managers

adjust their discourses as the identity work is ongoing. Meanwhile, identity work

produces self-identity, even as the desire for self-identity induces identity work.

Finally, self-identity responds to (or resists) managerial attempts at identity

regulation, even as the success (or failure) of that regulation is manifested in

employee self-identities. These dynamics are graphically represented in Figure

8.3. Nevertheless, add Alvesson and Willmott, the process needs more study.

Identity regulation is “an important yet still insufficiently explored dimension of

organizational control” that, they conclude, will only increase in a

postbureaucratic world of loosely networked organizations where control must

be accomplished by managing the “insides” of employees. [15]

Figure 8.3 Alvesson and Willmott’s Dynamics of Identity

KEY TAKEAWAY

Organizational identity is the collective identity that an

organization may form; organizational identification is developed

by individual members as they identify with the organization. The

concept of organizational identification originated with Blake

Ashford and Fred Mael. In applying social identity theory—which

holds that one’s self-concept combines a “personal identity” based

on individual traits with a “social identity” based on group

classifications—they defined organizational identification as a

form of social identification as members perceive oneness or

belonging with the organization.

A key management objective is to foster strong organizational

identification among employees. This occurs through conscious

efforts to socialize employees into the values and practices of the

organization so that they “get on board” and feel an affinity with

the organization’s identity. Yet these efforts are not the whole

story of how employees come to identify with an organization.

Taking their cue from social identity theory, Ashforth and Mael

observed that feelings of oneness and belonging are fostered as

the organization is seen as distinctive and prestigious, and as

comparisons to and competitions with other organizations

delineate differences between “us” and “them.” However,

Tompkins and Cheney drew on structuration theory to posit an

identity-identification duality. The more employees who identify

with an organization act together with other such coworkers, the

more they identify with the organization. Over time, believed

Tompkins and Cheney, increasing identification leads to

concertive control, as members so identify with an organization

that they discipline themselves to conform to managerially

approved values.

French philosopher Michel Foucault described how premodern

societies enforced discipline through direct physical means,

whereas modern societies enforce discipline through the

possibility of indirect surveillance that compels people to discipline

themselves. Matts Alvesson and Hugh Willmott, working from the

literature on organizational identification, posited that identity

regulation affords management a means of control through

“producing” the “appropriate” employee. All organization members

must do identity work to form an organizational self-identity.

Identity regulation occurs as management engages in discourses

that attempt to shape employees’ identity work. These

management discourses may strive to define the appropriate

employee, appropriate actions, appropriate relations, and

appropriate rules and contexts for organizational life.

EXERCISES

1. In the exercises for Section 8.1, you were asked to think of an

organization to which you have belonged—perhaps a sports team

on which you played, a club you joined, a company where you

worked, a church or mosque or synagogue where you have

worshipped, or the college you now attend. In Section 8.1 we

asked you to explore that organization’s identity; now we ask you

to think about your own identification with that organization.

Describe how the organization guided your socialization, first

through the anticipatory socialization phase prior to your actual

joining, and then through the phase of your formal entry and

assimilation. What methods did the organization use in

encouraging you to strongly identify with that organization?

2. Thinking of the same organization you analyzed in Exercise 1,

switch your gaze from the ways it tried to socialize you and

instead consider your own responses. Following Ashforth and

Meal’s framework, Did the organization’s distinctiveness make

you, as a member, feel unique? Did its prestige boost your self-

esteem? As you became aware of other similar organizations, did

the comparisons highlight what was different about your

organization? Did that make you feel more a part of the “in”

group? Was this feeling heightened by any actual or perceived

competition with the other organizations? And as Tompkins and

Cheney suggested, did your organizational identification increase

as you spent more time with other members who also identified

with the organization? Did you ultimately conform to the

organization’s values and practices without being told, because

you felt they were your own?

3. Finally, consider again the organization you analyzed in Exercises

1 and 2. Now refer to Figure 8.2, which lists the targets and

discourses that organization leaders and managers can use to

engage in identity regulation. The first column lists discursive

targets, the second lists discursive modes, and the third lists

examples given by Alvesson and Willmott. Make a chart of your

Identification :

Identity-Identification Duality :

Identity Regulation:

Identity Work:

Internalization:

Organizational Identification:

own and, in the third column, list your own examples of how the

organization to which you belonged may have engaged in identity

regulation. After listing your examples, jot down some thoughts on

how these discourses may have shaped your identity work and

influenced your self-identity in the organization.

KEY TERMS AND DEFINITIONS

Ashforth and Mael defined identification as a cognitive construct (or mental picture of one’s self as intertwined with a group) as opposed to a set of behaviors or emotions; further, identification attaches the self to social categories (“I am”), while internalization attaches the self to guiding principles (“I believe”).

The more that members identify with an organization, the more they seek out like-minded members; the more they interact with like-minded members, the more they identify with an organization.

A means of organizational control in which managerial interests engage in discourses that shape how employees form their workplace identities and thus “produce” the “appropriate” employee.

All employees engage in identity work as they interpret organizational discourses in light of their own central life interest, desires for coherence and distinctiveness, need for direction and self-affirming social values, and emerging self-awareness.

Ashforth and Mael defined identification as a cognitive construct (or mental picture of one’s self as intertwined with a group) as opposed to a set of behaviors or emotions; further, identification attaches the self to social categories (“I am”), while internalization attaches the self to guiding principles (“I believe”).

A specific form of social identification or perception of oneness with a group.

Self-Identity: In Alvesson and Willmott’s theory, identity work produces self-identity; the managerial objective in identity regulation is to shape the processes of identity work and thus produce “appropriate” self-identities.

[1] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39, pp. 22, 34.

[2] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39.

[3] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39, p. 21.

[4] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39, pp. 21–22.

[5] Ashforth, B. E., & Mael, F. (1989). Social identity theory and the

organization. Academy of Management Review, 14, 20–39, pp. 24–25.

[6] Tompkins, P. K. & Cheney, G. (1985). Communication and unobtrusive

control in contemporary organizations. In R. D. McPhee & P. K. Tompkins

(Eds.), Organizational communication: Traditional themes and new

directions (pp. 179–210). Newbury Park, CA: Sage. See also Scott, C.

R., Corman, S. A., & Cheney, G. (1998). The development of a

structurational theory of identification in the organization. Communication

Theory, 8, 298–336.

[7] Burke, K. (1969). A rhetoric of motives. Berkeley: University of

California Press. Burke, K. (1969). A rhetoric of motives. Berkeley:

University of California Press.

[8] Aristotle. (2007). On rhetoric: A theory of civic discourse (2nd ed.). (G.

A. Kennedy, Trans.). New York, NY: Oxford University Press.

[9] Foucault, M. (1977). Discipline and punish: The birth of the prison (A.

Sheridan, Trans.). New York, NY: Vintage. (Original work published 1975)

[10] Foucault, M. (1988). Technologies of the self. In L. H. Martin, H.

Gutman, & P. H. Hutton (Eds.), Technologies of the self: A seminar with

Michel Foucault (pp. 16–49). Amherst: University of Massachusetts

Press, p. 18.

[11] Foucault, M. (1984). On the genealogy of ethics: An overview of work

in progress. In P. Rabinow (Ed.), The Foucault reader (pp. 352–355).

New York, NY: Pantheon. See also Moore, M. C. (1987). Ethical

discourse and Foucault’s conception of ethics. Human Studies, 10, 81–

95.

[12] For example, see Burrell, G. (1988). Modernism, post modernism,

and organizational analysis 2: The contribution of Michel Foucault.

Organization Studies, 9, 221–235; McKinlay, A., & Starkey, K. (1998).

Foucault, management, and organization theory. London, UK: Sage.

[13] Savage, M. (1998). Discipline, surveillance, and the “career”:

Employment on the Great Western Railway, 1833–1914. In A. McKinlay

& K. Starkey (Eds.), Foucault, management, and organization theory (pp.

65–92). London, UK: Sage.

[14] Alvesson, M., & Willmott, H. (2002). Identity regulation as

organizational control: Producing the appropriate individual. Journal of

Management Studies, 39, 619–644.

[15] Alvesson, M., & Willmott, H. (2002). Identity regulation as

organizational control: Producing the appropriate individual. Journal of

Management Studies, 39, 619–644, p. 620. a

8.3 Diversity and the Organization

LEARNING OBJECTIVES

1. Identify demographic changes that are producing an increasingly

diverse labor force and the opportunities (improved recruiting,

creativity, problem solving, flexibility, marketing) and challenges

(prejudice, discrimination, stereotypes, ethnocentrism) of this

trend for organizations.

2. Understand that balancing your organizational identification and

your personal identity—in other words, balancing work and life—

ultimately requires a change in organizational cultures so that

flexibility becomes the norm and expectation for employers and

employees alike.

3. Define and explain why cultural intelligence is a business

necessity in the twenty-first century.

© Thinkstock/iStock

In thinking about identity and identification, we can easily slip into the trap of

thinking the organization has an identity and that, likewise, the employee has an

identity. In other words, each has one unified and integrated identity. This mode

of thinking is, in fact, the default position in Western culture. We think of each

person as a single unit so that, metaphorically, we project this same quality onto

the “super person” that is the organization. Yet Albert and Whetten’s original

thesis about organizational identity readily allowed that organizations can have

multiple identities. [1] Communication scholars, as well as researchers in

psychology and other fields, have long recognized that the same is true of

individuals.

Each one of us constructs our sense of self from a multitude of identities—

perhaps our family, ethnicity, gender, age, country of origin, region or city,

religion, hobbies, clubs, alma maters, political affiliations, profession, employer,

and work department. Moreover, identity is an ongoing construction that must be

constantly negotiated, renegotiated, and adjusted in light of new experiences as

you encounter new people and situations. To illustrate how people with different

(and multiple) identities must mesh to accomplish work, consider this textbook.

Under the auspices of a publisher, the three authors joined to perform the work.

We share an interest in organizational communication and yet our identities—

and their components—are very different:

Jason Wrench is a white male, a member of Generation X who hails from

Texas, earned his doctorate in West Virginia, moved from Ohio to New

York, has a special interest in learning processes, and identifies with his

roles as department chair, teacher, scholar, author, speaker, and consultant.

Narissra Punyanunt-Carter is a woman of color and member of Generation

X who also attended universities in Texas and Ohio, and now teaches at her

Texas alma mater where she researches, among other interests, family

communication.

Mark Ward is a baby boomer who mirrors the average (documented by the

Bureau of Labor Statistics) of holding 11.3 jobs through the first three

decades of his career. [2] A white, middle-aged, male, American,

Southerner, proud of his alma maters in Virginia and South Carolina, he

self-identifies as an academic, teacher, faculty member of his Texas

institution, and specialist in organizational and religious communication.

Yet through a dozen job changes his identity has varied: writer/editor,

corporate communication director, broadcaster, freelance journalist, midlife

graduate student, and college professor.

Furthermore, two of the authors (Wrench and Punyanunt-Carter) favor social-

scientific research methods, while the third (Ward) holds to an interpretive

epistemology. To write this textbook, then, we found ways of making our

diversity an advantage rather than a liability.

Or consider your organizational communication class. Your class is analogous to

an organization with a governing board (the administration), CEO (your

instructor), and members (the students). Probably you have experienced how

different classes have different “personalities” or, if you will, organizational

identities. Somehow, the climate and culture of one class—even just the

atmosphere when you walk in the door—is completely different from another

class. That identity is driven by many factors: the university, the subject of the

class, the instructor, and the composition of the students. And college professors

know that different sections of the same course, even during the same semester,

have different identities. Thus, for every class in which you are enrolled—

including your organizational communication class—you must work through the

diverse identities of your teachers, your classmates, and yourself to pass the

course. You must find a way to work with your instructor and to cooperate with

other students for class discussions and group projects.

In a very real sense, your textbook and your organizational communication class

are microcosms of processes that occur every day in the workplace. Individuals

and organizations must balance the need for a shared identity with the need to

accommodate diverse identities and then collectively leverage the strengths each

member brings to the table. That is the tension we will explore in this section.

The Business Case for Diversity

The notion of boosting performance by encouraging a diverse workforce takes

us a long way from the classical theories of management that we encountered in

Chapter 3. The theories of Frederick Taylor envisioned the organization as a

homogeneous “machine” whose inputs and outputs could be scientifically

managed. Max Weber held that bureaucratic management according to

impersonal but fair rules was preferable to the personalized leadership that

characterized nineteenth-century capitalism. And Henri Fayol advocated a

military style of management based on unity of direction and command. With all

these classical theories, individual identities should be left at the factory gate and

a diversity of perspectives and opinions would detract from Taylor’s control,

Weber’s impartiality, and Fayol’s unity. Yet as we also saw in Chapter 3, the

human relations approach to organizations recognized that workers have felt

needs, while human resources theories encouraged management to tap worker

creativity by enlisting their participation in organizational decision making.

Likewise, systems theory, as we learned in Chapter 4, acknowledges that an

organization needs a diversity of resources that is sufficient to handle the

complexity of its environment. Interpretive approaches suggest that an

organization “is” its diversity, since the organization and its culture are

constituted by the communicative interactions of its various members.

Postmodern and critical approaches celebrate diversity by recovering voices that

have been historically marginalized in organizations.

Quite apart from theory, however, is the practical reality of an increasingly

diverse workforce in the United States and many other nations. The US Bureau

of Labor Statistics (BLS) tracks numerous demographic traits, including age,

gender, race and ethnicity, disability, family and marital status, educational

attainment, military veteran status, and more. Each trait can be an integral

component of a person’s self-identity both in private life and on the job—and in

the aggregate, the demographic mix is constantly changing. Organizations must

keep abreast of these changes to find and attract the best talent; managers must

stay on top of these changes to best help their employees succeed; employees

must be aware of these changes to work effectively with coworkers. In 2006, a

BLS report projected the composition of the US labor force by decade through

2050. [3] The projections, shown in Figure 8.4 through Figure 8.7, suggest steady

growth in the numbers of black, Asian, and Hispanic men and women as

percentages of the workforce. But despite the growing numbers of workers in

these categories, the agency estimates that overall growth in the US labor force

will slow significantly as compared to the previous half century. The baby boom

generation is aging, while the participation rate of women in the labor force is

leveling off after previous decades of rapid growth.

Figure 8.4 US Labor Force Racial Distribution to 2050

*“All other” includes those classified as of multiple racial origin and the race categories of American

Indian, Alaska Native, Native Hawaiian, and other Pacific Islanders.

Figure 8.5 US Labor Force Race and Gender Distribution to 2050

*“All other” includes those classified as of multiple racial origin and the race categories of American

Indian, Alaska Native, Native Hawaiian, and other Pacific Islanders.

Figure 8.6 US Labor Force Ethnic Distribution to 2050

Figure 8.7 US Labor Force Ethnic and Gender Distribution to 2050

Given the trend toward increasingly multicultural workplaces, organizations

have solid business reasons to keep pace. Taylor Cox and Stacy Blake

summarized these reasons in six arguments for embracing diversity: (1)

Organizations with a reputation for welcoming diverse employees will gain a

recruiting edge in a shrinking labor pool, while (2) those that struggle with

integrating women and minorities will face increased costs as the labor pool

steadily diversifies. Further, organizations with diverse workforces will benefit

from the improved (3) creativity, (4) problem solving, and (5) managerial

flexibility spurred by multiple viewpoints, even as they (6) gain greater insights

for marketing products and services to an increasingly diverse public. [4] Nevertheless, achieving these benefits is not easy, because accustomed modes

of thinking—whether in an organizational culture or in the surrounding society

—may be transmitted over generations, be deeply ingrained, and be slow to

change. In 2011 alone, more than a hundred thousand individual charge filings

were lodged with the federal Equal Employment Opportunity Commission

(EEOC). [5]

The Legal Case for Diversity

That people could charge a privately owned business with discrimination,

however, was not always possible. Until passage of the Civil Rights Act of 1964,

business owners might refuse to serve or hire persons of color, for example, by

claiming the right to do what they pleased with their own establishments. But the

act established the principle that public and private entities (with the exception

of private clubs and religious organizations) used by the public are “public

accommodations.” In other words, if an entity purports to do business with the

public, it cannot discriminate in whom it will serve or hire on the basis of race,

color, religion, or national origin. Yet merely requiring private entities to accord

all persons their civil rights is not enough to achieve equal opportunity. Federal

laws against employment discrimination—listed in Table 8.3—also define what

is discrimination and who are protected classes of persons that may seek legal

redress.

Table 8.3 US Laws Prohibiting Employment Discrimination

Statute Purpose

TItle VII of the Civil Rights Act of

1964

Prohibits employment discrimination based on race, color,

religion, sex, or national origin

Equal Pay Act of 1963 Protects men and women who perform substantially equal work

in the same establishment from sex-based wage discrimination

Age Discrimination in Employment

Act of 1967 Protects individuals forty years of age or older

Titles I and V of the Americans with

Disabilities Act of 1990 (as amended)

Prohibits employment discrimination against qualified

individuals with disabilities

Sections 501 and 595 of the

Rehabilitation Act of 1973

Prohibits discrimination against qualified individuals with

disabilities who work in the federal government

Title II of the Genetic Information

Nondiscrimination Act of 2008

Prohibits employment discrimination based on genetic

information about an applicant, employee, or former employee

Civil Rights Act of 1991 Provides monetary damages in cases of intentional employment

discrimination

These laws, enforced by the EEOC, prohibit an employer “or other covered

entity from using neutral employment policies and practices that have a

disproportionately negative effect on applicants or employees of a [protected

class]…if the polices or practices at issue are not job-related and necessary to

the operation of the business.” Under these laws, “it is illegal to discriminate

against someone (applicant or employee) because of that person’s race, color,

religion, sex (including pregnancy), national origin, age (40 or older), disability

or genetic information” or “to retaliate against a person because he or she

complained about discrimination, filed a charge of discrimination, or

participated in an employment discrimination investigation or lawsuit.” [6] Yet

even so, more specificity is needed. In implementing antidiscrimination laws, the

EEOC has ruled on specific practices that violate the rights of protected classes:

Hiring: Employers may not recruit, advertise jobs, evaluate job

applications, require application procedures such as tests, gather

preemployment information, give employment references or referrals, or

make hiring decisions in ways that unlawfully discriminate against

protected classes of persons.

On the job: Employers may not make decisions on job assignments and

promotions, require tests for such assignments and promotions, administer

training or apprenticeship programs, institute a dress code, determine pay

and benefits, or generally make any decision on employment terms and

conditions in ways that unlawfully discriminate against protected classes of

persons.

Work environment: Employers must reasonably accommodate job

applicants and employees with disabilities, and reasonably accommodate

the religious beliefs and practices of employees, unless doing so would

cause significant expense or difficulty. Employees have the right to be free

from harassment that, on the basis of their membership in a protected class,

is so frequent or severe that it creates a hostile work environment or results

in demotion, discharge, or other adverse employment decisions. Sexual

harassment can occur through verbal, written, or physical behavior of a

sexual nature, from crude teasing to demanding sex in return for favorable

job treatment.

Termination: Employers may not make decisions about employee

discipline or discharge, or about whom to lay off or to recall from layoffs,

in ways that unlawfully discriminate against protected classes of persons or

make the work environment so intolerable that such persons are forced to

resign or are reasonably unable to remain.

To help you understand how these laws actually work in practice, the following

are short scenarios [7] regarding discrimination against each of the federally

protected classes of persons.

Race: Ray is an African American and Sonia an Asian American. Both

work in sales and are frustrated with the territories they have been assigned.

But the employer explains that, to maximize sales, the company has

assigned them to areas with high percentages of black and Asian residents.

Color: Melanie works at a large department store and applied for

promotion from sales clerk to manager of the beauty products counter. But

she was turned down because Melanie is a brown-complexioned Latina

and, according to her boss, the store’s major vendor for beauty products

prefers a “light-skinned” representative.

Religion: Yusef, a new employee, arrived ten minutes late for work after

attending services at his local mosque. Though his supervisor knew the

reason, she still disciplined him. Yet Joanne, a longtime employee, has long

been allowed to arrive ten to fifteen minutes late on days that she attends

mass at her Catholic church.

Sex: Charlene and Herb are tennis instructors at the same health club and

make about the same pay. But while Charlene is paid by the lesson, Herb

receives a guaranteed weekly salary. Though their earnings are similar, they

are not being paid in the same form for substantially equal work.

National origin: Suhail is of Arab descent and employed by a software

development firm. He notices that coworkers who get the best projects and

fastest promotions have strong relationships with company supervisors

developed through off-hours socializing. But Suhail receives invitations to

these outings secondhand and at the last minute from coworkers, rather than

directly from supervisors. His relationships have suffered, and he has been

passed over for several projects. Suhail is concerned that his Arab descent

has excluded him from the company’s informal social network.

Age: Barbara is age fifty-one and dismayed when her new employer says

she cannot participate in the company’s pension plan. It excludes those who

are hired within five years of the plan’s normal retirement age, which is

fifty-five. Barbara files an age-discrimination complaint; because the

normal retirement is age based, so is the exclusion.

Disability: Carl has applied for a company transfer to a higher-paying job

in data entry. Because he is blind, however, the employer simply assumed

he cannot effectively use a computer and did not put him on the list of

candidates to be interviewed.

Genetic information: After Julie told her boss that her mother and father

both died of cancer, the boss transfers Julie from the research lab—though

she was an excellent researcher—to other nonresearch duties, which are

supposedly “safer” but also have less career potential.

Complainant: Bill formally complained to his company’s human-resources

office and to a city agency that his supervisor treats male employees less

favorably than female coworkers. Soon afterward, Bill is fired because he is

“not a team player.” When another employee gives testimony to a city

investigator, that employee’s hours are cut.

In addition to the laws in Table 8.3 that are enforced by the EEOC, other federal

statutes have been enacted for additional protected classes of persons. For

example, the National Labor Relations Act protects workers from discrimination

based on membership in a union, thus guaranteeing them the right to organize

and collectively bargain for better pay and working conditions. Military veterans

are accorded Protected Veteran Status under the Vietnam Era Veterans’

Readjustment Assistance Act, which states that veterans “cannot be denied

employment, harassed, demoted, terminated, paid less or treated less favorably

because of [their] veteran status,” and that employers must reasonably

accommodate their needs. Under the Uniformed Services Employment and

Reemployment Rights Act, military reservists are protected against job

discrimination based on their service and, when called to active duty, have a

right to their old jobs or a similar job when they return.

Though sexual orientation and gender identity/expression are not currently

federally protected classes of persons, many state and local governments and

agencies, and many private companies, prohibit employment discrimination on

this basis. Sexual orientation is the preferred term when referring to a person’s

physical or emotional attraction to the same gender or the opposite gender;

heterosexual, bisexual, and homosexual are all sexual orientations. However,

sexual orientation should be distinguished from the terms “gender identity” and

“gender expression.” Gender identity is a person’s deeply felt psychological

identification as either a male or a female, whether or not that identity

corresponds with the person’s body or was the person’s sex at birth. Gender

expression refers to a person’s expression of gender through external traits and

behaviors—appearance, mannerisms, speech, interactions—that are socially

defined as male or female. Many who are protected under state and local laws

against employment discrimination based on sexual orientation identify with the

LGBT community, an acronym for lesbian, gay, bisexual, and

transgender/transsexual.

Still, laws can only address discrimination and not prejudice. Prejudice is an

unseen attitude, whereas discrimination is the observable behavior driven by

prejudice. Prejudicial attitudes need not consist of active malice; a prejudicial

attitude can stem from ethnocentrism—the belief that one’s own culture is the

best or most natural—and from stereotypes that may portray older persons as

forgetful, women as emotional, the differently abled as helpless, religious

believers as judgmental, gay men as effeminate, or persons of a given racial or

ethnic heritage as lazy, or unscrupulous, or dirty, or timid. Though overt

discrimination is prosecuted under the law, there is the silent discrimination that

limits the access of women and minorities to informal communication networks

and professional mentors, or turns them into “tokens” so that employers feel no

obligation to recruit more. The real path to embracing diverse identities within

today’s organizations is in the everyday business of working out relationships of

mutual respect and dignity. Brenda J. Allen, in her study of social identities and

communication, concluded with three simple recommendations: be mindful of

your own biases, be proactive in setting aside those biases, and fill your

communication toolbox with a repertoire of skills for effective and empathetic

listening and dialogue. [8]

Balancing Organizational Identity and Diversity

We opened the chapter by pairing identity and diversity as aspects of

organizational life that exist in a tension that must be balanced. This is just as

true for you, as an organization member, as it is for the organization. In this

concluding section, we will cast the identity/diversity balance for individuals as

an identification/identity balance. In other words, how do you balance your

organizational identification with your personal identity—that is, your need to

identify with the organization sufficiently to be a team member and get

satisfaction from your job with the need to “be your own person” and “have a

life”? Concern about work-life balance is not new; much was said in the

postwar years as fathers went back to work and climbed the new corporate

ladders, and again a generation later when the rise of two-income households put

terms such as latchkey kid and supermom into the popular vocabulary. Today,

with the rise of the Internet and social media, many are concerned about the

subtle ways that work is “colonizing” personal life, as employees are

increasingly pressured to answer work-related e-mails at home and be available

24/7 to answer phone calls, texts, and tweets from supervisors, coworkers,

clients, and customers.

Since the 1990s, some organizations have experimented with alternative work

arrangements including flex time (flexible working hours), telecommuting or

flex place (working from home a certain number of days per week), and job

sharing (allowing a full-time job to be shared by two or more part-time

employees). Yet the Families and Work Institute (FWI), in its 2012 National

Study of Employers, found that the “culture of flexibility” had stagnated due to

the economic pressures of the 2008–9 recession. [9] After surveying more than a

thousand US organizations of all sizes and occupations, FWI discovered that, on

the one hand, since 2005 “employers have increased their provision of options

that allow employees to better manage the times and places in which they work”

through flex time, flex place, and other policies. On the other hand, “employers

have reduced their provision of options that involve employees spending

significant amounts of time away from full-time work” through opportunities to

move between full- and part-time status and with career breaks for personal or

family responsibilities. Employees thus have more options for managing their

daily time but fewer options for managing their lives and careers.

The availability of more flex time is a positive step. But why, then, did a 2008

FWI study find that between two-thirds and three-quarters of employees in

various occupations reported “not having enough time” to spend with their

spouses, partners, or children? [10] The same survey revealed that, even when

employees have access to schedule flexibility, 70 percent use it no more than

once a month, and 19 percent never use it. Even to care for a sick child,

employed parents took an average of only 3.6 days off per year. [11] “Having

access to flexibility options is one thing, but having a culture that supports their

use is another. Employees can have substantial access to flexibility, but when

they feel that its use is not condoned, they might as well not have access.…[A]

culture of flexibility is as, if not more, important than simply having access to

flexibility options.” [12] Since 89 percent or more of employees in all

occupations surveyed reported that their supervisors are responsive to requests

for time off, then “the obstacles to using flexibility likely reside with coworkers,

senior leaders, clients, and with employees’ perceptions of the organizational

norms.” [13]

This returns us, of course, to the issue of balancing identification and identity—

how much you identify with your organization versus how much you construct

your identity from other sources and maintain that identity. In modern societies

where many people spend the bulk of their waking hours at work—and where

many people accept job transfers that uproot them from traditional sources of

identity—striking a good balance between work and life is a challenge. In the

United States, the “culture of flexibility” that organizations need to

accommodate a diverse workforce has run up against the ingrained expectation

that employees should, heart and soul, be “company people.” The “right”

balance between work and life, between organizational identification and self-

identity, is different for each person. You will need to decide what is right for

you. But knowledge is power. In this chapter we have learned about the

processes by which an organization forms an identity, by which it attempts to

socialize employees into that identity, and by which employees acquire an

organizational identification. We have learned about identity regulation,

concertive control, and technologies of the body, through which modern

organizations “produce” employees who discipline themselves according to

desired norms. With this knowledge, you can look squarely at organizational

processes, question assumptions that may be taken for granted as normal and

natural, and make informed choices about your own participation.

Building Cultural Intelligence

In today’s global economy, being able to interact effectively with a wide range of

people is a very important part of doing business. With the advent of the Internet,

the world has truly become a very small place. In recent years, there has been a

discussion of a wide range of different types of intelligence: emotional

intelligence, sociopolitical intelligence, social intelligence, and so on. [14] In

2003, P. Christopher Earley and Soon Ang introduced the concept of cultural

intelligence (CQ) to the mix of intelligences. [15] CQ can be defined as “an

individual’s capability to function effectively in situations characterized by

cultural diversity.” [16] Before going forward, why not take a minute and

complete the Cultural Intelligence Questionnaire?

Cultural Intelligence Questionnaire

Instructions: Read the following questions and select the answer that

corresponds with your perception. Do not be concerned if some of the items

appear similar. Please use the following scale to rate the degree to which each

statement applies to you.

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. When I’m interacting with someone from a differing culture, I recognize

when I use my familiarity of that person’s culture during my

interactions. _____

2. I believe effective intercultural interactions come from a place of

understanding of cultural similarities and differences. _____

3. During intercultural interactions, I am well aware of the cultural

knowledge I utilize. _____

4. I always check my information about someone’s culture to ensure that

my understanding is accurate. _____

5. During my intercultural interactions, I try to be mindful of how my

perceptions of someone’s culture are either consistent with or differ from

reality. _____

6. I pride myself on knowing a lot about other people’s cultures. _____

7. I understand the social, economic, and political systems of other

cultures. _____

8. I know about other cultures’ religious beliefs, values, and behaviors.

_____

9. I understand how daily life is enacted in other cultures. _____

10. I know the importance of paintings, literature, and other art forms to

various cultures. _____

11. I enjoy reaching out and engaging in an intercultural encounter. _____

12. I often feel driven to meet new people from different cultures. _____

13. When given the opportunity, I am always willing to interact with

someone from a new culture. _____

14. I would have no problems familiarizing myself to the routines of a

different culture. _____

15. I appreciate being with people from other cultures and getting to know

them. _____

16. I can change my eye behavior and facial expressions to match the

cultural needs of an intercultural interaction. _____

17. I know how to interact nonverbally with people from different cultures.

_____

18. I can see when both talking and remaining silent are important in

different intercultural encounters. _____

19. I am aware of the importance of both space and spatial distance can be

when engaging with someone from another culture. _____

20. I am sensitive to another person’s nonverbal behavior, and can adjust

mine to match her or his behavior. _____

Scoring

Add items 1–5 (Intercultural Understanding) = ___________________

Add items 6–10 (Intercultural Knowledge) = ___________________

Add items 7–15 (Intercultural Motivation) = ___________________

Add items 16–20 (Intercultural Behavior) = ___________________

Interpreting Your Scores

Scores for each of the four factors (intercultural understanding, intercultural

knowledge, intercultural motivation, and intercultural behavior) can be added

to get a composite score. Each of the four factors exists on a continuum from

5 (not culturally intelligent) to 25 (highly culturally intelligent). An average

person would score between 12 and 18.

Based on Van Dyne, L., Ang, S., & Koh, C. (2008). Development and

validation of the CQS: The Cultural Intelligence Scale. In S. Ang & L. Van

Dyne (Eds.), Handbook of cultural intelligence: Theory, measurement, and

application (pp. 16–38). Armonk, NY: M. E. Sharpe. This measure was based

on the Van Dyne, Ang, and Koh four-factor concept, but all the items on this

measure are original and created by Jason S. Wrench.

According to Linn Van Dyne, Soon Ang, and Christine Koh, [17] cultural

intelligence consists of four unique parts: cultural understanding (metacognitive

CQ), intercultural knowledge (cognitive CQ), intercultural motivation, and

intercultural behavior. First, we have an individual’s cultural understanding, or

metacognitive CQ, which is an individual’s cultural awareness and

conscientiousness during interactions with people from differing cultures. In

essence, it’s one thing just to notice cultural differences, but something

completely different to critically analyze these differences and how you view

these differences through your own cultural filter. One of the best statements that

reflects the idea of metacognitive CQ is the idea that when you point your finger

at someone else, there are always four pointing back at you. When we see

cultural differences, these differences generally are noticeable because they

differ from our personal cultural perspectives of “normal.”

Second, we have intercultural knowledge, or cognitive CQ. Cognitive CQ refers

to an individual’s knowledge of another culture’s beliefs, norms, practices, and

communicative behavior. This factor of CQ is the one in which courses like

intercultural communication, which examines how people in various cultures

interact, can be very beneficial. Terri Morrison and Wayne A. Conaway wrote

one of the best-selling books on intercultural knowledge: Kiss, Bow, or Shake

Hands. [18] The book is designed for business professionals needing to know

quickly how to interact with people from various cultures in a business

environment.

The third aspect of CQ involves an individual’s motivation for CQ. In essence, is

an individual internally motivated to learn how to competently interact with

individuals from other cultures? If someone has no desire to be culturally

intelligent, then that individual will not magically become culturally intelligent.

Lastly, CQ involves an individual’s actual cultural behavior. You can have all the

knowledge and desire in the world, but if you do not put what you know into

practice, you’ll never be culturally intelligent. Ultimately, behavioral CQ looks

at an individual’s verbal and nonverbal communicative behavior when

interacting with people from other cultures. Ultimately, behavioral CQ is

probably the most important part of CQ, because it is the one most notably

observed by other people.

You may be wondering why CQ is important in organizational communication.

Actually, CQ is very important for both organizational communication and

modern business. David Livermore conducted a study examining the impact that

an eighteen-month CQ training program had on various organizations. [19] Of the

companies that participated in the project, 92 percent saw an increase in profits

during the eighteen-month program. All the organizations accorded some of the

increase in profits to the CQ training program.

KEY TAKEAWAY

Black, Asian, and Hispanic men and women will compose steadily

increasing percentages of the US labor force through at least

2050. Yet the total labor force will grow slowly as baby boomers

retire and the participation rate of women levels off after rising

rapidly in previous decades. Organizations that embrace a

diverse labor force will, as Cox and Blake summarized, enjoy a

recruiting edge in a shrinking labor pool and benefit from the

creativity, problem-solving, flexibility, and marketing insights

generated by diverse perspectives.

Since passage of the 1964 Civil Rights Act, businesses used by

the public are defined as public accommodations and therefore

cannot discriminate in whom they serve or hire on the basis of

race, color, religion, or national origin. Employment discrimination

is defined as practices that have a disproportionately adverse

effect on protected classes of persons. Legislation since the Civil

Rights Act has further prohibited employment discrimination

based on sex (including pregnancy), age (forty or older), disability,

genetic information, and military veteran status, or in retaliation for

protesting discrimination, filing a charge, or participating in a

lawsuit. Though job discrimination based on sexual orientation is

not prohibited by federal law, many state and local governments

and agencies have extended this legal protection.

Although organizations are increasingly willing to provide some

measure of daily schedule flexibility for their employees, they

have been less willing in recent years to give significant time off

(beyond what the law requires) to employees who desire a career

break for parenting or other caregiving responsibilities. Even so,

large majorities of employees who do have access to scheduling

flexibility seldom or never use it. The reason is not that

supervisors are unresponsive. Rather, the cultures of most

workplaces assume that strong organizational identification and

dedication should be the norm. Awareness of how organizational

identity and identification are formed can help you assess the

processes occurring around you and help you make informed

choices for balancing work and life.

EXERCISES

1. Throughout the section exercises in this chapter, you have

thought about a specific organization to which you have belonged

—perhaps a sport teams, a club, a house of worship, a

workplace, or the college you attend. Think one more time about

this organization. Could it benefit from taking a more proactive

stance toward recruiting a diverse membership? If so, make a list

of how the organization would gain a recruiting edge over other

organizations, and how a greater diversity of perspectives within

its membership could improve creativity and problem solving and

Prejudice :

Discrimination:

Ethnocentrism:

Stereotypes :

help the organization do a better job of getting its message out to

a diverse public. Think of specific instances when the

organization’s actions could have been more effective if its

membership and leadership were more diverse.

2. Chances are that you have struggled with balancing your

personal life with your work—whether that work was a job, or

school, or your involvement in community organizations or clubs.

To what extent do you think that your decisions about the amount

of time you spend at work, at school, or in other involvements are

shaped by your identification with the organization in question? To

what extent is it shaped by the norms and expectations of that

organization’s culture? Has there ever been a time when you

overcommitted yourself? Why? Jot down your thoughts. How

could the information in this chapter have helped you make more

informed choices?

KEY TERMS AND DEFINITIONS

The unseen attitudes that lead to discrimination.

The observable actions that are prompted by prejudicial attitudes.

The belief that one’s own culture is the most natural and is superior to others.

Generalizations that ascribe certain traits to all members of a social classification; for example, older persons are forgetful, women are emotional, the differently abled are helpless, religious believers are

Work-Life Balance:

judgmental, gay men are effeminate, or persons of a given racial or ethnic heritage are lazy, or unscrupulous, or dirty, or timid.

Term often used to describe the issues that arise as individuals attempt to balance the sometimes conflicting demands of their work and their personal lives.

[1] Albert, S. A., & Whetten, D. A. (1985). Organizational identity.

Research in Organizational Behavior, 7, 263–295.

[2] Bureau of Labor Statistics. (2012, July 25). Number of jobs held, labor

market activity, and earnings growth among the youngest baby boomers:

Results from a longitudinal survey summary. Retrieved from

http://www.bls.gov/news.release/nlsoy.nr0.htm

[3] Toossi, M. (2006, November). A new look at long-term labor force

projections to 2050. Monthly Labor Review [electronic version]. Retrieved

from http://www.bls.gov/opub/mlr/2006/11/art3full.pdf

[4] Cox, T. H., & Blake, S. (1991). Managing cultural diversity:

Implications for organizational effectiveness. Academy of Management

Executive, 5(3), 45–56.

[5] US Equal Employment Opportunity Commission. (n.d.). EEOC charge

receipts by state (includes U.S. territories) and basis for 2011. Retrieved

from http://www1.eeoc.gov/eeoc/statistics/enforcement/state_11.cfm

[6] US Equal Employment Opportunity Commission. (n.d.). Prohibited

employment policies/practices. Retrieved

from http://www.eeoc.gov/laws/practices/index.cfm

[7] Most scenarios in this section are adapted from US Equal

Employment Opportunity Commission. (1998–2009). Compliance

manual. Retrieved from

http://www1.eeoc.gov/laws/guidance/compliance.cfm

[8] Allen, B. J. (2011). Difference matters: Communicating social identity.

Long Grove, IL: Waveland.

[9] Matos, K., & Galinsky, E. (2012). 2012 national study of employers.

New York, NY: Families and Work Institute, p. 6.

[10] Matos, K., & Galinsky, E. (2011). Workplace flexibility in the United

States: A status report. New York, NY: Families and Work Institute, pp.

12–13.

[11] Matos, K., & Galinsky, E. (2011). Workplace flexibility in the United

States: A status report. New York, NY: Families and Work Institute, p. 5.

[12] Matos, K., & Galinsky, E. (2011). Workplace flexibility in the United

States: A status report. New York, NY: Families and Work Institute; p. 14.

[13] Matos, K., & Galinsky, E. (2011). Workplace flexibility in the United

States: A status report. New York, NY: Families and Work Institute, p. 14.

[14] Riggio, R. E. (2010). Emotional and other intelligences. In R. A.

Couto (Ed.), Political and civic leadership (pp. 997–1005). Thousand

Oaks, CA: Sage.

[15] Earley, P. C., & Ang, S. (2003). Cultural intelligence: Individual

interactions across cultures. Palo Alto, CA: Stanford University Press.

[16] Ang, S., & Van Dyne, L. (2008). Preface and acknowledgments. In

Handbook of cultural intelligence: Theory, measurement, and applications

(pp. xv–xviii). Armonk, NY: M. E. Sharpe, p. xv.

[17] Van Dyne, L., Ang, S., & Koh, C. (2008). Development and validation

of the CQS: The Cultural Intelligence Scale. In S. Ang & L. Van Dyne

(Eds.), Handbook of cultural intelligence: Theory, measurement, and

application (pp. 16–38). Armonk, NY: M. E. Sharpe.

[18] Morrison, T., & Conaway, W. A. (2006). Kiss, bow, or shake hands:

The bestselling guide to doing business in more than 60 countries (2nd

ed.). Avon, MA: Adams Media.

[19] Livermore, D. (2009). The results of cultural intelligence [Technical

report]. Grand Rapids, MI: Global Learning Center.

8.4 Chapter Exercises

REAL-WORLD CASE STUDY

An important and frequently cited article in the literature on

organizational identity explored the case of the Port Authority of

New York and New Jersey. [1] Established in 1921, the Port

Authority develops and operates transportation facilities that serve a

two-state region. These include three airports (Kennedy, LaGuardia,

and Newark), a major downtown bus terminal, a train service,

various bridges, tunnels, and harbor facilities, and—at the time the

study was conducted in the 1980s—the World Trade Centers in

Manhattan. Researchers Jane Dutton and Janet Dukerich

interviewed managers and employees and found they most

frequently described the Port Authority’s identity as a technically

expert professional organization and not a social services agency,

as ethically high minded, as a superior provider of quality

transportation services, as committed to the betterment of the region

and indeed a symbol of the region, as a “fixer” with an “can-do”

ethos, and as a “family” that deserved employee loyalty.

This identity was externally challenged in 1982 when the numbers of

homeless persons frequenting the downtown Port Authority bus

terminal increased. Improvements in the Manhattan real estate

market prompted closure of many single-occupancy hotels, putting

hundreds of men on the street. Their increasing presence at the bus

terminal was all the more noticeable because the Port Authority had

just completed a major facelift and enlargement of the facility.

The Port Authority, which maintains a large police force, saw the

homeless as a police issue and invoked New York’s antiloitering law

to evict offenders from the terminal. By 1985, however, the

homeless could be found not only in the bus terminal but in the Port

Authority’s flagship facilities, including its three airports and the

World Trade Centers. Now the homeless were an issue not just for

the bus terminal but for the entire organization. Facility managers

were compelled to formally budget funds for dealing with the

problem. Their focus was still on removing the homeless, but now

the bus terminal managers sought out social services agencies to

take them.

Several events in 1987 marked a turning point. New York City

repealed its antiloitering law; the appearance of crack cocaine in the

city increased the number of homeless persons; and the police

union, to gain leverage in a contract dispute, circulated negative

stories about the Port Authority in the press. Public concerns were

voiced that the Port Authority was inhumanely evicting the

homeless. Recognizing that a coordinated response was needed,

the Port Authority formed a centralized Homeless Project Team and

funded a research project. For the organization, homelessness had

now become a business problem with a moral dimension. By 1988,

Port Authority leaders publicly argued that homelessness was a

regional problem and funded construction of two drop-in centers,

one near the bus terminal and the other near the World Trade

Centers. But when municipal authorities balked at running the

shelters, Port Authority personnel became increasingly resigned to

—and began to feel heroic about—dealing with the homeless

themselves. By the time Dutton and Dukerich ended their research

in 1989, the Port Authority had come to see itself as a “quiet

advocate” for the homeless and was even bolstering the economic

competitiveness of the region by providing model leadership on an

issue faced by transportation services in cities and regions

nationwide.

1. How did the Port Authority’s organizational identity change? At the

same time, how was the changed identity rooted in its original

identity as technically expert, professional, ethical, a service

provider, a “can-do” fixer, and a regional symbol?

2. Using Hatch and Schultz’s organizational identity dynamics model

(see Figure 8.2), explain how the Port Authority’s identity and

culture were interrelated, and how its identity and image were

interrelated.

3. Cheney and Christensen argued that organizational identity

strongly affects the problems that corporate leaders “see” and

their strategies for managing those issues. To what extent was

this dynamic at work in the Port Authority’s responses to the

homelessness issue? Did the Port Authority’s public

communication ever reach the point of being autocommunicative;

that is, the organizational mostly talking to itself?

4. Dutton and Dukerich found that many of the personnel they

interviewed exhibited a strong identification with the Port

Authority. Using Ashforth and Mael’s framework (in-group

distinctiveness and prestige, awareness of and competition with

other groups), how do you think these employees formed such a

strong organizational identification? Using Alvesson and

Willmott’s model, how do you think these employees’ identity work

was shaped by the discourses of Port Authority management?

5. Dutton and Dukerich did not document the diversity of the Port

Authority’s management and workforce. But as a general

proposition, how do you think a diverse and multicultural

organization might have approached the homelessness issue

described in the case study? Would the response be different

than the response of the Port Authority?

END-OF-CHAPTER ASSESSMENT

1. According to Albert and Whetten’s original definition, organizational identity refers to features of an organization

that are

a. internal, external, and environmental b. formal, informal, and cultural c. cognitive, affective, and behavioral d. central, distinctive, and enduring e. structural, cultural, and adaptive

2. According to Hatch and Shultz, organizational identity is distinguishable from organizational culture because it is

a. contextual, tacit, and emergent b. textual, explicit, and instrumental c. internal, self-referential, and singular d. external, other-focused, and multiple e. cognitive, affective, and behavioral

3. According to Ashforth and Mael, organizational identification is a

a. set of feelings b. set of behaviors c. set of guiding principles d. cognitive construct e. cultural assumption

4. According to Tompkins and Cheney, when organization members discipline themselves to conform to desired norms the organization has achieved

a. simple control b. technical control c. bureaucratic control

d. cultural control e. concertive control

5. According to Alvesson and Willmott, management engages in discursive strategies to shape the processes of employees’ identity formation; these discourses are called

a. identity construction b. identity work c. identity regulation d. identity control e. identity production

Answer Key

1. d

2. b

3. d

4. e

5. c

[1] Dutton, J. E., & Dukerich, J. M. (1991). Keeping an eye on the mirror:

Image and identity in organizational adaptation. Academy of

Management Journal, 34, 517–514.

Chapter 9

Teams in the Workplace

We = Power

In your college experience, one of your professors will most likely assign you to

work on a group project. Sometimes, your professor will allow you to choose the

other members of your group, and sometimes you are not allowed to pick your

group members. Unless you are very fortunate, you probably did not have a very

good experience working on the group project. This is because most people do

not know how to work in groups. To be more specific, most people do not know

how to interact or communicate in groups and teams. Oftentimes, there might be

what Andy Hargreaves and Ruth Dawe identify as “contrived collegiality,” in

which everyone works on similar jobs as quickly as possible, they don’t discuss

anything, they make poor judgment decisions, and they are more concerned with

completion than with quality. [1]

Many people work together in teams in organizations. Think about all the teams

and groups that you belong to, such as family, friends, work, or church. We are

involved with a variety of groups for different reasons. You are probably

involved with certain groups and teams based on your abilities, experiences,

and/or talents. Your participation and the degree to which you contribute will

often depend on the communication interactions in that group. In this chapter, we

will discuss the importance of teams. We will discuss the characteristics of

teams, types of teams, and the downside to teams.

Is this a group or a team?

© Thinkstock/iStock

[1] Hargreaves, A. & Dawe, R. (1990). Paths of professional

development: Contrived collegiality, collaborative culture, and the case of

peer coaching. Teaching and Teacher Education, 6(3), 227–241.

9.1 Group

LEARNING OBJECTIVES

1. Explain the definition of group.

2. Differentiate between group and team.

3. Understand the models of team development.

4. Understand the stages of the team performance model.

Looking at Figure 9.1, can you tell if it is a group or a team? How do you know

it is a group? Many organizations have several different kinds of groups. These

groups can be informal or formal. Formal groups are usually assigned by a

supervisor or higher administrator. Formal groups can include sales teams, work

teams, problem-solving groups, management teams, and unions. Informal groups

usually occur due to common interests and/or social compatibility. Informal

groups can include office parties, coffee breaks, poker night, carpooling, and

complaining sessions. Informal groups do not have specific rules about

membership or the types of communication in that group. Every group is

essential for people to accomplish their tasks and seek social support.

John Baird defined group as “a collection of more than two persons who

perceive themselves as a group, possess a common fate, have organizational

structire, and communicate over time to achieve personal and group goals.” [1]

In essence, a group is two or more individuals who communicate with each other

@ Thinkstock/iStock

to attain their goal. Because this is a book on organizational communication, a

group in this context will have specific goals, influence, and interactions. These

specific goals might be to have an advertising campaign completed, financial

portfolios on all the organization’s clients completed, or updating new

technology programs on all the computers in the organization. Influences that

groups might have include helping management understand the importance of

having a day-care facility on site or assisting managers in acquiring potential

resources for employees. Interactions might include coworkers being informed

about specific changes in the organization or warnings that employees should be

aware of. Notice that the key importance in these definitions is the word

communication. For instance, five people waiting for the bus is not a group.

They all have the same goal: to get on the bus. However, each person is not

influencing the others, and they do not have to communicate with each other.

Group members need to be able to communicate with each other. Organizations

will often use groups to accomplish organizational goals. Work groups are

created to perform tasks in an efficient and effective manner. Problem-solving

groups are used to discuss organizational dilemmas. These groups will convene

to examine, analyze, and disseminate information.

Group versus Team

You have probably heard the old saying that there is no “I”

in “TEAM.” And it’s true! However, do you know what the

differences are between a group and a team? Most people

might say that a team has a common goal or purpose. In

Which of these two

groups is a team? Why?

© Thinkstock/iStock

addition, they might say that each person on a team is

interdependent. In other words, each person on the team

recognizes that every person is valuable and knows what

needs to be done to accomplish the team goal. [2]

On the other hand, groups might include people who have

similar roles or tasks, such as all medical nurses. Groups

can eventually become teams. The main difference is that

teams need to support each team member. It takes a lot of

characteristics for a group to become a team. The main difference is that in a

team each individual is responsible not only for her or his own efforts and

contributions to the group but also for the collective outcome of the group.

Moreover, the emphasis is not on the individual but on the team. Hence, the

communication is different, because in teams, people want to discuss and come

to a conclusion about how to solve the problem. In groups, the main reason

people communicate is to share information without much discussion. These

differences are displayed in Table 9.1.

Table 9.1 Differences between Groups and Team

Groups Teams

Every person is accountable. Everyone is accountable for their work to the group and for others'

work.

The focus is to share

information and opinions. The focus is to discuss, make decisions, solve problems, and strategize.

Emphasis is on individual

goals. Emphases is on team goals.

Outcome is on each individual's

contribution. Outcome is on the entire group's contribution.

Every person's roles and tasks

are identified.

Every person's roles and tasks are identified with regard to helping the

collective effort. Each person can often switch and allocate parts of

their tasks to others.

The focus is each person's

outcome and struggles. The focus is the team's outcome and struggles.

The objectives and goals of the

group are placed by a manager

or leader

The objectives and goals of the group are placed by a team leader with

team members.

Tuckman's Model of Groups

Bruce Tuckman’s model of groups is well known for explaining how teams

develop. He noted that the stages of team development are forming, storming,

norming, and performing (Figure 9.1). [3] Tuckman realizes that groups will have

many differences in assumptions, values, and goals. This model addresses the

groups’ need to examine and resolve certain questions before the group can work

together effectively. In this model it is important for team members to recognize

that before the team can move forward from one stage to another, they need to

make sure that the core issues are being met. If the team does not move forward,

then it means that certain issues are not being satisfactorily met. This model also

helps team leaders identify signs that issues need to be addressed appropriately

before the team can actually perform their task effectively.

Step 1: Forming

The group is in its beginning or forming stage. Individuals are trying to figure

out the climate and the types of communication that would be appropriate.

Members heavily rely on the team leader for direction and information.

Members are still trying to develop their relationships and associations with

others. For instance, one of the authors of this book was involved on a job-search

committee. The organization picked the members and expected the group to pick

a leader. It was pretty chaotic, because everyone was still trying to figure out

everyone else. Hence, communication is very basic at this level. People are

trying to learn names and make connections with others.

Step 2: Storming

In this phase, conflict or storming is present. Members communicate to obtain

influence and acknowledgment. Members may become polarized or take stands

on certain issues. Conflict can arise out of personal or task-related issues. If the

group can confront and solve the problems, then they can move toward the next

stage. In the job-search committee example, after the group leader was selected,

conflict arose in whom we thought we should hire and why. Everyone had their

own opinion on the matter. Communication in this stage may be problematic. It

is important to understand the perceptions and perspectives of others. A person’s

culture or background may influence how others understand and process their

intent.

Stage 3: Norming

Unlike the previous stage where conflict was present, the group moves toward

more open and accepting styles of communication. The group wants to work in

an effective and harmonious manner. As group norming occurs and patterns of

group behavior emerge, more team members feel better due to the fact that the

communication has changed from a confrontational style to a nonconfrontational

style. Members have shared values and attitudes. There is a difference between

behaviors and feelings. In the previous example, after the members understood

their roles and their agendas, the group was more cohesive in terms of

determining what to do next.

Stage 4: Performing

In this stage, members can concentrate on performing the group’s task. Because

they have been able to solve the group’s problems, they can direct their energy

toward the completion of the task. Group members feel a better sense of shared

responsibility and a sense of personal accountability. With the job-search team,

after everyone was able to communicate and share their opinions, the group was

able to produce quality results for finding the right candidate for the job.

It is important to note that the stages can overlap and that a group can repeat the

stages. Some groups may go through the stages very quickly, while others may

be in one stage for a very long time. Communication can be used as a tool to

advance the work of teams and even be used to analyze and overcome problems.

By learning the different stages, we can make sure that our communication can

be effective. We are sure that you can think back on group projects you have

worked on and recognize the storming and forming phases are real. If you are

involved with groups where forming and storming are preventing you from

accomplishing the task at hand, you need to address your group and their

concerns before you can move forward.

Figure 9.1 Tuckman’s Model of Groups

Team Performance Model

Many times, team leaders will try to form groups using ice breakers, enforcing

the idea of professionalism, assuming that norms will counteract the group’s

differences, and relying solely on agendas and activities to compensate for the

group negativity or dissatisfaction. [4] One new model that illustrates a better

way of developing teams is the Team Performance Model developed by Allan

Drexler, David Sibbet, and Russ Forrester (2009). [5] The model consists of

seven stages that illustrate how a team can be formed and then complete a task:

orientation, trust building, goal clarification, commitment, implementation, high

performance, and renewal (Figure 9.2).

Stage 1: Orientation

In this beginning phase, group members come together and ascertain the task or

directive at hand. Most of the time, these individuals do not have a work history

with the other people on the team. Hence, group members may question their

purpose with the group. For that reason, team members must be informed about

how the group was formed and the reason why each person was selected for that

task. Drexler et al noted that if a certain individual feels unsatisfied for being on

this team, then they will experience puzzlement, indecision, and possibly fear.

Moreover, if certain members feel disconnected from the group, then they will

focus on this disconnection and possibly make the other group members feel

uncomfortable. The disconnected group member may become more reserved and

detached from the group. In some conditions, the disconnected group member

might make some uncalled-for comments and possibly never attain much value

in the team’s mission. For instance, one of the writers of this book was asked to

be on a group analyzing other graduate programs. It was very nerve-racking,

because none of the group members knew each other or why they were put

together. The team leader explained that we were selected based on our

experiences, and we could provide the best input.

Once the orientation stage is settled, group members are in the process of

becoming a team. Everyone in the group has a new perception of the group as a

team, and they use terms like “us,” feel a connection with the group’s purpose,

and think about the team’s possibilities for achievement.

Stage 2: Trust Building

Most everyone will agree that trust is an essential element for team performance.

A team is interdependent. Thus, group members have to be able to give up

control and reliance on others so that they can execute their task. Think about all

the people you trust and how over time this trust has allowed you to know those

people even better. In the previous example about the group analyzing graduate

programs, each person in the group had a specific task and a deadline. Each

member had to trust the other members to complete their tasks, otherwise the

group would fail and not be able to accomplish their goal. The same holds true in

teams. The development of trust allows teams to create more efficiency. If teams

lack trust, then they will be more guarded of others and not be willing to

communicate the truth. Teams that lack trust will also lack integrity because

group members are not expressing their true feelings and opinions. The result is

that these behaviors hinder the legitimacy and genuineness of the work. At the

same time, lack of trust will prevent cooperation and collaboration among the

group members.

Stage 3: Goal Clarification

In this stage, team members are trying to figure out the team’s ultimate goal(s)

and their agenda. Team members create a shared vision with clear and concise

goals. They have explicit assumptions with each other about the goal. In the

previous example, it was at this stage that certain group members were wary

about their comments and were worried their comments would not be taken

seriously. The team leader had to meet with the group again to reassure them that

their comments were valuable for the success of the organization. At this stage,

some members become apathetic or skeptical about the goal. In addition, there

may be some extraneous competition among group members. The key factor in

this stage is to make sure all group members know the goal or expected outcome

for the group.

Stage 4: Commitment

After the group is clear in their goal, there needs to be some communication

about certain roles. Group members need to collectively decide how resources

such as time and effort will be allocated and utilized for maximum efficiency.

Each member realizes that her or his comments are important, so they work

harder to accomplish the goal. There will be group members who become

dependent on others to complete their task, which will delay the outcome. There

will also be some resistance from group members who may have different

perceptions as to how their time and effort could be used best.

Stage 5: Implementation

Once the decision is made on how each person will contribute to the group’s

goal, there will be a better sense of the execution of that goal. Teams are

informed with all the basic information of who, what, when, where, and why.

Teams can move forward and implement the task. They can put all their

resources, comments, and input together and finalize their task. There may be

conflicts at this stage. Team members may miss deadlines and may feel nonallied

in the team’s main object. If group members can figure out what works best, then

work can be completed.

Stage 6: High Performance

When all group members know when and who is doing what toward their team’s

goals, a group reaches a state of high performance. They may realize that the

methods have been performed well, and then they can be more flexible. They are

more likely to marvel at their progress and possibly surpass expectations. In this

stage, there is more interaction and synergy. Disgruntled team members may feel

disharmony or overburdened, so it is important that the team be able to adapt and

accommodate all group members to be able to perform effectively. After the

group gets into a groove and is committed to finishing the task, they will be

amazed at the results.

Stage 7: Renewal

After the team has completed their task, they may ask whether it is worth it to

continue or add new members. The team needs time to reflect on whether they

should continue, stop, or form a new team. Often, team members will feel

burnout or boredom after the task has been completed. The team needs to take

time to celebrate the completion of their goals and recognize key team members.

In the previous example, the team leader took everyone out to dinner to celebrate

a job well done.

The benefit of this model is that it allows us to understand the communication

situations that can occur during each phase. The model illustrates the importance

of having such conversations at each stage.

Figure 9.2 Team Performance Model

KEY TAKEAWAY

Groups can be informal or formal.

There are many differences between groups and teams. Group

stresses individual outcomes, whereas team stresses individual

and collective outcomes. The individual is a key element in the

group. Teams share responsibility. Moreover, the communication

is very different.

Team development takes place in phases: forming, storming,

norming, and performing.

The team-developmental model showcases seven stages that

groups go through before they can work efficiently and effectively

as a team.

EXERCISES

Forming:

Group :

Norming :

Performing :

Storming :

Team:

1. Think about a group you are currently working in at work, home,

church, or elsewhere. Fill out the survey found here:

http://www.nwlink.com/~donclark/leader/teamsuv.html. After

completing the measure, what did you learn about your group?

What can you do to improve your group communication?

2. Looking at the team performance model, what do you think is the

hardest stage? Why? What do you think is the easiest stage? Do

you think this model is accurate? Why or why not?

3. Create a list of at least two groups and two teams that you belong

to. What differences do you see between these two lists and the

types of organizational accomplishments they’ve had?

KEY TERMS AND DEFINITIONS

The first stage in the formation of a group when members are making sense of their participation.

Two or more people who think they are a group and have a common goal(s), structure, and interactions to achieve their desired goals.

The third stage in the formation a group when norms for group interaction emerge.

The fourth stage in the formation of a group when members can concentrate on group tasks.

The second stage in the formation of a group when members are negotiating their participation.

A group in which members feel responsible both for their own efforts and for collective outcomes.

[1] Baird, J. E., Jr. (1977). The dynamics of organizational

communication. New York, NY: Harper & Row, p. 9.

[2] Lee, G. V. (2009). From group to team: Skilled facilitation moves a

group from a collection of individuals to an effective team. Journal of Staff

Development, 30(5), 48–49.

[3] Tuckman, B. W. (1965). Developmental sequences in small groups.

Psychological Bulletin, 63(6), 384–399.

[4] Lee, G. V. (2009). From group to team: Skilled facilitation moves a

group from a collection of individuals to an effective team. Journal of Staff

Development, 30(5), 48–49.

[5] Drexler, A., Sibbet, D., & Forrester, R. (2009). The team performance

model. San Francisco, CA: Grove Consultants.

9.2 Types of Teams

LEARNING OBJECTIVES

1. Define work team.

2. Explain parallel team.

3. Describe project team.

4. Explain management team.

5. Differentiate among the different types of teams and their

importance.

Work Team

When you think of work teams, you might think back to Chapter 3 when we

talked about workers who were shoveling coal or on assembly lines trying to

complete a task. A work team is a group of workers, usually appointed, who

strive to carry out a specific task or series of tasks. Richard Wellins, William

Byham, and Jeanne Wilson defined work teams as “an intact group of employees

who are responsible for a ‘whole work process or segment that delivers a

product or service to an internal or external customer." [1] When we work for an

organization, our supervisors and/or managers will usually assign work teams for

us. These teams can differ in type and size. These groups are vital to the

organization’s longevity and overall success. Wellins, Byham, and Wilson noted

that several major corporations, such as General Mills and AT&T, had significant

results in productivity with the use of work teams. To have effective work teams,

organizations must allow for empowerment. [2] As you can imagine, if a group

is given the task of solving an organizational dilemma but not allowed to execute

it, then it does nothing but frustrate the group. Wellins, Byham, and Wilson

explained that there is a relationship with the degree of group empowerment and

the group responsibility.

Susan Cohen and Diane Bailey analyzed work teams and discovered that there

are many elements to their organizational performance: [3]

Group composition. How does the size, diversity, and experience of the

group members influence the team?

Task design. How does the constitution and difficulty of the team’s task

impact their performance?

Organizational context includes reward/punishment procedures and the

type of supervision that the team experiences.

Internal processes are the amount of teamwork and/or conflicts that occur.

Group psychological traits include group norms that influence the team’s

performance. Is the group cohesive and cooperative?

Effectiveness refers to not just the outcome of the task but also the

perceptions of satisfaction, commitment, retention, and absenteeism.

Cohen and Bailey noted that work teams are viewed as the ideal way to make

decisions in organizations. This is because work teams have flexibility,

originality, and adaptability. There are many advantages to work teams,

including the following:

Empowerment of members to have a more straightforward part in the

decision-making process

The development of a more multiskilled workforce than a deskilled

workforce

The advancement of stronger team synergies that produce more creativity in

decision making

The subordination of the individual’s agenda to the task

Better decisions by grouping talented team members together.

Better autonomy due to direct supervision

More commitment to the organization and its goals

Overall higher productivity levels [4]

Parallel Team

Collateral organizations are also called parallel teams. [5] These are groups that

are usually created “outside regular authority and communication structures to

identify and work on problems that the formal organization is unwilling or

unable to deal with.” [6] For instance, an organization like a university can hire a

parallel team to create better advertising and marketing campaigns and let them

focus on educating students. Parallel teams can be very beneficial because they

usually happen outside the organization itself.

Project Team

Another type of team is called the project team. These are work groups created

for a particular task. [7] Project teams often use individuals with specialized skills

to achieve a goal in a predetermined amount of time. Some examples of project

teams might include creating a new model or determining the best application

for technology. Usually, project team members are selected for their experience

and/or expertise in a specific area. Robert Keller discovered that teams with

challenging tasks were more likely to process information more resourcefully, in

turn creating a better quality outcome. These teams are usually created very

quickly and with a detailed objective. Oftentimes, these group members do not

have time to spend on getting to know the other members.

Project teams have to work quickly to complete their task.

© Thinkstock/iStock

Management Team

Another type of team is called the management team. [8] These teams consist of

employees who have the highest organizational management levels and have the

duty of maintaining the organization. These members possess leadership and

authoritative powers that are given to them by shareholders and/or a board of

directors. You’ll notice that all the organizational positions in The C-Suite

sidebar start with the word chief. Because the word chief is listed in all these

positions, the group of executives who embody these different roles are often

referred to as the C-suite in organizational literature. Some of the positions that

are part of a management team can be seen in the sidebar.

The C-Suite

Chief executive officer (CEO). This person is usually responsible to the

entire organization and communicates with the board of directors and/or

chairman of the organization. The CEO has to execute the board of

directors’ decisions and preserve the organization’s functions and goals.

Sometimes the CEO is also president of the organization.

Chief operations officer (COO). This person primarily focuses on sales

and production. They typically are more involved than the CEO, yet

they are in constant communication with the CEO. The COO is

sometimes recognized as a vice president of the organization.

Chief financial officer (CFO). This person focuses on the financial

aspects of the organization. The CFO reviews and evaluates all financial

data, budgets, and costs associated with the organization. The CFO often

explores the financial stability and uprightness of the organization. The

CFO presents this information to the board of directors and

governmental regulatory affiliates such as the Securities and Exchange

Commission. The CFO is also known as a senior vice present.

Chief technology officer (CTO). This person reports to the CEO and is

mainly accountable for the technological advances and matters in the

organization. This can also include any scientific innovations or

discoveries.

Chief learning officer (CLO). This person reports to the CEO and is

accountable for all training and human performance-improvement

activities within the organization. This individual usually has a

background in education, instructional design, and adult learning.

Chief diversity officer (CDO). This person reports to the CEO, and her

or his duties include assessing, cultivating, defining, and nurturing

cultural diversity as an organizational resource. Other common duties

include affirmative action/equal employment opportunity and ensuring

the creation of an inclusive climate within the organization itself.

Overall, the organization management team has many key individuals who

maintain the organization’s mission and goals. These individuals must

communicate with each other so that the organization can run effectively and

efficiently. Moreover, they must be able to handle crises and resolve problems

successfully for the organization’s prosperity and future success.

KEY TAKEAWAY

Work teams are integral for an organization because they have

the objective of completing certain outcomes.

Parallel teams are formed externally. Parallel teams look at

specific items that the organization might overlook or not perceive

accurately.

Project teams are composed of specific/specialized members who

need to reach a goal in a set amount of time.

Management teams have the responsibility of running and

maintaining the organization. Many different people with specific

tasks keep the organization running in an efficient and effective

manner.

EXERCISES

1. Thinking back to your most recent job, what types of groups did

you have and what did you do?

2. Thinking back to your most recent job, what type of

communication happens in these groups?

3. What management team members did you see at the

organization that you worked for in the past? If no one, then what

management team position do you think is most important at your

Empowerment:

Management Team:

Parallel Teams:

Project Team:

Work Team:

current organization? Why?

KEY TERMS AND DEFINITIONS

The process of letting groups make choices and decisions that will lead to desired outcomes.

This group is in charge of the daily responsibility of directing the organization.

A team created externally from the main organization to work on specific objectives.

Specific and/or specialized individuals selected to accomplish a goal in a fixed amount of time.

A group of workers, usually appointed, who strive to carry out a specific task or series of tasks that have been defined by the organization.

[1] Wellins, R., Byham, W., & Wilson, J. (1991). Empowered teams. San

Francisco, CA: Jossey-Bass, p. 3.

[2] Eisenberg, E. M., & Goodall, H. L., Jr. (1993). Organizational

communication: Balancing creativity and constraint. New York, NY: St.

Martin’s Press.

[3] Cohen, S. G., & Bailey, D. E. (1997). What makes teams work: Group

effectiveness research from the shopfloor to the executive suite. Journal

of Management, 23, 239–290.

[4] Mumby, D. K. (2013). Organization communication: A critical

approach. Los Angeles, CA: Sage.

[5] Fisher, D. (2000). Communication in organizations (2nd ed.). New

York, NY: Jaico.

[6] Fisher, D. (2000). Communication in organizations (2nd ed.). New

York, NY: Jaico, p. 322.

[7] Keller, R. (1994). Technology-information processing fit of contingency

theory. Academy of Management, 37(1), 167–179.

[8] Menz, M. (2012). Functional top management team members: A

review, synthesis, and research agenda. Journal of Management, 38(1),

45–80.

9.3 The Downside to Teams

LEARNING OBJECTIVES

1. Explain the concept of groupthink.

2. Explain the concept of “risky shift.”

3. Describe team conflict.

4. Discuss social loafing.

5. Describe and explain the negative aspects of teams and how to

prevent them from happening.

© Thinkstock/iStock

Not only are there different types of groups and teams, but there are also

different types of outcomes and challenges that groups can encounter. In this

section, we will look at some of the negative challenges to teams. In this section,

you will learn about the downside to teams and ways to prevent them from

happening.

Groupthink

Irving Janis (1983) brought attention to the idea of “groupthink.” [1] Janis

described groupthink as a group’s inclination to defer critical thinking and

accept solutions without much consideration. Groups that encounter groupthink

misjudge their own resources, find supporting evidence, and evade analyzing

opposing ideas. Groupthink usually occurs when a crisis is discovered. Think

back to an organization that you were involved with and how the crisis was dealt

with. Was it handled in a responsible and ethical manner? Why or why not?

Why Groupthink Happens

Groupthink happens when members fail to consider alternatives or suggestions.

Hence, when one member offers input, the other members of the group do not

question or reflect on the advantages or disadvantages of the decision. Therefore,

it is good to have members who challenge an idea or provide other

considerations. It has been stated that the Bay of Pigs Invasion during the

Kennedy administration was a classic example of groupthink. [2] Another current

example of groupthink occurred in 2001, when the United States Congress

passed a controversial terrorism bill. [3] Many citizens felt that Congress passed

the bill too quickly based on the tragedy and aftermath of September 11. They

felt that Congress was so rushed in wanting to do something that they did not

consider how the bill would be perceived and the effects it would have on others.

Oftentimes, groupthink can occur when there is a crisis. How do you handle

crises? Think about a crisis that you have been involved in and use that

information when you answer the questions. Take a few minutes to complete the

crisis knowledge index. Compare your answers with those of others in your

class. How can identifying a crisis help you prevent groupthink? How can

identifying a crisis allow for groupthink to happen?

Janis noted that groupthink is “a mode of thinking that people engage in when

they are deeply involved in a cohesive in-group, when members’ striving for

unanimity overrides their motivation to realistically appraise alternative courses

of action.” [4] Groupthink happens quite often. Think about a group meeting that

you have been involved with. Perhaps one person in the group will offer a

suggestion and/or idea, then everyone in the group agrees with it without

thinking about the negative or positive consequences of the idea. People do this

all the time because the person who offered the idea might be a highly powerful

member, others don’t want to disagree, or there is not a huge stake in the

decision. At times, people will not offer resisting ideas or be a devil’s advocate

for an idea, because there may be consequences, or the person is fearful of what

others may think. Groupthink can cause frustration in individuals who feel that

their voices are not heard and their time is not valued. Hence, it is important to

provide opportunities for all group members to speak so that groupthink does not

occur.

Some examples of groupthink in noncrisis situations happen all the time. Think

of your family dinners, when one parent makes a suggestion for a meal and

everyone agrees without offering any other suggestions. This is a classic

example of groupthink. We might be so accustomed to one parent making the

decision that we don’t stop to question why we don’t have something else. For

instance, a child asked his mother if they could have something other than turkey

for Thanksgiving. The mother never thought about other options because the

family had always had turkey for Thanksgiving. After asking her son why, she

discovered that he didn’t want to have a turkey’s life sacrificed for their meal to

enjoy it together. So they decided to eat a vegetarian meal for Thanksgiving, and

it was wonderful.

Eight Symptoms of Groupthink

Now that we’ve discussed a little bit of the background of groupthink, let’s talk

about how to recognize groupthink and some of its indicators. Through his

research, Irving Janis came to notice eight consistent symptoms of groupthink:

1. Illusion of invulnerability

2. Collective rationalization

3. Belief in inherent group morality

4. Stereotypes of outsiders

5. Pressure on dissenters

6. Self-censorship

7. Unanimity

8. Self-appointed mindguards [5]

Groupthink Assessment Scale

Instructions: Read the following questions and select the answer that

corresponds with your perception about a group or team you currently belong

to. Do not be concerned if some of the items appear similar. Please use the

following scale to rate the degree to which each statement applies to you.

Strongly

Disagree Disagree Neutral Agree

Strongly

Agree

1. My group/team is overly

optimistic. 1 2 3 4 5

2.

My group/team leader will

always lead us to the correct

decision.

1 2 3 4 5

3.

Whatever my group/team

decides to do, I know it will be

the right decision.

1 2 3 4 5

4.

My group/team has no problem

taking big risks because we

know the risks will work out

for us in the end.

1 2 3 4 5

5. I often think to myself, no one

can stop my group/team. 1 2 3 4 5

6.

My group/team is always very

objective when attempting to

make decisions.

1 2 3 4 5

7.

When concerns are raised

about potential decisions, my

group/team quickly dismisses

them when they are deemed

out of sync with the majority

opinion.

1 2 3 4 5

8.

If a potential problem is raised

about a group/team decision,

my group/team tends to

discount these worries as

overly nitpicky.

1 2 3 4 5

When discussing a final

decision, my group/team

9. members are always able to

come up with a number of

reasons why our decision is the

right one and no reasons why

it’s not.

1 2 3 4 5

10.

If a group/team member raises

a possible criticism, my

group/team tends to discount

these warnings.

1 2 3 4 5

11.

I know the decisions my

group/team will come to will

be moral.

1 2 3 4 5

12. The decisions made by my

group are always ethical. 1 2 3 4 5

13.

My group can objectively

determine if a decision is moral

or ethical.

1 2 3 4 5

14.

My group/team’s cause is so

just and honorable, we don’t

need to consider moral or

ethical issues regarding the

decisions we make.

1 2 3 4 5

15.

My group/team is always

concerned about the ethical or

moral consequences of the

decisions we make.

1 2 3 4 5

16.

When it comes to the

competition, my group/team

knows there is nothing to

worry about at all.

1 2 3 4 5

17.

If outsiders question my

group/team, we just dismiss

them as being out of touch.

1 2 3 4 5

18.

If someone attempts to oppose

my group/team, we often see

evil intentions in their

opposition.

1 2 3 4 5

19.

When we compare ourselves to

our competitors, my

group/team knows that we are

clearly better than they are.

1 2 3 4 5

20. My group/team avoids

stereotyping outsiders as evil,

stupid, and/or weak.

1 2 3 4 5

21.

My group/team always

encourages people to share

different opinions.

1 2 3 4 5

22.

When someone expresses a

contrary opinion in my

group/team, they quickly

experience pressure to “get in

line” with everyone else.

1 2 3 4 5

23.

Loyal group/team members

would never express their

dissent with our decisions

openly.

1 2 3 4 5

24.

People who express dissent to

my group/team’s decisions are

just inhibiting the progress of

the group/team.

1 2 3 4 5

25.

My group/team always

encourages people to express

different points of view.

1 2 3 4 5

26. If I have any doubts about my

group/team’s decision, I just 1 2 3 4 5

keep them to myself.

27.

When the majority is already

on board, I don’t feel it’s

appropriate for me to express

any reservations about my

group/team’s decision.

1 2 3 4 5

28.

I feel perfectly comfortable

expressing any questions I have

about my group/team’s

decision.

1 2 3 4 5

29.

Even if the majority of my

group/team has supported a

specific decision, I feel

comfortable raising any

questions I may have about the

decision.

1 2 3 4 5

30.

If a group/team member has

doubts about a decision, they

generally keep them to

themselves.

1 2 3 4 5

31.

If someone isn’t actively

participating in the group/team

decision-making process, I just 1 2 3 4 5

assume he or she is on board

with the group/team’s decision.

32. My group/team always reaches

consensus very quickly. 1 2 3 4 5

33.

When my group/team members

comment on a specific

decision, it’s always to support

the decision.

1 2 3 4 5

34.

My group/team often engages

in heated arguments before

coming to a decision.

1 2 3 4 5

35. My group/team always reaches

a unanimous decision rapidly. 1 2 3 4 5

36.

If a group/team member is

getting out of line and

questioning a decision, there

are other group/team members

who get her or him back in

place.

1 2 3 4 5

If someone in my group/team

expresses dissent, another

37. group member will “whip her

or him into shape.” 1 2 3 4 5

38.

Everyone in my group/team is

allowed to freely express any

ideas without fear that someone

else will immediately shoot

them down.

1 2 3 4 5

39.

It’s very important for my

group to all be on the same

page, so anyone expressing

dissent is quickly told to “get

with the program.”

1 2 3 4 5

40.

My group/team members

readily apply pressure on each

other to prevent challenging or

questioning the opinion of the

majority.

1 2 3 4 5

Scoring

Items 1 to 5—Illusions of Invulnerability

Items 6 to 10—Collective Rationalization

Items 7 to 15—Belief in Group Morality

Items 16 to 20—Stereotyping

Items 21 to 25—Pressure on Dissenters

Items 26 to 30—Self-Censorship

Items 31 to 35—Unanimity

Items 36 to 40—Self-Appointed Mindguard

Interpretation

Scores for each of the eight symptoms of groupthink should range from 5 to

25. Scores between 5 and 14 are considered low, and scores from 15 to 25 are

considered high. Although this is not a clear-cut diagnosis of groupthink, if a

group scores consistently high across multiple symptoms, then the group may

be suffering from groupthink and should rethink its approach to decision

making.

This measure is based on Janis’ original ideas of Groupthink and was created

for this text.

Illusions of Invulnerability

The first symptom of groupthink is the illusion of invulnerability. This illusion

starts with the basis that the group simply cannot fail. When organizations take

on this illusion of invulnerability, they often take huge risks, thinking there is no

way that things could go wrong. In the economic downturn that started in 2008,

many banks had been taking huge gambles, thinking there was simply no way

that they could possibly fail. Unfortunately, those gambles did fail and wrecked

the US economy and the global economy in the process.

Collective Rationalization

The second symptom of groupthink is collective rationalization, or a group or

team’s tendency to discount warnings of decisions being made. For example,

when the US military entered Iraq in 2003, there was a strong belief that the

military would be seen as liberators and the Iraqi people would overwhelmingly

celebrate their presence. Even though there were voices in all the major

intelligence agencies that warned this simply would not be the case, the

administration and top military officials proceeded and rationalized away

dissenters.

Belief in Group Morality

The third major problem many groups face is the inherent belief that their

group/team and the decisions made are inherently moral and/or ethical. This

belief is grounded in the ideology that the group/team will always be able to

differentiate between right and wrong; therefore, any decision that is made is

inherently going to be right. In fact, some groups so strongly believe that their

decisions will be moral that they never take the time to consider the possible

moral or ethical consequences of the decisions that they are making. Using the

invasion of Iraq as our example again, If you initially take the terms freedom,

democracy, axis of evil, and the like, you see a very clear picture of a moral

versus immoral depiction being made. In fact, President Bush actually referred

to the Iraq invasion as a “great moral cause” on multiple occasions. [6] Research

has suggested that when groups are in a state of groupthink, their actions can

actually lead to immoral and unethical behavior. [7]

Stereotyping

The fourth symptom of groupthink is the stereotyping of one’s opponents as evil,

weak, or stupid. When a group starts with these basic notions of their opponents,

their ability to get a true perspective of what is occurring may be clouded. In

1999, a group of major-league umpires staged a mass-resignation campaign in an

attempt to get a better seat at the bargaining table during their contract

negotiations. The umpires assumed that the owners were too weak and would

cave in to their demands. Instead, Major League Baseball accepted their

resignations and twenty-two umpires were without jobs. In essence, never

underestimate your opponent.

Pressure on Dissenters

The fifth symptom of groupthink involves putting pressure on dissenters to

either go with the flow or be silent. In essence, if someone dares to express

dissent, he or she is quickly pressured to get in line with the rest of the group.

The more aggressive and extreme the pressure, the more likely other dissenters

will quickly learn to be quiet. In 2000, Netflix met with the executive team of

Blockbusters video-rental chain. The urban myth was that Netflix was laughed

out of the conference room for proposing a collaboration. What really happened

was the CEO of Blockbuster, John Antioco, saw the writing on the wall and

started to beef up Blockbuster’s online and video-rental services. Through what

was dubbed the Total Access Program, Blockbuster tried competing with Netflix

by stopping late fees, allowing customers who had mail-service DVDs to return

them to a store and get another one immediately, and other moves designed to

make Blockbuster competitive with Netflix. During this time, an activist investor

named Carl Icahn became a member of Blockbuster’s board of directors and

quickly gained two more seats on the board. Although Antioco and Icahn have

differing accounts of how events ultimately transpired, one thing became clear—

they had very different ideas on how to run the company. [8]

Eventually, enough pressure was placed on John Antioco to resign as CEO of

Blockbuster, and Jim Keyes was appointed the new CEO. Immediately, Keyes,

with the board’s blessing, rolled back the Total Access Program, which had

started the downward spiral that eventually killed Blockbuster. Antioco’s

perspective is that Icahn placed undue pressure on the board (especially after

gaining multiple seats on the board), which prevented open and active dissent of

other board members. Icahn admits that investing in Blockbuster was the worst

investment decision of his career. [9]

Self-Censorship

The sixth symptom of groupthink is self-censorship, which happens when

individuals decide not to express their own dissent within a group/team. The

notion of self-censorship is ultimately about the climate of the group/team. In

essence, a climate is created in which people who have dissenting opinions feel

that their dissenting opinions either will not be heard or will be perceived as

against the group, so group members keep their dissenting perspectives to

themselves. It’s not uncommon for a group/team member to voice after the fact,

“I thought that was a bad idea.”

Unanimity

The notion of unanimity is that there is a unanimous consensus among group

members about the decision being made. Anyone who hasn’t voiced an opinion

on the subject (or expressed dissent) is assumed to agree with the decision. In

cases of groupthink, this feeling of consensus is based on an illusion and not

actual consensus. You’ll notice how the notions of self-censorship can easily

lead to the illusion of unanimity.

Self-Appointed Mindguard

The final symptom of groupthink discussed by Irving Janis was the existence of

self-appointed mindguards. A self-appointed mindguard is an individual who has

taken it upon herself or himself to get everyone on board. If someone does

express dissent during a meeting, the self-appointed mindguard will approach

that person and make it very clear that he or she needs to get in line with the rest

of the group. Think of these individuals as the groupthink police. Self-appointed

mindguards ensure that other individuals within the group/team stay in line and

do not prevent the group from reaching and enacting a decision.

Combatting Groupthink

The ultimate question becomes, how does a group/team prevent groupthink from

occurring? Thankfully, Janis came up with a series of eight tools that will help a

group/team alleviate the possibility of groupthink:

1. Leaders should assign each member the role of “critical evaluator.” This

allows each member to freely air objections and doubts.

2. Leaders should not express an opinion when assigning a task to a group.

3. Leaders should absent themselves from many of the group meetings to

avoid excessively influencing the outcome.

4. The organization should set up several independent groups, working on the

same problem.

5. All effective alternatives should be examined.

6. Each member should discuss the group’s ideas with trusted people outside

the group.

7. The group should invite outside experts into meetings. Group members

should be allowed to discuss with and question the outside experts.

8. At least one group member should be assigned the role of devil’s advocate.

This should be a different person for each meeting. [10]

When you look at this list of ways to prevent groupthink, the whole point is to

create a series of checks and balances. Although there is no surefire way to

prevent groupthink, these strategies will definitely help alleviate many cases of

groupthink that otherwise would occur.

Risky Shift

Groupthink is not the only hazard for groups to avoid. Sometimes groups will

make “risky” or precarious decisions. [11] This results in what is known as risky

shift. Daniel Isenberg found that most people are more likely to make a riskier

group decision than an individual decision. In other words, in general, people

think it is fine for others to drink alcohol, but they might have a limit for their

alcoholic consumption. In a group discussion, there are members who may

advocate for an extreme position more than they would in other circumstances,

because they are part of a group. Isenberg illustrated that risky shift has occurred

in jury decision-making processes. [12] Mock juries were often voted for punitive

damages that varied significantly from awards chosen by individual jurors. The

findings revealed, foer example, that jurors who initially supported a low award

were swayed by group discussion to accept a higher award. . Isenberg

maintained that a group’s decision tends to be more risky than the individual

group member’s decision before the group convened. Risky shift is an important

concept that illustrates how group processes impact individuals decisions. Thus,

the importance of communication between and among group members cannot be

overstated.

Conflict

Conflict is inevitable and will most likely occur in groups and teams. Roy Berko,

Andrew Wolvin, and Darlyn Wolvin categorized two types of team conflict:

primary and secondary. [13] Primary tension happens initially when groups are

formed. Secondary tension happens after a group has been developed. In other

words, primary tensions are ones that often happen before the group meets, and

secondary tensions often happen after the group meets.

Primary Tension

Individuals might feel tension before a meeting begins due to the following: [14]

They fear that each member in the group will not have similar tasks and

responsibilities.

They are uncertain about the topic of the meeting and are wary of the

possibility for uncomfortable topics.

The topic is uneasy and/or distressing.

The task might involve written or speaking skills with which the member

does not feel competent.

They have communication apprehension, meaning they are nervous about

communicating in that context.

The meeting will cause more work or work that is beyond their capabilities.

They do not feel properly prepared.

They have previous negative group experiences.

They have a negative working relationship with the team leader.

They have time constraints.

They have other personal issues that might interfere with their involvement

with the group.

As you can see, each of these tensions can make work conditions rather

uncomfortable. Think about a group meeting that you had to prepare for. Did

you have any of these primary tensions? How did you react to them?

Secondary Tensions

As stated earlier, secondary tensions occur after the meeting begins. These

tensions can be classified into four types: procedural, equity, affective, and

substantive. [15]

1. Procedural tensions originate from group members’ perceptions that the

group is not productive. Group members believe that the agenda is

ineffective and/or that the team leader is not adhering to the agenda.

2. Equity tensions happen when group members do not feel equal. They may

feel that certain factors are not fair, such as workload or responsibility. On

the other hand, equity issues may stem from feelings that there are more

controlling members who dominate and their opinions are worth more than

others’.

3. Affective tensions happen when team members do not like each other.

Team members will find it more difficult to communicate. There may be

huge rivalry and competitiveness in the group.

4. Substantive tensions happen when there are legitimate concerns about the

task. Conflict here can turn into problem-solving moments, creativity, and

increased information sharing and can provide a better perspective of the

opposition. Substantive conflict is beneficial because everyone gets a

different perspective of the same topic. It can result in a better outcome

because all voices are heard.

Social Loafing

Another downside to teams is social loafing. [16] Social loafing happens when

certain group members do not put forth as much effort in the group as they do

when working independently. Sometimes groups are not productive because

group members do not fully contribute. Sometimes you will get the best work

when group members work by themselves because they don’t have to report to

or communicate with anyone else. Think about a group that you were involved

in. Did someone “ride your coattails” or become a “free rider”? Do you think

you engage in social loafing? Why or why not?

There is research that discusses how social loafing can be avoided. Dan

Rothwell argued that social loafing can be prevented by collaboration, content,

and choice. [17] He noted that competitive situations will not get group members

motivated, and motivation can impede social loafing. First, collaboration is the

key to getting everyone involved. If everyone feels as though they are special

and have been given meaningful tasks, then they are more likely to contribute.

Second, people are more likely to contribute if they are well informed about the

task and if other group members are informed about that group member’s

contribution. Third, choice is helpful for preventing social loafing because it

allows group members to pick the task that they are better apt or skilled to

complete.

Take a few minutes to complete the workplace input scale. This is a quick

measurement of how you feel that your input is received in the organization. A

higher score indicated validation and that you feel appreciated. A lower score

indicates that you do not feel validated and that the organization does not listen

to you.

Workplace Input Scale

Instructions: This survey includes a number of statements about how you

may feel about your current working condition. You will probably find that

you agree with some of the statements and disagree with others, to varying

extents. Please indicate your reaction to each of the statements by marking

your opinion to the right of each statement according to the following scale:

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. I have no input at work at all. _____

2. Nobody cares about what I say at work. _____

3. People at work do not listen to my input at all. _____

4. When I have a good idea at work, it’s like I’m talking to a wall. _____

5. People always listen to my suggestions at work. _____

6. No one wants to hear my ideas at work. _____

7. My coworkers pay attention to my input. _____

8. People in my workplace always heed my suggestions. _____

9. People take my ideas seriously at work. _____

10. I have no problem having my ideas heard at work. _____

11. I have a lot of input on the job. _____

12. My input plays an important part on my job. _____

13. People listen to what I have to say at work. _____

14. No one pays attention to my ideas at work. _____

15. Nobody listens to my suggestions at work. _____

16. People care about my ideas at work. _____

17. When I have a good idea at work, people listen. _____

18. No one takes my ideas seriously at work. _____

19. No one in my workplace heeds my suggestions. _____

20. I have a problem getting my ideas heard at work. _____

Recode: 1, 2, 3, 4, 6, 14, 15, 18, 19, and 20

How to Recode: Change the initial value you created to a new value using the

following formula:

1 = 5

2 = 4

3 = 3

4 = 2

5 = 1

Once you have recoded all of the appropriate numbers, you can add all 20

items together for a summed total. Scores should range between 20 and 100.

Scores 65 and higher are considered high and those 64 or below are

considered low.

Source: Wrench, J. S., McCroskey, J. C., Richmond, V. P., & Brogan, S. M.

The development, reliability, and validity testing of new measures in

organizational communication.

KEY TAKEAWAY

Groupthink occurs when there is a crisis and none of the group

Groupthink :

members stops to analyze the pros and cons of the situation.

Conflict occurs in teams. There are two types of tensions: primary

and secondary. Primary tensions occur before the meeting starts,

and secondary tensions occur after the meeting begins.

Risky shift occurs when group members are more likely to make a

riskier decision as a group than individually.

Social loafing happens when group members do not work as hard

in a group context compared to when they work by themselves.

EXERCISES

1. What kind of conflict did you experience in a group and how did

you deal with it? Could have it been dealt with in a different

manner?

2. Apply the different downsides to teamwork to one of your group

experiences. If you had the ability to change it, what could you

have done differently to prevent these downsides?

3. Complete the Workplace Input Scale. Based on the results of your

analysis of your group experience(s), what areas do you think you

could improve upon? Why do you think other group members

communicate to you in the way they do?

KEY TERMS AND DEFINITIONS

A group’s inclination to defer critical thinking and accept

Risky Shift:

Social Loafing:

Team Conflict:

solutions without much consideration.

The tendency of a group to make riskier decisions than its members would otherwise make on their own.

When certain group members do not put forth as much effort in the group as when they are working independently. `

Discord among group members. This can be primary or secondary

[1] Janis, I. (1983). Groupthink: Psychological studies of policy decisions

and fiascoes (2nd ed.). Boston, MA: Houghton Mifflin.

[2] Zaremba, A. J. (2010). Organizational communication (3rd ed.). New

York, NY: Oxford University Press.

[3] Zaremba, A. J. (2010). Organizational communication (3rd ed.). New

York, NY: Oxford University Press.

[4] Janis, I. (1983). Groupthink: Psychological studies of policy decisions

and fiascoes (2nd ed.). Boston, MA: Houghton Mifflin, p. 9.

[5] Janis, I. (1983). Groupthink: Psychological studies of policy decisions

and fiascoes (2nd ed.). Boston, MA: Houghton Mifflin, p. 9.

[6] McQueen, A. (2005). A groupthink perspective on the invasion of Iraq.

International Affairs Review, 14, 53–80.

[7] Sims, R. R. (1992). Linking groupthink to unethical behavior in

organizations. Journal of Business Ethics, 11, 651–662.

[8] Antioco, J. (2011). Blockbuster’s former CEO on sparring with an

activist shareholder. Harvard Business Review, 89(4), 39–44.

[9] Antioco, J. (2011). Blockbuster’s former CEO on sparring with an

activist shareholder. Harvard Business Review, 89(4), 39–44.

[10] Janis, I. L. (1972). Victims of groupthink: A psychological study of

foreign-policy decisions and fiascoes. Boston, MA: Houghton Mifflin, pp.

209–215.

[11] Isenberg, D. J. (1986). Group polarization: A critical review and meta-

analysis. Journal of Personality and Social Psychology, 50(6), 1141–

1151.

[12] Isenberg, D. J. (1986). Group polarization: A critical review and

meta-analysis. Journal of Personality and Social Psychology, 50(6),

1141–1151.

[13] Berko, R., Wolvin, A., & Wolvin, D. (2012). Communicating: A social

and career focus (12th ed.). Boston, MA: Pearson.

[14] Zaremba, A. J. (2010). Organizational communication (3rd ed.). New

York, NY: Oxford University Press.

[15] Zaremba, A. J. (2010). Organizational communication (3rd ed.). New

York, NY: Oxford University Press, p. 184.

[16] Karau, S. J., & Williams, K. D. (1993). Social loafing: A meta-analytic

review and theoretical integration. Journal of Personality and Social

Psychology, 65, 681–706.

[17] Rothwell, J. D. (2012). In the company of others: An introduction to

communication (4th ed.). New York, NY: Oxford University Press.

9.4 Group Communication Roles

LEARNING OBJECTIVES

1. Explain task roles.

2. Explain maintenance roles.

3. Describe self-centered roles.

Kenneth Benne and Paul Sheats of the First National Training Laboratory in

Group Development created a scheme for understanding the functional roles of

group members.They classified three types: group task, group building and

maintenance, and self-centered.

Group Task Roles

The first type of roles that individuals can take on within a group are all centered

on the tasks that the group needs to accomplish. These roles are all prosocial and

help the group strive toward achieving the group or team’s goal. Benne and

Sheats identified twelve different task roles that group members could take on.

Remember, in smaller groups or teams, individuals could take on multiple roles,

and it’s entirely possible that multiple group members take on the same roles as

well.

Initiator-Contributor

The initiator-contributor is all about providing new and keen insight and ideas to

the group. This person may help the group brainstorm new and novel ways to go

about understanding or looking at a particular problem.

Information Seeker

The information seeker focuses on ensuring that the group has accurate and

relevant information as it goes about problem solving. This person asks to see

relevant data to ensure the accuracy of the information the group uses while

attempting to problem solve.

Opinion Seeker

The opinion seeker is not concerned with the accuracy of information but is

more interested in understanding the group’s values. What are the group’s

values, and how are they used to solve problems? When a potential solution to a

problem is provided, the opinion seeker will ask for clarification of whether the

solution is in sync with the group’s purported values.

Information Giver

The information giver is someone within a group who has some kind of

authoritative understanding or specific expertise—often from personal

knowledge or experiences—that can help inform a group’s decision-making

process.

Opinion Giver

The opinion giver, like the opinion seeker, is concerned less with the facts

surrounding a specific problem than he or she is with ensuring the group sticks

to its values. This person will offer suggestions and insight on how the group can

employ its values while making specific decisions.

Elaborator

The elaborator takes the ideas that other people have had within a group and tries

to flesh out the ideas in a meaningful way. The evaluator can also help a group

understand specific rationales for the decisions it has made or think through how

the implementation of a specific decision would work practically.

Coordinator

The coordinator tries to find the common links between the various ideas of

group members and combine them in some kind of succinct package.

Furthermore, the coordinator tries to coordinate the various activities that the

group or team must accomplish along the way.

Orienter

The orienter is akin to a group or team’s mapmaker. This person’s role is to show

where the group has been in an effort to understand where the group is right

now. Furthermore, this person will point out when the group has gotten

completely off topic and try to refocus the group on the decision at hand.

Evaluator-Critic

The evaluator-critic’s job is to help assess the actual functionality of the group

and the decisions that it makes. This individual ensures that the group is meeting

predetermined standard levels and not just “getting by” with quick and easy

solutions to complex problems. This person seeks to hold the group to a clear

standard of excellence by evaluating or questioning “‘practicality,’ the ‘logic,’

the ‘facts’ or the ‘procedure’ of a suggestion or of some unit of group

discussion.” [1]

Energizer

Often, groups get worn down by the decision-making process because some

decisions may take months or years to come to fruition. The energizer’s primary

role is to help pull groups out of a rut and encourage them to make decisions or

take action. Like the evaluator-critic, the energizer also attempts to help groups

reach a higher quality of decision making.

Procedural Technician

All groups have simple tasks that someone needs to take care of. Whether it’s

rearranging a room into a circle or photocopying the agenda and minutes from

the previous meeting, the procedural technician ensures that the routine tasks of

the group get accomplished.

Recorder

The recorder, often called a group or team’s secretary, is the individual who

takes copious notes in an effort to help a group or team understand its own

decision-making process. These notes ultimately become the group’s memory of

where they have been and where they are going, so the recorder is a very

important role in any group or team. At the same time, you want to make sure

that the recorder is skilled in taking notes and can quickly transcribe those notes

into some kind of formalized minutes.

Group-Building and Maintenance Roles

The second type of roles discussed by Benne and Sheats are referred to as

group/team-building or maintenance roles. Group/team-building roles help build

a group-centered identity for the members, while maintenance roles help keep

that group-centered identity over the life cycle of the group or team. Benne and

Sheats identified seven specific group/team-building or maintenance roles.

Encourager

The encourager is functionally the group or team’s cheerleader. This person

encourages people to come up with new ideas and then praises group or team

members for the ideas they generate. This person also encourages the group to

seek out alternative ways of seeing a problem and fosters an environment where

alternative ideas and suggestions are welcomed.

Harmonizer

The harmonizer’s job is to ensure that the group handles conflict effectively. All

groups will eventually have conflict. In fact, conflict can actually be very

important for groups to survive and thrive. However, when conflict becomes

person focused instead of task focused, the harmonizer will help alleviate the

tension of the group and help conflicting parties solve their conflicts prosocially.

Compromiser

The compromiser is someone who realizes that her or his ideas are in conflict

with another person or faction of the group or team. Instead of holding her or his

ground and refusing to budge in her or his ideas, the compromiser tries to seek

out a compromise between herself or himself and the conflicting parties.

Compromising does not mean this individual is a doormat; rather, compromising

is a strategy to help groups build better, more informed decisions.

Gatekeeper

In a group or team setting, the gatekeeper’s job is to ensure that all participants

are freely and openly involved in the group’s decision making. The gatekeeper

will encourage people who are on tangents to bring it back to the decision at

hand while encouraging those who are more reticent in their communication to

participate actively in the decision making.

Standard Setter

The standard setter or ego sets out to ensure that the group or team’s decision-

making processes meet a certain quality level. This role is similar to the opinion

giver under the task roles, but this role is specifically focused on how the group

goes about making decisions and then holds the groups to those standards.

Group Observer and Commentator

The group observer and commentator watches how the group goes about

completing its purpose. This individual will take notes about the group’s

functioning and then periodically inform the group about how well it is working

as a group or team. This person focuses on ensuring the group or team’s

processes for decision making do not leave out minority voices, prevent poor

brainstorming, or jump to decisions too quickly.

Follower

The follower is an individual who attempts not to rock the boat for the group.

This person is often passive and just observes the group’s decision processes.

Instead of being an active participant in the group’s decision making, he or she

will serve as an audience for the decision-making process during group

discussions.

Self-Centered Roles

The final category of group roles identified by Benne and Sheats is generally

very destructive and can harm the group decision-making process. Benne and

Sheats called these roles self-centered because the roles focus on the individual

desires of group members and not necessarily on what is best for the group or its

decisions. According to Benne and Sheats, when self-centered roles are noticed

by group members, it’s very important to quickly diagnose why these roles are

appearing within the group. When groups face these self-centered roles, it

becomes very important to ascertain why they are occurring and to take steps to

prevent their recurrence. However, Benne and Sheats caution against the outright

suppression of self-centered roles because the suppression can prevent groups or

teams from going through the self-diagnosis necessary to fix the group or team.

Ultimately, the researchers identified eight types of self-centered roles.

Aggressor

The aggressor tends to be an individual who feels the need to improve her or his

own standing within the group by taking others down. Aggressors can enact a

number of behaviors that ultimately impact group morale and the basic

functioning of the group itself. Some of the behaviors identified by Benne and

Sheats are “deflating the status of others, expressing disapproval of the values,

acts or feelings of others, attacking the group or the problem it is working on,

joking aggressively, showing envy toward another’s contribution by trying to

take credit for it, etc.” [2]

Blocker

The blocker is someone who simply either hates everything the group is doing

and rejects everything the group recommends or keeps rehashing group or team

decisions that have been long since decided. This person may simply say no to

anything the group likes and is often a giant stumbling block for groups.

Recognition Seeker

The recognition seeker is all about showing how he or she is such a vital person

in the group by trumpeting her or his achievements (whether relevant or not).

Often, this person acts in this fashion for fear that the group or team will see her

or him as irrelevant. So instead of becoming a relic of the group, this person

feels it is necessary to show how vital she or he is to the group by seeking

recognition.

Self-Confessor

The self-confessor sees the group or team as the setting to air her or his own

feelings, ideology, insight, or values. This person sees the group or team as a

personal therapy session and has no problem self-disclosing inappropriate

information to group or team members during meetings.

Playboy/Playgirl

The playboy or playgirl clearly couldn’t care less about the group or team and its

goals. In fact, this person is generally quite vocal in his or her lack of caring. He

or she may simply become overly cynical of the group/team and its decision

making or actively disrupt the decision-making process through horseplay or

other nonchalant behavior.

Dominator

The dominator is someone who tries to control the group/team and dominate the

group’s discussion and decision-making processes. This individual is often

highly manipulative and will attempt to coerce those in subordinate status

positions. Often, these people will see their own position within the group or

team as superior to that of other group members and will make this very clear,

while asserting that her or his ideas are superior because of elevated position

within an organization’s hierarchy.

Help Seeker

The help seeker tries to get the group to be sympathetic by stressing that she or

he is insecure or confused. The goal of the help seeker is to downplay her or his

own ability to contribute to the group by making other group/team members care

for her or him.

Special-Interest Pleader

The special-interest pleader always has a secondary agenda within a group.

According to Benne and Sheats, a special-interest pleader pleads on behalf of a

specific group (e.g., small businesses, labor, gender, race) but is “usually

cloaking his own prejudices or biases in the stereotype which best fits his

individual need.” [3] By allegedly “speaking on behalf” of a special interest

group, the special-interest pleader serves to distract the group/team from its basic

decision-making processes.

KEY TAKEAWAY

The first form of group roles proposed by Benne and Sheats is

task roles or roles that individual group or team members embody

that help a group accomplish its basic task(s). Benne and Sheats

identified twelve different task roles: initiator-contributor,

information seeker, opinion seeker, information giver, opinion

giver, elaborator, coordinator, orienter, evaluator-critic, energizer,

procedural technician, and recorder.

The second form of group roles proposed by Benne and Sheats is

group-building and maintenance roles. Groupbuilding roles help

build a group-centered identity for the members; maintenance

roles help keep that group-centered identity over the life cycle of

the group or team. Benne and Sheats identified seven different

group-building/maintenance roles: encourager, harmonizer,

compromiser, gatekeeper, standard setter, group observer and

commentator, and follower.

The second form of group roles proposed by Benne and Sheats is

self-centered roles, or roles that individual group members

embody that focus on the individual desires of group members

and not necessarily on what is best for the group or its decisions.

Group Building:

Group Task:

Benne and Sheats identified eight different self-centered roles:

aggressor, blocker, recognition seeker, self-confessor,

playboy/playgirl, dominator, help seeker, and special-interest

pleader.

EXERCISES

1. Think about the groups that you have been involved with. What

roles are present, and how did you deal with each one? Were

there better ways of dealing with certain roles?

2. Write each group role on a card with the description on it. Then, at

your next meeting, ask every group member to take a card and

act that role in your meeting. What did you notice? Did people

enjoy their roles? What were some noticeable differences?

3. Pretend that you just learned your house or place of residence is

on fire and you and your family members only have time to grab

one thing each. Who will get what item and why? Why did you

designate the roles and items the way you did? How does this

relate to an organizational setting?

KEY TERMS AND DEFINITIONS

Role that individual group or team members embody that helps build a group-centered identity for the members.

Role that individual group or team members embody that

Maintenance:

Self-Centered Roles:

helps a group accomplish its basic task(s).

Role that individual group or team members embody that helps keep a group-centered identity over the life cycle of the group or team.

Role that individual group or team members embody that focuses on the individual desires of group members and not necessarily on what is best for the group or its decisions.

[1] Benne, K., & Sheats, P. (2007). Functional roles of group members.

Group Facilitation: A Research and Applications Journal, 8, 30–35.

(Reprinted from 1948 Journal of Social Issues, 4(2), 41–49), p. 32.

[2] Benne, K., & Sheats, P. (2007). Functional roles of group members.

Group Facilitation: A Research and Applications Journal, 8, 30–35.

(Reprinted from 1948 Journal of Social Issues, 4(2), 41–49), p. 32.

[3] Benne, K., & Sheats, P. (2007). Functional roles of group members.

Group Facilitation: A Research and Applications Journal, 8, 30–35.

(Reprinted from 1948 Journal of Social Issues, 4(2), 41–49), p. 32.

9.5 Chapter Exercises

REAL-WORLD CASE STUDY

The following case is based on a consulting experience of one of

our colleagues. Names and institutions have been altered for this

case.

Morgan, an organizational consultant, was approached to serve as

an executive coach for a work team in a new organization called

Sankaya. Sankaya is a retail organization geared toward fashion

merchandising and retailing. This work team was trying to figure out

ways to generate sales, maximize profits, and minimize resources.

Sankaya encouraged the work team to think outside the box and

figure out innovative ways to increase sales. The work team was

skeptical about Morgan’s involvement. They did not feel they

needed an outsider to coach them on their task. It became quite

apparent in the first meeting that group members were not cohesive.

Certain ideas were given more credit and time than others. Also,

some group members were even considering unethical means to

increase sales, such as not paying their workers for constructing

their garments and even giving themselves raises for working on the

team.

1. Can these employees be coached?

2. If you were Morgan, how would you handle this situation?

3. How can you change this group’s communication behaviors?

4. How would you handle the unethical ideas, especially if you do

not have the power to stop or prevent them from happening?

REAL-WORLD CASE STUDY

After forty years in the same building, Corporate Communications

built a new building to attract more customers. The new building has

more space and better lighting. However, in the old building

everyone knew each other because the space was so small. All the

employees were able to interact because there the building had only

one entrance and one exit. Moreover, many of the employees were

collaborating and interacting with other employees because they

were not separated by their jobs. In other words, technicians would

work right alongside people in human resources and advertising. In

the new building, each employee was placed in a distinct location,

so, for example, all human resources employees could be found in

the same office. This new building has caused more tension and

stress among the employees, who may be feeling professional

jealousy and competition. Many employees are unhappy.

1. If you were hired as a consultant, what would you do?

2. Based on the different stages that you learned, what do you think

will happen at each stage in this situation?

3. What recommendations would you provide?

4. How can you change this organization’s communication

behaviors?

5. What hindrances and limitations could you foresee in

implementing your ideas?

END-OF-CHAPTER ASSESSMENT

1. Jonas was assigned to a group. He is still learning his group members’ names and interests. According to the team development model, which stage is Jonas in?

a. forming b. norming c. storming d. transforming e. performing

2. Tessa has been working in a group for about two months. Her group members are still not sure about their ultimate goal. According to the team performance model, which stage is her group in?

a. trust building b. commitment c. goal clarification d. implementation e. renewal

3. Tessa has been working on a project team. They want her team to complete an advertising campaign by tomorrow. Based on what you know about project teams, which element can Tessa not spend much time on with her other group members?

a. trust building b. commitment c. goal clarification d. implementation e. building stronger relationships

4. Zavin is the only person in his organization in charge of the sales and marketing of the organization. What would his title most likely be?

a. chief executive officer b. chief operations officer c. chief technology officer d. chief financial officer e. all these

5. Brenna’s group members just found a new problem with a product that has already been sold in stores. Everyone in her group believes that they should just ignore the problem. No one questions the decision to ignore the problem. What downside of teams is most likely occurring in this situation?

a. groupthink b. risky-shift phenomenon c. executive decision making d. apathetic conflict e. social loafing

Answer Key

1. a

2. c

3. e

4. b

5. a

Chapter 10

Recruiting, Socializing, and Disengaging

© Thinkstock/iStock

Working Life

According to the Centers for Disease Control and Prevention, an average person

(as of 2010) can expect to live until he or she is about 78.5 years of age. [1] Let’s

say you start working a forty-hour-a-week job right out of college at age twenty-

two and have the luxury of working until you’re sixty-five, then you will have

worked approximately forty-three years. There are fifty-two weeks in a year, so

let’s say you’re really lucky and only have to work forty-eight of them. If you

work only an eight-hour shift (with thirty minutes for lunch), you’ll work

approximately eighteen hundred hours per year or 77,400 hours over the course

of your working career. At this rate, your work career will account for 11.33

percent of your life. And trust us, if you look at the numbers we’ve provided

here, we are clearly low-balling our estimates. In reality, depending on the type

of career choice you make, you could easily end up spending 15 to 20 percent of

your life working.

Most individuals will not have only one job. In fact, according to the Bureau of

Labor Statistics, “The baby boom (1957–1964) held 11.3 jobs from age 18 to age

46.” [2] For this reason, we spend a good chunk of our time being recruited by

organizations, entering into new organizations, acclimating ourselves to new

organizations, and eventually leaving organizations. This chapter focuses on the

process of recruiting, socializing, and leaving organizations.

[1] Centers for Disease Control and Prevention. (2010). Life expectancy.

Retrieved from http://www.cdc.gov/nchs/fastats/lifexpec.htm

[2] Bureau of Labor Statistics. (2012, July 25). Number of jobs held, labor

market activity, and earnings growth among the youngest baby boomers:

Results from a longitudinal survey summary. Retrieved from

http://www.bls.gov/news.release/nlsoy.nr0.htm

© Thinkstock/iStock

10.1 Recruiting

LEARNING OBJECTIVES

1. Enumerate the cost of recruitment and why effective recruitment

affects an organization’s bottom line.

2. Explain Breaugh, Macan, and Grambow’s five-stage model of

employee recruitment.

3. Recognize the problems associated with traditional organizational

recruitment strategies.

4. Explain realistic job preview theory and its importance in the

recruitment process.

5. Differentiate among the different mediums for presenting realistic

job previews.

6. Examine the outcomes realistic job previews have for

organizations.

Organizations spend a good deal of time and money

recruiting people to work in them. This section examines

the process of recruiting new organization members.

Recruitment is very important for an organization because

poor recruitment can be a very costly mistake. Table 10.1

shows research from a handful of studies that examine the

cost of recruiting a new employee. Leigh Branham

estimates that the costs associated with recruiting someone

can be anything from 25 to 200 percent of the person’s annual salary. [1] Overall,

recruiting new employees is a time-consuming and expensive process. In this

section, we examine the recruitment process along with various issues related to

employee expectations and finding the best talent.

Table 10.1 The Cost of Recruitment

Study Description Findings

Examined the cost of recruiting both operations and

management in five-star hotels in Australia [2] $9,591 for an eight-hour employee, $109,909 for a

manager

Examined how much it costs to recruit a new front-

line desk clerk at hotels in New York City and

Miami [3] $5,827—Miami, $12,246—NYC

Examined the costs associated with recruiting a

number of different occupations [4]

$109,909 for a journeyman machinist, $133,000 for

an HR manager, $150,000 for an accounting

professional

Examined the cost of recruiting public school

teachers in Texas [5] $3,000 to $4,000 per teacher

Average of $25,000 for jobs that are high-stress

Examined the costs of various jobs in the state of

Louisiana [6]

protective services (e.g., police officers and

correction staff)

The Recruitment Process

Recruitment takes a lot of economic and human resources to do effectively.

Unfortunately, some organizations do not adequately think through the basic

strategies for recruiting to ensure the maximum benefits of the recruitment

process. Maybe an organization is more concerned with filling a position than

finding the best person for the job. Other organizations end up with people who

have exaggerated their qualifications to get the job. Some organizations try to

paint an unrealistically rosy picture of what it’s like to work there, only to end up

with new hires who become disgruntled once they are faced with the actual

reality of the job. Whatever the reasons that exist for poor recruitment,

problematic recruitment is a reality in many organizations. According James

Breaugh, employee recruitment encompasses four specific actions on the part of

an organization:

1. Bring a job opening to the attention of potential job candidates who do not

currently work for the organization.

2. Influence whether these individuals apply for the opening.

3. Affect whether they maintain interest in the position until a job offer is

extended.

4. Influence whether a job offer is accepted. [7]

To help organizations think through effective employee recruitment, James

Breaugh, Therese Macan, and Dana Grambow proposed a simple five-step

model for understanding recruitment in modern organizations, which can be seen

in Figure 10.1. [8]

Figure 10.1 Model of Employee Recruitment

Recruitment Objectives

The first stage of recruiting new employees consists of determining the basic

objectives for the new employee. Are you creating a brand-new position or

attempting to refill a position because of voluntary or involuntary turnover? At

this stage in the recruitment process, you need to truly brainstorm everything

from the type of applicant you’re looking for (e.g., educational background, job

experience, skill set) to the role this person will actually play within the

organization itself. The more specific you can be at this point in the recruitment

process, the easier it will be to weed out eventual applicants who simply do not

meet the basic objectives of the organization.

Recruitment Strategy

The next stage in recruitment involves thinking through the specific strategies

that the organization plans to employ to recruit potential applicants. If you look

at Figure 10.1, you’ll notice that the questions asked during this phase primarily

deal with determining how you will find your applicant pool and then how you

will craft specific messages targeted at potential applicants that will entice them

to apply. First, you need to know what type of applicant you need to target. For

example, are you looking for someone who has just a high-school education, or

are you looking for someone who has an MBA and twenty-plus years of

experience running nonprofit organizations? You’ll notice that this part of the

recruitment strategy stems directly out of recruitment objectives.

Second, you need to think about the organization’s messaging strategy. The

messaging strategy includes everything from crafting specific messages to

determining the best possible outlets for these messages. For entry-level,

minimum-wage applicants, you may create simple, straightforward descriptions

of the job and post them on local job websites or in the newspaper. When

attempting to hire a senior-level executive, you may work with a consultant

known as an external corporate recruiter during this process. An external

corporate recruiter is an individual (or group of individuals) with specific

expertise in searching for and recruiting potential job applicants. Because

corporate recruiters have specific expertise in the recruitment process, they can

help an organization in a number of specific ways. First, they can help an

organization decrease the amount of time that it takes to search for and

eventually hire a new employee (commonly referred to as the time to hire).

External corporate recruiters often specialize in specific industries or types of

positions, so they already have a network of potential applicants or know how to

target potential applicants. Second, they can increase the quality and quantity of

the candidate pool. Next, they can help an organization keep its recruiting costs

down because of the focused nature of the job search itself. Lastly, they can

ensure that all governmental regulations associated with recruitment and hiring

are met. Although most human resource personnel can also accomplish this

function, sometimes a second pair of eyes not related to the organization can be

important to ensure compliance with relevant laws and regulations.

Recruitment Activities

Once you’ve determined your objectives and your strategy, it’s time to actually

let the rubber hit the road and start recruiting potential applicants. At this point,

you’re basically involved in three specific activities. First, you’re engaged in the

day-to-day process of searching for and recruiting candidates. This stage can

involve everything from placing advertisements on a job website to attending

career fairs at a local college or university.

Next, you need to think through all the internal resources that will be involved in

the recruitment process. Who will create job ads? How much time do you have

devoted to recruitment? Who is going to oversee the entire recruitment project?

Recruitment should have a central project manager who oversees the entire

process. If you have too many different people attempting to run your

recruitment, you will run into serious problems. As such, it’s important to have a

specific individual who is ultimately in charge of the recruitment process to

ensure all the small steps are completed accurately and in a timely fashion.

Lastly, you’re crafting the specific messages you want potential applicants to see

and/or hear. Whether you’re creating a simple call for applicants in a local

newspaper or an online video to entice applicants, a lot of time is involved in the

crafting of effective messages targeted to applicants. These messages should be

both informative (explaining the job and the types of applicants sought) and

persuasive (enticing people to apply). In addition to creating the messages, you

need to determine where these messages will ultimately be seen or heard by the

types of applicants you desire. Although your strategy for this process was

determined in the previous step, at this phase of the process, you need to

implement and adjust your targeted message outlets as necessary.

Applicant Interview

Once you have started to receive applications for the position, it’s time to start

going through the stack of potential employees. Before you actually get to the

interview step, you need to systematically go through the applications and

determine which ones are viable candidates and which ones simply are not.

There are many people who apply to any and every job whether or not they have

the background or skills necessary to complete the job. The first step in

screening out individuals is to have a standard set of objectives for determining

the qualifications of the applicant. By employing this objective standard, you can

generally weed through a giant portion of the applicants and easily determine the

ones you may want to interview.

For low-level or entry-level positions, the recruitment process is generally

straightforward and involves less expense on the part of the organization. These

interviews may simply take place within the organization on the day someone

fills out an application if a manager is readily available.

On the other hand, when an organization is recruiting a professional position or

senior-level executive, there may be a whole interview process in place. An

organization can utilize a number of different types of interviews. Some

organizations employ telephone interviews first to determine which applicants

should be brought to the organization for a face-to-face interview. Today, it’s

also common to do this first round of interviews using videoconferencing

software such as Skype. The goal of this first set of interviews is to help the

recruiters focus their recruitment efforts on a handful of potential applicants they

may wish to interview on the organization’s campus. After the telephone

interviews, the recruitment team may finalize their list of applicants and either

bring them directly to the organization for an interview or employ an off-campus

face-to-face interview.

An off-campus face-to-face interview (sometimes called a flyover interview)

occurs when an organization arranges to use an off-site location (typically in or

near an airport) to conduct a round of interviews. In essence, interviewees are

flown to the airport and then taken to a conference room within the airport or

near the airport for a face-to-face interview with the recruitment team. Once the

interview is over, the applicant is put back on her or his plane and sent home.

Many organizations use this strategy when recruiting senior-level executives

because there is nothing quite like a face-to-face interview, and these can be

cheaper than an on-campus face-to-face interview.

An on-campus face-to-face interview occurs when an organization brings the

individual to the organization for an interview. On-campus face-to-face

interviews can last from a half-day interview to a multiday interview, depending

on the type of hire an organization is attempting. The more senior the position,

the more likely the organization will involve an extended interview process in an

attempt to gain a more thorough understanding of the possible fit of the

applicant. These interviews can be very expensive because they involve the costs

of transportation, housing, food, and entertainment during the interview.

These are not the only types of interviews that organizations can employ, but

they are different enough to demonstrate the array of possible choices an

organization has for conducting an interview. As you can see from the earlier

descriptions, the interview process can be as cheap as the time lost while a

manager conducts an on-the-spot interview to one that could cost more than

$100,000. For this reason, interviews should be conducted strategically, looking

for the various factors discussed in Figure 10.1.

Recruitment Results

The final stage of recruitment examines the results of the recruitment process

itself. Once an applicant has signed a contract and joined your organization, it’s

always a smart idea to objectively analyze how recruitment went in an effort to

improve the process for future hires. Ultimately, when evaluating the results of

your recruitment, you should look at both the short-term and long-term results.

The short-term results include determining if the first four stages of recruitment

were effective (objectives, strategy, activities, and interviews). The long-term

results focus on whether or not a new employee meets the organization’s

expectations, which could lead to either voluntary or involuntary turnover.

Realistic Job Previews

One of the major problems occurring posthiring involves the expectations of the

new employee. Social psychological research has demonstrated that when an

individual’s expectations are not met, the individual will experience dissonance,

leading to a disliking of the event itself. [9] Paula Popovich and John Wanous

explain that dissatisfaction is likely to occur when three conditions are present:

1. The expectation is strongly believed in.

2. The expectation concerns something of high personal value.

3. The individual feels personally responsible for the mistaken expectation

(i.e., “I should have known” versus “nobody’s perfect”). [10]

Whether one looks at hiring an individual from the organization’s perspective or

the new employee’s perspective, recruitment and hiring clearly meet all three of

these conditions. Figure 10.2 illustrates the problems associated with traditional

recruiting strategies and how they lead to problems with expectations. First,

organizations historically have done their best to make their organization look

very positive and downplay or simply avoid any of the downsides of a particular

job. Unfortunately, these traditional organizational recruitment strategies lead to

inflated expectations on the part of a new hire. When that new hire comes face to

face with the reality of working within an organization, he or she quickly

becomes disillusioned because initial expectations are not being met. With

unmet expectations, the new employee will eventually become dissatisfied with

her or his job. With employee dissatisfaction, two possible paths emerge, neither

of them beneficial for the organization. First, a dissatisfied employee may

decrease her or his commitment to the organization and simply start looking for

a new job (voluntary turnover). Second, a dissatisfied employee’s productivity

level may drop, causing the organization to become dissatisfied with the

employee, which will lead to the employee’s firing (involuntary turnover). Of

course, with either voluntary or involuntary turnover, the organization will be

faced with recruiting a new employee and the cycle starts again.

Figure 10.2 Problems with Traditional Organizational Recruitment

In addition to the organization misrepresenting who it is and how it functions,

individual applicants can also misrepresent themselves. In Figure 10.3, we see

what happens when an individual applicant misrepresents her or his

qualifications. In this case, the organization will be dissatisfied because the new

hire cannot perform in the fashion the applicant said he or she could. As the

organization’s expectations are unmet, the organization becomes dissatisfied,

which will eventually lead to the individual employee’s firing (involuntary

turnover).

Figure 10.3 Misrepresentation of Qualifications

A second type of misrepresentation that can occur during the application process

involves an individual employee’s cultural preferences. For example, maybe an

individual applicant says he or she is all about teamwork during the interview,

but in reality that applicant is a loner and prefers to work on projects alone. If

this applicant is hired with the expectation that he or she will work on a number

of teams, there will be unmet expectations on the part of the organization if the

new employee quickly shows no interest in teamwork. Furthermore, this new

employee will experience unmet needs and desires for autonomy if he or she is

constantly being forced to engage in teamwork. In the case of the organization’s

unmet experiences, the organization will become dissatisfied, which will

eventually lead to the organization firing the new employee. In the case of the

individual employee, he or she will become dissatisfied with all the pressure for

teamwork and eventually look for another job that more accurately suits her or

his cultural preferences.

Figure 10.4 Misrepresentation of Cultural Preferences

Although organizations can never completely prevent applicant

misrepresentations, they can build in processes to prevent the negative outcomes

associated with traditional recruitment processes. The basic premise of the

realistic job preview is that new employees often have inaccurate perceptions

about the positions for which they are applying. These expectations, as discussed

earlier, lead to dissatisfaction on either the employee’s part or the organization’s

part. To alleviate these inflated expectations, “it has been suggested that an

employer should provide recruits with candid information concerning a job

opening (i.e., information about both positive and negative job and

organizational attributes).” [11] Figure 10.5 illustrates why realistic job previews

are effective. First, when a realistic job preview is given to an applicant, the

applicant will have more realistic expectations when he or she decides to accept

a job offer. As that new employee enters the organization, he or she will have

more realistic expectations about the organizational culture and the day-to-day

work that is expected. When an individual has realistic expectations, it’s much

easier for these expectations to be met, which will lead to increased employee

satisfaction and motivation. With increased employee satisfaction and

motivation, your new employee will demonstrate greater organizational

commitment and overall productivity. Ultimately, the goal of this process is to

ensure that a new hire is less likely to be fired or quit.

To help us further understand the nature of realistic job previews, we are going

to focus on three important aspects of this process. First, we will examine the

theoretical basis for why realistic job previews work. Second, we’ll examine the

importance of communication in the process of realistic job previews. Lastly,

we’ll examine the research related to the outcomes of realistic job previews and

their overall effectiveness.

Figure 10.5 Realistic Job Preview Theory

Two Theories for Realistic Job Previews

By this point, you may be wondering why realistic job previews (RJPs) are an

effective tool when hiring new employees. Research has indicated two

theoretical possibilities for why RJPs work.

Self-Selection Theory

The first theory explaining the effectiveness of realistic job previews is called

the self-selection theory. In essence, self-selection theory argues that when

applicants are faced with a realistic portrayal of an organization and what it

would be like to work within an organization, the employee will have a more

accurate understanding and more realistic expectations. [12] As such, when an

applicant decides to accept a job offer, he or she is knowingly opting to work

within that organization (flaws included). In essence, people who feel that there

is a good person-organization fit will self-select into the organization.

Conversely, individuals who do not see the organization as a good person-

organization fit will knowingly self-select out of working within that

organization. Basically, self-selection theory posits that the more information

someone has, the more accurately he or she can decide if an individual

organization is somewhere he or she wants to work.

Inoculation Theory

The second major theoretical position researchers have posed for the

effectiveness of RJPs is called inoculation theory. William J. McGuire originally

created inoculation theory to explain how attitudes and beliefs are altered during

persuasion attempts. [13] In the world of medicine, we often inoculate people

using weakened strains of a virus and injecting them into an individual (called a

vaccine). The weakened virus ultimately helps a host build up immunity to the

virus itself. In the world of new employee hiring, the RJP functions as a vaccine,

which ultimately prepares a new hire for the realities of working within the

organization and her or his job duties. In essence, by presenting an RJP, an

employer can help prepare a new hire in incremental steps for the day-to-day life

the new hire will experience within the organization, so by the time the new hire

starts the job, he or she has already built up “immunity.”

Communication and Realistic Job Previews

The realistic job-preview process is inherently a communicative one. One of the

most important questions that should be asked is how the message will be

presented. This message strategizing includes when the message will be

presented, who will present the message, and the medium utilized. A number of

different options are available: brochures, audiovisual, human-resource

personnel, future coworkers, and virtual reality.

The first option involves using a brochure or new employee manual that

realistically describes what it is like to work for the organization. This

brochure/manual should include details in a balanced fashion to ensure that the

new employee is getting an accurate picture of what life would be like working

within the organization. Unfortunately, brochures tend to be detached and are

often either not read thoroughly or not read at all.

The second option that many organizations utilize for delivering an RJP is some

form of audiovisual RJP. The most common audiovisual RJP is the video. Table

10.2 contains a list of just a handful of video RJPs available on the Internet.

Table 10.2 Realistic Job Preview Videos

TeleTech https://www.youtube.com/watch?v=_jh1goGjoRE

Federal Air Marshals http://www.realisticjobpreview.net/fams/

Transportation Security Administration (TSA) http://www.realisticjobpreview.net/tsa_final.htm

Boeing https://www.youtube.com/watch?

v=AoKbBx7DmZQ

Comcast Billing Office https://www.youtube.com/watch?v=t9oCkFH6blE

Sears Sales Consultant http://www.youtube.com/watch?v=NFUxEkX0hHE

Treatment Plant Equipment Operator, Austin,

Texas http://www.youtube.com/watch?v=hoPeWWmZoCA

Direct Support Agent http://rtc.umn.edu/rtcmedia/directsupport/

OwensCorning Homw Experts http://www.youtube.com/watch?v=Lp4dZj0ZOF8

When you look at the various RJPs presented in Table 10.2, you’ll see a wide

range of different types of jobs and different ways to present the information.

Some videos have high production values (the TSA videos) and make the work

look exciting; others include simple interviews with an employee who works for

the organization in a specific position (Comcast Account Representative). Early

research examining brochures and videos really didn’t find any differences

between the two mediums and their actual effectiveness. Admittedly, most of the

research on audiovisual techniques and RJPs occurred in the late 1970s and early

1980s.

The third option involves using the hiring personnel to describe the organization

and the position. Although the hiring personnel may be great for describing the

organization, they may not have the most accurate or up-to-date knowledge of

what work life is like in every department. Research conducted by Alan Saks

and Steven Cronshaw found that an RJP presented orally by an interviewer was

better than a written RJP when predicting an individual’s attitude about the job

and accepting a job offer. Furthermore, individuals who received the oral RJP

found the organization to be more honest as a whole. [14]

Fourth, an organization could utilize an informal meeting with a current

employee who works within the division the new hire will work in. No one has a

clearer perception of work life than someone actually involved in the same type

of work the applicant will be required to do. Research conducted by Stephen

Colarelli investigated using an incumbent bank teller to deliver an RJP during

the hiring process as compared to a written RJP or no RJP at all. [15] The

research found that individuals who received the RJP from an incumbent bank

teller were less likely to have quit the job after two or three months. In fact,

Colarelli’s research found no difference in turnover rates between those who

received the brochure and those who didn’t receive an RJP at all.

Lastly, many organizations actually utilize some form of virtual-reality

simulation for delivering RJPs. In essence, the virtual-reality simulation is

designed to present job applicants with scenarios that would resemble the actual

working conditions faced in a day-to-day working environment. These types of

simulations may be great for jobs that are highly routinized (employees do the

same thing day in and day out) but not so great for jobs that are more chaotic.

Not only can these interactive simulations provide the applicant with an RJP, but

the simulations can be created in a fashion that demonstrates to the organization

whether or not the applicant would be a good fit as well. Although applicants

indicate that they appreciate the interactive quality of the simulations when

determining whether to work somewhere, [16] there really is no outcome data on

the actual effectiveness of this new method.

Outcomes of Realistic Job Previews

Ultimately, the big question for most organizations relates to the effectiveness of

realistic job previews in the prevention of voluntary and involuntary turnover. A

number of research studies have attempted to determine whether a realistic job

preview works in the manner discussed in Figure 10.5. Jean Phillips compiled

the research results from forty different studies examining realistic job previews

and found that RJPs did lead to lower initial expectations and lower levels of

both voluntary and involuntary turnover. [17] However, the statistical

relationships between RJPs and the outcome variables wasn’t overwhelmingly

strong. For this reason, David Earnest, David Allen, and Ronald Landis have

cautioned that while RJPs are definitely effective, the actual return on their

investment for an organization may not be high enough to warrant their

utilization within a modern organization. [18] In their study of fifty-two different

research studies examining realistic job previews, the researchers found that an

RJP increased new employee perceptions of organizational honesty, which in

turn actually impacted voluntary turnover. In essence, the researchers argued that

an “RJP signals something about unobservable organizational characteristics

such as organizational honesty, organizational support, and care for

employees.” [19] Although the overall outcomes for RJPs may not be the greatest

organizational investment, they do help to moderately decrease both voluntary

and involuntary turnover, so investing moderate amounts of organizational

resources may still be worth the investment.

KEY TAKEAWAY

The costs of recruiting can be quite extensive for organizations.

Depending on the complexity of the job, costs can range from a

few thousand dollars to hundreds of thousands of dollars to recruit

a new employee, so effective recruitment is fiscally important for

organizations.

Breaugh, Macan, and Grambow created a five-stage model for

explaining effective employee recruitment. Stage 1, recruitment

objectives, involves determining the basic objectives for a new

position. Stage 2, recruitment strategy, involves thinking through

the most effective practices for locating and recruiting potential

employees. Stage 3, recruitment activities, involves the day-to-

day process for recruiting potential applicants, allocating

resources for recruitment, and crafting recruitment messages.

Stage 4, applicant interview, involves interviewing potential

applicants in an effort to determine person-organization fit. Lastly,

stage 5, recruitment results, involves examining the effectiveness

of the organization’s overall recruitment strategy post hire.

Traditional recruitment practices have led to a combination of

unmet expectations on the part of both employees and

organizations. When employees have unmet expectations, their

productivity and commitment will diminish, which could lead to

either voluntary or involuntary turnover. When the organization’s

expectations are not met, the organization will be disgruntled with

the new employee, which will lead to involuntary turnover.

The goal of a realistic job preview is to provide potential

applicants a complete picture of both the day-to-day work the

applicant will be tasked with and an explanation of the

organization’s culture. The goal of a realistic job preview is to

ensure that applicants have a complete picture of the working

environment, which will lead to an increase in met expectations

for both the new employee and the organization.

Although there are a number of methods one can utilize to

present a realistic job preview (e.g., written documents, videos,

hiring personnel, virtual reality), research generally supports that

the most effective tool involves a conversation with a current

employee who occupies the same position.

Realistic job previews have been shown to have many beneficial

outcomes for organizations. First, realistic job previews lead to

more accurate new employee expectations. Second, realistic job

previews decrease both voluntary and involuntary turnover. Lastly,

realistic job previews increase new hires’ beliefs that an

External Corporate Recruiter:

organization is honest, which in turn leads to decreased levels of

voluntary and involuntary turnover.

EXERCISES

1. You are in the process of hiring a new employee. You believe that

a realistic job preview would be very important during the hiring

process, but your boss doesn’t understand its importance. How

would you go about framing your argument in terms of a realistic

job preview’s financial impact on your organization?

2. Table 10.2 provides a wide range of realistic job preview videos.

Select one of the videos and then answer the following questions.

Do you think the realistic job preview is effective? Why or why

not? How would you go about making this video more effective for

new employees?

3. You’ve been asked to sit down with a new employee who is taking

over your current job (or most recent job). What information do

you think would be most important to impart to this person in a

realistic job preview? Why do you think that information is the

most important? Do you think your supervisors would agree with

your assessment of the position? Why or why not?

KEY TERMS AND DEFINITIONS

An individual (or group of individuals)

Off-Campus Face-To-Face Interview:

On-Campus Face-To-Face Interview:

Time To Hire:

who have specific expertise in searching for and recruiting potential job applicants.

When an organization arranges to have an off-site location (typically in or near an airport) to conduct a round of interviews.

When an organization brings the individual to the organization for an interview.

The amount of time that it takes to search for and hire a new employee.

[1] Branham, L. (2000). Keeping the people who keep you in business:

24 ways to hang on to your most valuable talent. New York, NY:

AMACOM.

[2] Davidson, M. C. G., Timo, N., & Wang, Y. (2010). How much does

labour turnover cost? A case study of Australian four- and five-star hotels.

International Journal of Contemporary Hospitality Management, 22, 451–

466. doi: 10.1108/09596111011042686

[3] Hinkin, T. R., & Tracey, J. B. (2000). The cost of turnover: Putting a

price on the learning curve. Cornell Hotel & Restaurant Administration

Quarterly, 41, 14–21. doi: 10.1177/001088040004100313

[4] Sommer, R. D. (2000). Retaining intellectual capital in the 21st

century. Society of Human Resource Management [White paper].

Alexandria, VA: SHRM.

[5] Texas Center for Educational Research. (2000, October). The cost of

teacher turnover: Report prepared for the Texas State Board for Educator

Certification. Austin: Texas Center for Educational Research.

[6] Louisiana Department of State Civil Service. (2011, January 13).

Report on turnover rates for non-classified employees. Retrieved from

http://senate.legis.state.la.us/streamline/Topics/2011/Act 879 Turnover

Report AMENDED Jan 13 2011.pdf

[7] Breaugh, J. A. (2008). Employee recruitment, current knowledge and

important areas for future research. Human Resource Management

Review, 18, 103–118, pp. 103–104. doi: 10.1016/j.hrmr:2008.07.003\

[8] Breaugh, J. A., Macan, T. H., & Grambow, D. M. (2008). Employee

recruitment: Current knowledge and directions for future research. In G.

P. Hodgkinson & J. K. Ford (Eds.), International review of industrial and

organizational psychology (vol. 23, pp. 45−82). New York, NY: Wiley.

[9] Aronson, E., & Carlsmith, J. M. (1962). Performance expectancy as a

determinant of actual performance. Journal of Abnormal and Social

Psychology, 65, 178–182.

[10] Popovich, P., & Wanous, J. P. (1982). The realistic job preview as a

persuasive communication. Academy of Management Review, 7, 570–

578, p. 571.

[11] Breaugh, J. A. (2008). Employee recruitment, current knowledge and

important areas for future research. Human Resource Management

Review, 18, 103–118, p. 106. doi: 10.1016/j.hrmr:2008.07.003

[12] Wanous, J. P. (1980). Organizational entry: Recruitment, selection,

and socialization of newcomers. Reading, MA: Addison-Wesley.

[13] McGuire, W. J. (1961). The effectiveness of supportive and

refutational defenses in immunizing defenses. Sociometry, 24, 184–197.

[14] Saks, A. M., & Cronshaw, S. F. (1990). A process investigation of

realistic job previews: Mediating variables and channels of

communication. Journal of Organizational Behavior, 11, 221–236.

[15] Colarelli, S. M. (1984). Methods of communication and mediating

processes in realistic job previews. Journal of Applied Psychology, 69,

633-642.

[16] Murphy, J. P. (2012, April 13). Show, don’t tell—Job tryouts go virtual

[Weblog post]. Retrieved from http://www.shakercg.com/blog/tag/realistic-

job-preview.

[17] Phillips, J. M. (1998). Effects of realistic job previews on multiple

organizational outcomes: A meta-analysis. Academy of Management

Journal, 41, 673–690.

[18] Earnest, D. R., Allen, D. G., & Landis, R. S. (2011). Mechanisms

linking realistic job previews with turnover: A meta-analytic path analysis.

Personnel Psychology, 64, 865–896.

[19] Earnest, D. R., Allen, D. G., & Landis, R. S. (2011). Mechanisms

linking realistic job previews with turnover: A meta-analytic path analysis.

Personnel Psychology, 64, 865–896, p. 888.

10.2 Socializing

LEARNING OBJECTIVES

1. Differentiate among the three stages of socialization discussed by

Frederic Jablin.

2. Differentiate between vocational and organizational anticipatory

socialization.

3. Explain Frederic Jablin’s three-step process for organizational

entry and assimilation.

4. Explain Alan Saks and Jamie Gruman’s socialization resources

theory.

5. List and describe the various tools organizations have for

onboarding.

6. Explain the relationship between communication and

organizational socialization.

© Thinkstock/iStock

Organizational socialization can be defined as the process an organization

utilizes to ensure that new members acquire necessary attitudes, behaviors,

knowledge, and skills to become productive organization members. In essence,

organizational socialization is a lifelong process that individuals go through from

childhood to retirement. [1] In this section, we examine the stages of

organizational socialization, best practices for organizational socialization, and

the importance of communication during socialization.

Stages of Organizational Socialization

To help us understand organizational socialization, we’re going to look at the

basic stages of organizational socialization originally discussed by Frederic

Jablin. [2] [3] Jablin proposed that organizational socialization can be broken into

three distinct parts: anticipatory socialization, organizational entry and

assimilation, and organizational disengagement/exit (Figure 10.6). To help us

understand socialization, we will explore the first two forms of socialization

(anticipatory and organizational entry/assimilation) in this section and

organizational disengagement/exit in the next section.

Figure 10.6 Organizational Socialization

Anticipatory Socialization

The first part of socialization is referred to as anticipatory socialization, or the

period before an individual actually joins an organization. To help us understand

anticipatory socialization, let’s examine the two types of anticipatory

socialization discussed by Frederic Jablin: vocational and organizational

socialization. [4]

Vocational Anticipatory Socialization

Vocational anticipatory socialization refers to the process an individual

undertakes as he or she selects a specific job or career. Pretty much from the

moment you understand the world around you, you start being socialized into the

world of work. Jablin explained that five influential groups affect our role

anticipatory socialization: family, media, peers, education, and previous

organizational experience.

The first form of vocational anticipatory socialization comes from our families.

Think back to your early childhood. You may have memories of your parents

sitting around the dinner table sharing stories of their workdays. These stories

from our early childhood influence us largely later in life when it comes to how

we perceive work. The stories we hear from our parents actually influence how

we understand what it means to work and how we perceive work life.

Furthermore, our families actually instill in us attitudes, behaviors, beliefs, and

values about work. Even something as simple as the chores you were required to

complete growing up informed your understanding of what it meant to work.

Later in life, your family encourages you academically and even helps to direct

you toward specific occupations. Often, this direction is intentional (e.g., your

mother wants you to be a physician), but this direction can be unintentional as

well (e.g., parents disparage their own line of work or specific occupations).

Overall, our families have a great deal of influence on our perceptions of work

and different occupations.

The second-most pervasive socializer of work today is probably the media. From

the earliest moments most American children can sit up, they are consuming one

form of media or another. Even children’s television shows like Sesame Street,

Thomas and Friends, and Bill Nye the Science Guy illustrate various

occupations, which can have a profound effect on how children view the world

of work. Children’s books also can have a direct impact on how people come to

understand what work is. The reality is children are greatly influenced by the

media, so it should be no surprise that these early impressions of what it means

to work learned through the media impact our understanding of the work world.

Obviously, as we grow older, we come to realize that these portrayals are often

inaccurate, but this early learning still sticks with us and influences our decisions

about future jobs and careers. However, Susan Barber warns us that these

portrayals can also lead to unrealistic expectations of what the work world really

looks like. [5] Too often, television shows depict high-income jobs (e.g., lawyers,

doctors, business executives, pop stars), while more blue-collar jobs are left

completely out of the work landscape on television (e.g., carpenters, electricians,

plumbers). Furthermore, there is a general tendency in a lot of media portrayals

to depict occupations where the income earners are making considerably more

money than the average family in the United States. These inflated expectations

often persist into the college years.

The third form of vocational anticipatory socialization comes from our

immediate peer group. As we all know, peer influence is a very important part of

growing up and continues to be important into adulthood. In a fashion similar to

how we learn from our families, our peers influence our attitudes, behaviors,

beliefs, and values about work. Our peer groups growing up help reiterate what

types of occupations are deemed desirable and which ones should be avoided.

Furthermore, we also learn about the world of work by listening to our peers’

stories of their own work experience or the experiences of our peers’ families

and friends. These stories help to further solidify our perceptions about the world

of work beyond that of our immediate family members.

The fourth form of vocational anticipatory socialization comes from our

education. Not surprisingly, education is another very important factor to

consider when looking at the landscape of how people are socialized. In fact, our

educational system (just like the media) tends to overemphasize certain types of

occupations. In an interesting study, Frederic Jablin [6] found that classroom

activities, discussions, and textbooks tended to overemphasize specific

occupations while downplaying other occupations. In addition to this subversive

socialization, schools often expect students to write research reports or give oral

presentations about possible careers. Furthermore, in public education there does

tend to be an overemphasis on the importance of attaining a college degree. [7] If

you look at the United States Census data from 2010, a very interesting picture

emerges. [8] In the United States, 19.4 percent of the population has a bachelor’s

degree and an additional 10.5 percent has an advanced degree, so rough 30

percent of the population has some form of advanced education past an

associate’s degree. When one analyzes the data, people with just a bachelor’s

degree make an average of $17,000 per year more than those with an associate’s

degree (9.1 percent of the US population) and $36,464 more on average than

those who do not have a high school diploma (12.9 percent of the US

population). However, our educational system is clearly designed to streamline

students toward those occupations that involve advanced degrees that will not be

attained by 70 percent of the actual population.

The final form of vocational anticipatory socialization comes from previous

organizational experiences we’ve had personally. Whether you’ve worked as a

cashier at a local grocery store, helped run your parents’ farm, or were just an

active member of your local church growing up, we all have previous

organizational experience that influences how we view the nature of

organizations. Whether it was actual work experience or voluntary associations

within the context of an organization, these experiences form our perceptions of

how organizations function and what it means to work. Any organizational

experience helps you form attitudes, behaviors, beliefs, and values about work.

One of the reasons internships are often pushed in higher education today is to

ensure that students not only get a taste of an occupation that may interest them,

but the internship experience also helps students develop interpersonal skills in

the workplace while developing a work ethic that will become very important as

the student enters the job market.

Organizational Anticipatory Socialization

In addition to vocational socialization, there is a second form of anticipatory

socialization that needs to be addressed: organizational anticipatory

socialization. [9] Organizational anticipatory socialization is the process an

individual goes through as he or she attempts to find an organization to join.

According to Michael Kramer, we can break the organizational anticipatory

socialization into two basic processes: (1) recruiting and reconnaissance and (2)

selection. [10]

The recruiting and reconnaissance process and the selection process involve all

the steps discussed previously in Figure 10.1. When we look at this process from

the perspective of the applicant, we see that applicants have to find job

advertisements or be approached by corporate recruiters. The applicant needs to

ascertain whether the job description is a good fit for her or his educational

background, skill set, and cultural preferences. During the organizational

anticipatory socialization stage, both the applicant and the organization are

making determinations of person-organization fit.

Related Research

The Mud, the Blood, and the Beer Guys: Organizational Osmosis in Blue-

Collar Work Groups

By Melissa K. Gibson and Michael J. Papa (2000) [11]

The notion of a “blue-collar” job in the United States is one that generally

involves physical labor and is paid hourly. Gibson and Papa were interested

in the notion of the “blue-collar” worker. The researchers started by

explaining how the population of blue-collar workers in the United States is

lower today than it has been in the past. Ultimately, the researchers were

interested in answering two specific research questions:

RQ1: How does communication with referential others (individuals we look

to in an effort to see how one should behave and act in the workplace) during

the assimilation process influence an employee’s work experiences?

RQ2: To what degree do concertive control practices (organizational control,

usually from management, that influences and informs how workers should

act and interact at work) influence worker productivity and efficiency in blue-

collar work groups?

To answer these two research questions, the researchers interviewed

employees at a medium-sized manufacturing facility they dubbed Industry

International. The researchers interviewed fifty-one workers, and the average

worker had worked at the facility for eighteen years. From the beginning, the

researchers came to find out that forty-two of the participants identified one

of their parents as integral in instilling their current work ethic. In fact, two-

thirds of the participants in the study had other family members working for

the organization, and some had up to ten other family members working

there. Some workers felt that working for the manufacturing facility was an

expectation and not really a choice. Overall, the researchers found that the

majority of the workers came from families who had worked at the facility,

and all workers had come from blue-collar backgrounds. “Through

communication encounters with family, friends, and neighbors, these

individuals learned the rites, rituals, values, beliefs, and heroes that comprise

the culture of Industry International, even before entering the organization.” [12] The researchers termed this effortless indoctrination and socialization into

the organization’s culture and practices organizational osmosis.

As for concertive control, the researchers found that the organization

members were perfectly fine with engaging in behaviors that could be

detrimental to their health in an effort to make Industry International more

successful. To help new members (especially those with little previous

socialization), senior members of the organization take on mentoring roles

and often providing counseling in an effort to guide a new member toward

appropriate organizational beliefs, practices, and values. If these counseling

sessions prove ineffective, stronger communication (often in the form of a

veiled threat) would be used. In essence, these senior organization members

are assimilating new organization members in an effort to ensure new

members adhere to beliefs, practices, and values that are most beneficial to

the organization itself and not to its workers as individuals.

Organizational Entry and Assimilation

The second major step in organizational socialization involves the entry and

assimilation of new organization members. Frederic Jablin proposed a three-step

process when attempting to understand organizational entry and assimilation:

preentry, entry, and metamorphosis. [13]

Preentry

The first step in organizational entry is referred to as preentry, or the period of

time after someone has been asked to join an organization but before he or she is

actually working within the organization. Jablin pointed out three important

issues that arise during the preentry stage. First, one must consider the types of

messages a new employee receives from the organization prior to starting work.

These messages could include realistic job previews or “surprises.” In this

context, there could be either negative surprises (messages that are contradictory

to what was discussed in the hiring process: e.g., work schedule, benefits,

organizational expectations) or positive surprises (messages that are pleasant and

demonstrate positive aspects of working within the organization: e.g.,

expressions of caring, honesty, organizational justice).

Second, new employees should be aware of how current organization members

view the new employee. The communicative strategies involved during this

period generally involve impression management. Impression management is

the process (either conscious or unconscious) in which an individual deliberately

attempts to influence the perceptions and opinions of others. In this case, new

organization members attempt to form impressions about who they are as people

and workers in the minds of new coworkers and supervisors. This could involve

touting one’s previous work successes in an effort to bolster one’s credibility or

purposefully self-handicapping (e.g., “I’m a little weak when it comes to using a

spreadsheet”) in an effort to downplay organizational expectations.

Lastly, Jablin points out that the preentry period is also important to current

organization members who “converse about and make sense of new hires during

this period, and in particular how they socially construct or create a reputation

for newcomers in everyday conversations.” [14] In essence, once someone is

hired, there is a period of time when current organization members attempt to

create an image about the new hire. This image includes both how this new hire

will fit within the current structure of the organization and the new hire’s

reputation. The reality is that people in an organization will talk about new hires

in an effort to reduce some of the uncertainty that is bound to come with a new

organization member. Unfortunately, the reputations that are generated could

easily inflate the new hire’s skills, making it harder for the new hire to actually

meet the unrealistic expectations created. In other words, it’s always important to

attempt to get the pulse of how organization members view you when you first

start the job in an effort to correct any misconceptions.

Entry

The second stage of organizational entry and assimilation involves the actual

process of entering the organization as a new member. The goal during the entry

period is to help new members assimilate themselves within the organizational

culture. According to Jablin, organizational assimilation involves the process an

individual goes through as he or she is acclimating herself or himself within an

organization’s culture. [15] Ultimately, the entry period involves two interrelated

processes: intentional socialization efforts and individualization. [16]

First, during the entry period, organizations attempt to help new employees

understand the organization’s culture and the work expectations for the new

employee. Often, this process is formal and involves some kind of new

employee training or probationary period while the new employee “learns the

ropes.” The process includes helping employees understand both the rules and

norms of the organization. The rules of an organization are the explicit dictates

that govern employee behavior within the organization. For example, maybe

there is a formal dress policy. One of our coauthors worked for a hospital with

very strict dress policies. One of the policies dictated the necessity of closed-toe

shoes (no sandals or flip-flops). Another policy spelled out what happened when

paperwork was not submitted on time. Norms, on the other hand, involve the

informal expectations related to how new employees should behave. Norms are

not formal policies, but they dictate how people behave in much the same way.

For example, maybe Monday through Thursday everyone is expected to wear a

business suit, but there is a norm that people are allowed to dress in business

casual clothes on Friday. This allowance for casualness on Fridays may not be

expressly written anywhere in the formal employee manual (a.k.a., a rule), but it

may be very much the norm of how people behave within the organization.

In addition to becoming acclimated to the organization, new employees often

attempt to negotiate the new work environment to better fit their individual

attitudes, skills, and cultural values. One of our coauthors is very much not a

morning person. When he entered into his latest job, one of the things he

negotiated was not teaching classes before noon. Thankfully, his organization

was flexible and allowed for this individualization of the job to better meet his

preferences for a teaching schedule. However, individualization can become

very problematic if the new hire attempts to morph into something he or she was

not hired for. Imagine an organization hires a new public relations expert only to

discover that the person really is more interested in marketing than public

relations. Although these may be related industries within the organization,

having someone become something they were not hired to be will quickly lead

to organizational dissatisfaction.

One key interaction during this phase and the next phase of assimilation can be a

close mentoring relationship or a leader-member exchange relationship. When a

new organization member has the opportunity to work closely with an individual

in a senior leadership position, he or she can learn more about the ins and outs of

organizational life much faster than those who are forced to do it on their own.

Before we can progress further, we must also make it perfectly clear that

organizational assimilation is not the same as creating identical robots within the

organization. In fact, allowing organization members to find their own

productive and creative paths through an organization can often be very

beneficial to the employee and the organization. [17] One area that can be

especially important to recognize in the assimilation process involves the

diversity of new organization members. Historically, there has been precedent in

corporate America that new members assimilate to a white, heterosexist,

puritanical, male-centric entity. As more and more organization members are not

falling into those categories, organizations need to rethink what it means to be an

organization member and allow for this new diversity of perspective. We deal

more with the issues of diversity and why having a diverse workforce is very

important in Chapter 8 and Chapter 13.

Metamorphosis

The final stage of organizational entry and assimilation involves the

metamorphosis stage. The concept of metamorphosis refers to the profound

change that occurs when someone goes from one stage to the next in life. In the

organizational world, metamorphosis occurs when an individual transforms

from the “new kid on the block” to an established member of the organization.

Obviously, metamorphosis does not happen quickly. Often, these transitions

happen rapidly (e.g., success of one’s first big project), but more often these

transitions happen over a long period. People wake up one day only to realize

that they truly are part of an organization and its culture. Furthermore, this

process is not a stagnant one. As people move in and out of new positions within

an organization, they may experience the process of entry and assimilation all

over again. For example, when someone goes from being a low-level employee

to midlevel management, the individual may still work within the same

organization, but her or his perception of the organization and its functions may

drastically alter with the new position.

Overall, entering into an organization and assimilating is not something that

happens overnight. Entering and assimilating is a process that takes time both for

new members and for those members who already exist within the organization.

So, you may be wondering, how can you make your socialization process

smoother when you enter into a new organization? Virginia Peck Richmond and

James McCroskey proposed ten communicative behaviors to avoid during

organizational entry (“Dead on Arrivals” sidebar). [18] Richmond and

McCroskey termed these behaviors DOA, or “dead on arrival,” to indicate that

those who engage in the behaviors generally will not have a very long life in an

organization if they communicate in this manner. We’ve updated their list for the

twenty-first century office place.

Dead on Arrivals

1. DOAs have an external work locus of control. You need to take

responsibility for your own growth, motivation, and performance

improvement.

2. DOAs think they know it all and have seen it all, so they refuse help

from others.

3. DOAs constantly talk about how things were better in their last job, or

how their old workplace did things differently (and better).

4. DOAs don’t want to spend much time in the PITs (Putting in Time), so

they think they deserve all the privileges and rewards long-term

members receive.

5. DOAs think organizational norms and rules are for other workers, not

themselves.

6. DOAs act like peacocks and just want to strut their stuff trying to get

attention.

7. DOAs love to ingratiate themselves into the rumor mill and quickly get

known for sticking their noses where they don’t belong.

8. DOAs tend to forget that there are people who have been around much

longer than have (e.g., good old boys/girls) and often get in their way,

step on their toes, or don’t approach them relationally.

9. DOAs tend to talk trash about their bosses and workplaces to their

coworkers, friends and family, or via social networking sites.

10. DOAs try to go outside the normal channels of communication.

11. DOAs stab their coworkers in the back or tack credit for someone else’s

work.

12. DOAs converse in a verbally or physically aggressive manner with their

coworkers.

13. DOAs make commitments they can’t keep or oversell their skills that

they don’t have.

14. DOAs over-share about their personal lives. Remember, work is work,

not your personal therapy session.

15. DOAs steal time from their workplaces by doing personal work,

making/taking personal phone calls, texting, and posting to social

networking sites while they should be working.

Methods of Socialization

Now that we’ve explored the basic steps involved in the organizational entry and

assimilation process, let’s explore a number of issues related to socialization in

the workplace. To help us explore methods of socialization, we’re first going to

explore socialization resources theory (SRT), then we’ll examine the toolbox that

most organizations use for assimilating new members, and lastly, we’ll discuss

the communication strategies that new employees and organizations use during

the assimilation process.

Socialization Resources Theory

Alan Saks and Jamie Gruman recently created an integrated approach for

understanding effective organizational socialization, which they deemed

socialization resources theory. [19] The basic premise of socialization resources

theory is that during a period of stress (e.g., entering a new organization), the

availability of resources to that individual will determine her or his ability to

cope with the stressful situation, which will in turn help the individual adjust and

successfully socialize within the organization. To help explain how effective

socialization works, Saks and Gruman developed a list of seventeen resource

dimensions that have been shown in both the academic and practitioner

literatures on organizational socialization to facilitate effective organizational

socialization. Table 10.3 provides an overview of the seventeen dimensions.

Table 10.3 Dimensions of Socialization Resources Theory

SRT

Dimensions Explanation

Prior to Entry

1. Anticipatory

Socialization

To what extent does an organization reach out to new members prior to organizational

entry in an effort to make them feel welcome?

Immediately after Entry

2. Formal

Orientation

What is the nature of a new employee’s orientation (e.g., length, delivery method

[face-to-face, online], what types of activities, and who is involved)?

3. Proactive

Encouragement

To what extent are new employees encouraged to actively meet new people, ask

questions, and develop organizational relationships?

4. Formal

Assistance Are new hires assigned formal mentors to help with organizational socialization?

Social-Capital Resources

5. Social Events To what extent does an organization hold formal social events (e.g., happy hours,

lunches, parties, etc.)?

6. Socialization

Agents To what extent do organizational insiders reach out to new hires informally?

7. Supervisor

Support Do supervisors reach out to new employees, demonstrating caring and support?

8. Relationship

Development

Does the organization provide the time and space for new hires to meet and develop

relationships with other organization members?

Work-Related Resources

9. Job Resources Do new hires have the necessary resources (equipment and space) to perform their

jobs?

10. Personal

Planning

To what extent does an organization clearly communicate work expectations to the

new hire?

11. Training Does the organization provide relevant programs to provide a new employee necessary

knowledge, skills, and attitudes to effectively perform her or his job?

12. Assignments Are initial assigned tasks relevant to why the person was hired, and do they provide

some level of challenge and reflect the expectations of future task assignments?

13. Information To what extent does an organization clearly communicate information about the

organization and its expectations?

14. Feedback Do supervisors provide timely and accurate feedback related to organizational values

and task performance?

15. Recognition

and Appreciation Are new employees praised for their effort and performance?

Follow-Up Period

16. Follow-Up Does the organization have processes in place to follow an employee’s progression

after a formal orientation period has ended?

17. Program

Evaluation

To what extent and how often does an organization track the effectiveness of its

organizational socialization programs?

The resources discussed in Table 10.3 are considered the best practices in

organizational socialization. As such, this list can be very effective when

diagnosing an organization’s current socialization practices. In essence, an

organizational consultant could utilize this list of resource dimensions in an

effort to determine where an organization succeeds and needs improvement in

the organization’s socialization efforts.

Tools for Assimilating New Members

As we’ve discussed, assimilating new organization members into the culture of

the organization is very important. Organizational scholars commonly refer to

the practice of assimilating new members as onboarding. Onboarding refers to

the process of welcoming and orienting new organization members to facilitate

their adjustment to the organization, its culture, and its practices. Klein and Polin

argue that socialization is what happens within a new employee, whereas

onboarding processes are put in place by management and human resource

departments to help facilitate socialization. [20] As such, over the years, a number

of different types of onboarding programs have been established. To help us

understand the possible tools that organizations can utilize to facilitate

onboarding, we are going to examine briefly orientation programs, training

programs, and formal mentoring programs.

Orientation Programs

The first common tool used by organizations during an onboarding program

involves some kind of formal orientation program. The general goal of an

orientation program is to facilitate the general understanding of the organization

and one’s expected duties within the organization. New employee orientation

programs generally last from three hours to multiple days depending on the

complexity of the organization and the duties expected of the new hire. Common

topics during orientation programs include the history of the organization, the

mission/vision of the organization, organizational rules, benefits of working for

the organization, and other topics deemed necessary by either the organization or

local, state, and federal government agencies.

Training Programs

The second way organizations go about onboarding new members is through

training programs. The goal of formal training programs during the onboarding

process is to facilitate the acquisition of the necessary skills and knowledge

needed complete one’s job. Although some training programs have broad

organizational appeal (sexual harassment training, workplace bullying training,

crisis management training, etc.), most of the training targeted toward

newcomers is position specific. For example, maybe your position requires you

to utilize Microsoft’s Project Management software. To help you prepare to

complete your training, your organization may send you to a workshop or

possibly get you a subscription to an online training program like Lynda.com or

TotalTraining.com. The goal of training programs is to help get new members up

to speed as fast as humanly possible.

Formal Mentoring

As discussed in Chapter 7, mentoring is the transfer of experience or knowledge

from a senior individual (the mentor) to a junior individual (the mentee or

protégé) in an effort to help the junior individual learn the ins and outs of

organizational life. To help with onboarding, many organizations establish

formal mentoring programs where new members are assigned a mentor upon

hiring who is supposed to help acclimate the new member to the organization.

Formal mentoring is only as successful as the mentors who participate in the

mentoring programs. If the mentors are too busy or unconcerned with the new

hires, then the formal mentoring program will not be overly effective. On the

other hand, if organizations take mentoring seriously and provide support and

training for potential mentors, formal mentoring programs can be very

successful. Notice this is not the same as the informal mentoring discussed in

Chapter 7.

Communication and Socialization

One of the most important parts of socialization (and onboarding) involves the

type, quantity, and quality of the communication sent and received by new

employees during the socialization process. Frederic Jablin explained that there

are four primary functions for communication during the socialization process:

information giving, information seeking, relationship development, and role

negotiation. [21]

Information Giving

The first function of communication during socialization involves information

giving. Information giving refers to the types of information a new employee

provides to coworkers and superiors during organizational entry. How much and

what one shares with others is extremely important during the initial period of a

new job. Some employees are hesitant to provide any personal information to

coworkers and supervisors until after they get to know them, but information

giving is one of the easiest ways to help alleviate any fear coworkers or

supervisors may have about a new hire. A study conducted by Jablin found that

25.6 percent of a newcomer’s communication was information giving. [22] Jablin

further describes four basic types of information given by new employees:

evaluative work, evaluative nonwork, descriptive work, and descriptive

nonwork. [23]

The first form of information giving is labeled evaluative work and consists of

information shared regarding one’s like or dislike of the job itself. This could

include discussions of unmet expectations or needs, the amount of stress one

feels on the new job, or one’s overall level of motivation or job satisfaction with

the new job. All these forms of information giving are evaluative in nature and

centered around the job itself.

Evaluative nonwork, on the other hand, examines the types of judgmental

information given by a new hire about issues outside the confines of the

organization itself. These could include evaluative statements related to other

organizations an individual belongs to (e.g., social clubs or churches). These

statements could also examine how the job affects one’s participation in

nonwork activities. Again, all these types of information giving focus on

judgments of nonwork activities.

Descriptive work information giving focuses on information provided by a new

employee related to her or his understanding of a specific organizational or job

task (e.g., task performance, task goals, and task instructions). Again, the

purpose of this information is not to judge what is occurring within the

organization but to provide information to others about the specific tasks.

Lastly, individuals can provide information that describes nonwork activities.

Generally, these forms of information relate to an individual’s hobbies, family

life, and personal goals. For example, maybe a new coworker went to the movies

last night and tells you about the plot. Maybe another new coworker was

recently married and shows you pictures of her or his wedding. Both examples

involve new employees simply providing organization members more

information about the new employee in an effort to help longer-term

organization members learn about the new employee.

Information Seeking

The second type of communicative behavior that occurs during organizational

socialization is information seeking. Information seeking involves a new

employee’s proactive search for information. In a study conducted by Vernon

Miller and Frederic Jablin, the researchers observed seven basic tactics that new

employees utilize when attempting to seek information. [24] The seven tactics

can be found in the “Information-Seeking Tactics” sidebar.

Information-Seeking Tactics

1. Overt. Asking for information in a direct manner.

2. Indirect. Getting others to give information by hinting and use of

noninterrogative questions.

3. Third party. Asking someone other than the primary information target.

4. Testing. Breaking a rule, annoying the target, and so on, and then

observing the target’s reaction.

5. Disguising conversations. Use of jokes, verbal prompts, self-disclosure,

and so on to ease information from the target without the person’s

awareness.

6. Observing. Watching another’s actions to model behavior or discern

meanings associated with events.

7. Surveillance. Indiscriminately monitoring conversations and activities

to which meaning can be retrospectively attributed. [25]

Relationship Development

The next purpose of communication during organizational assimilation involves

the development of relationships with coworkers and supervisors. As discussed

earlier in this chapter, we spend a considerable amount of time in our lives at

work. Of that time we spend at work, a great deal of it involves interacting with

our coworkers and supervisors. As such, one of the primary reasons we

communicate with people when we first enter into an organization is to develop

relationships (both formal and friendly) with the people in our workplace.

Although we may not become “best” friends with our coworkers and

supervisors, most of us will make friends at work. In fact, research examining

friendship in the workplace has demonstrated that organizations that encourage

the development of workplace friendships will have employees who are more

satisfied, motivated, and productive. [26]

Role Negotiation

The final reason for communication during the entry stage of organizational

socialization involves role negotiation. Earlier in this chapter we discussed how

new employees attempt to individualize their work experience. Role negotiation

is a part of this individualization. Although employees often wait an appropriate

amount of time before starting the individualization of their workplace,

eventually a new employee will have built up enough credibility to start

conversations with coworkers and supervisors to individualize their workplace.

Role negotiations occur when an employee attempts to negotiate with her or his

supervisor about communicated expectations. When people are hired, there are

clearly established expectations related to the job in question (sometimes called

a job description). These expectations can involve everything from the tasks one

completes to one’s place in the organizational hierarchy. When attempting to

engage in role negotiation, the new employee is seeking to alter her or his

supervisor’s expectations in an effort to alter or individualize the new

employee’s work life.

KEY TAKEAWAY

Frederic Jablin articulated three basic stages of organizational

socialization: anticipatory socialization, organizational

entry/assimilation, and organization disengagement/exit.

Anticipatory socialization is the period of time before an individual

enters an organization. Organizational entry/assimilation is the

period of time that occurs from the moment an individual enters

an organization to the moment he or she becomes an established

member of the organization. Organizational disengagement/exit is

the period of time when an individual has decided to leave an

organization to the moment he or she actually exits.

Vocational anticipatory socialization is the process an individual

undertakes as he or she selects a specific job or career. From our

earliest moments in life, our families, peers, teachers, and

organizational experiences socialize us and teach us about the

world of work. Organizational anticipatory socialization, on the

other hand, is the process an individual goes through as he or she

attempts to find an organization to join.

Frederic Jablin proposed a three-step process for organizational

entry and assimilation: preentry, entry, and metamorphosis.

Preentry is the period of time after someone has been asked to

join an organization but before he or she is actually working within

the organization. Entry refers to the period of time when an

individual first enters into the organization and goes through

traditional orientation and socialization processes. Lastly,

metamorphosis occurs when an individual transforms herself or

himself from a new organization member to an established

member of the organization.

Alan Saks and Jamie Gruman’s socialization-resources theory

examines the types of resources new employees need to

socialize effectively within an organization. The theory starts with

the notion that people undergoing periods of stress (like entering

into a new organization) need to be provided with necessary

resources to help manage and alleviate the stress. Based on

research in scholarly journals and the popular press, Saks and

Gruman developed a typology of seventeen different “best

practices” for the types of resources necessary for effective

organizational socialization.

Onboarding is the process of welcoming and orienting new

organization members to facilitate their adjustment to the

organization, its culture, and its practices. Organizations

historically have utilized three different techniques for successful

onboarding: orientation programs (formalized programs that

facilitate the general understanding of the organization and

expected duties within the organization), training programs

(programs designed to facilitate the acquisition of necessary skills

and knowledge needed complete the job), and formal mentoring

(programs designed to help facilitate the transfer of experience or

knowledge from a senior individual to a junior individual in an

effort to help the junior individual learn the ins and outs of

organizational life).

Communication is a very important part of new employee

socialization. Frederic Jablin explained that there are four primary

functions for communication during the socialization process:

information giving, information seeking, relationship development,

and role negotiation. First, organizations engage in information

giving, or the types of information a new employee provides to

coworkers and superiors during organizational entry. Second, new

employees engage in information seeking, which involves new

employees proactively seeking out information necessary to

accomplish their jobs. Third, new employees use communication

to develop relationships with their supervisors and coworkers.

Lastly, new employees use communication to engage in role

negotiations, which occur when an employee attempts to

negotiate with her or his supervisor about communicated

Impression Management:

Information Giving:

Information Seeking:

Norms:

expectations.

EXERCISES

1. Think about your most recent job. What types of socialization

activities did your employer engage in? Do you think these

activities were effective in your socialization? Why or why not?

2. Using a previous organizational experience, describe your own

experience with organizational socialization using Frederic

Jablin’s three-step process for organizational entry and

assimilation: preentry, entry, and metamorphosis.

3. Using a previous organizational experience, provide examples of

Jablin’s four primary functions for communication during the

socialization process: information giving, information seeking,

relationship development, and role negotiation.

KEY TERMS AND DEFINITIONS

The process (either conscious or unconscious) in which an individual deliberately attempts to influence the perceptions and opinions of others.

The types of information a new employee provides to coworkers and superiors during organizational entry.

A new employee’s proactive search for information.

The informal expectations about how new employees should

Onboarding :

Organizational Anticipatory Socialization:

Organizational Socialization:

Role Negotiations:

Vocational Anticipatory Socialization:

Anticipatory Socialization:

Metamorphosis :

Preentry:

Rules :

behave within an organization.

The process of welcoming and orienting new organization members to facilitate their adjustment to the organization, its culture, and its practices.

The process an individual goes through as he or she attempts to find an organization to join.

The process an organization utilizes to ensure that new members acquire necessary attitudes, behaviors, knowledge, and skills to become productive organization members.

The process that occurs when an employee attempts to negotiate with her or his supervisor about communicated expectations.

The process an individual undertakes as he or she selects a specific job or career.

The period of time before an individual actually joins an organization.

When an individual transforms herself or himself from a new organization member to an established member of the organization.

The period of time after someone has been asked to join an organization but before he or she is actually working within the organization.

The explicit dictates that govern employee behavior within an organization.

[1] Wanberg, C. R. (2012). Facilitating organizational socialization: An

introduction. In C. R. Wanberg (Ed.), The Oxford handbook of

organizational socialization (pp. 17–21). New York, NY: Oxford University

Press.

[2] Jablin, F. M. (1987). Organizational entry, assimilation, and exit. In F.

M. Jablin, L. L. Putnam, K. H. Roberts, & L. W. Porter (Eds.), Handbook

of organizational communication: An interdisciplinary perspective (pp.

679–740). Newbury Park, CA: Sage.

[3] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[4] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[5] Barber, S. (1989). When I grow up: Children and the work-world of

television. Media and Values, 47 [Online reprint]. Retrieved from

http://www.medialit.org/reading-room/when-i-grow-children-and-work-

world-television

[6] Jablin, F. M. (1985). An exploratory study of vocational organizational

communication socialization. Southern Speech Communication Journal,

50, 261–282.

[7] Kramer, M. W. (2010). Organizational socialization: Joining and

leaving organizations. Malden, MA: Polity.

[8] United States Census (2010). Educational attainment by selected

characteristics: 2010. Retrieved from

http://www.census.gov/compendia/statab/2012/tables/12s0232.pdf

[9] Kramer, M. W. (2010). Organizational socialization: Joining and

leaving organizations. Malden, MA: Polity.

[10] Kramer, M. W. (2010). Organizational socialization: Joining and

leaving organizations. Malden, MA: Polity.

[11] Gibson, M. K., & Papa, M. J. (2000). The mud, the blood, and the

beer guys: Organizational osmosis in blue-collar work groups. Journal of

Applied Communication Research, 28, 68–88.

[12] Gibson, M. K., & Papa, M. J. (2000). The mud, the blood, and the

beer guys: Organizational osmosis in blue-collar work groups. Journal of

Applied Communication Research, 28, 68–88, p. 79.

[13] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[14] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage, p.

753.

[15] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[16] Jablin, F. M. (1987). Organizational entry, assimilation, and exit. In F.

M. Jablin, L. L. Putnam, K. H. Roberts, & L. W. Porter (Eds.), Handbook

of organizational communication: An interdisciplinary perspective (pp.

679–740). Newbury Park, CA: Sage.

[17] Bohannon, A. (2009, January 18). What is diversity of thought?

Diversity Executive [online]. Retrieved from http://diversity-executive.com

[18] Richmond, V. P., & McCroskey, J. C. (2009). Organizational

communication for survival: Making work, work (4th ed.). Boston, MA:

Allyn & Bacon, pp. 192–193.

[19] Saks, A. M., & Gruman, J. A. (2012). Getting newcomers on board: A

review of socialization practices and introduction to socialization

resources theory. In C. R. Wanberg (Ed.), The Oxford handbook of

organizational socialization (pp. 27–55). New York, NY: Oxford University

Press.

[20] Klein, H. J., & Polin, B. (2012). In C. R. Wanberg (Ed.), The Oxford

handbook of organizational socialization (pp. 267–287). New York, NY:

Oxford University Press, p. 268. 5).

[21] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[22] Jablin, F. M. (1984). Assimilating new members into organizations. In

R. N. Bostrom (Ed.), Communication yearbook 8 (pp. 594–626). Beverly

Hills, CA: Sage.

[23] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

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organizational entry: Influences, tactics, and a model of the process.

Academy of Management Review, 16, 92–120.

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handbook of organizational communication: Advances in theory,

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770.

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Educational and Psychological Measurement, 60, 628–643.

© Thinkstock/iStock

10.3 Disengaging

LEARNING OBJECTIVES

1. Differentiate between voluntary and involuntary disengagement.

2. Explain Frederic Jablin’s four-step model of organizational

disengagement.

As discussed in Figure 10.6, there are three primary phases

of organizational socialization. The first two were

discussed in the previous section. In this section, we

examine the final part of organizational socialization—how

individuals go about disengaging from an organization. To

help us understand disengagement, we will examine two

types of organizational disengagement and the steps of

disengagement.

Types of Organizational Disengagement

Disengagement is the process an individual goes through when considering a

separation and then separating herself or himself from an organization. [1] For

our purposes, we will examine disengagement in terms of either a voluntary

process or an involuntary process.

Voluntary Disengagement

Voluntary disengagement occurs when an individual decides that he or she

needs to look for alternatives elsewhere. There are countless reasons an

individual may decide that it’s time to move on. Whether someone sees greener

pastures elsewhere or just needs a change of scenery, people regularly change

their jobs. People also voluntary disengage from a job when they transfer to

another department or division or retire. As noted earlier in this chapter,

according to the Bureau of Labor Statistics, “The average person born in the

latter years of the baby boom (1957–1964) held 11.3 jobs from age 18 to age 46,

according to the US Bureau of Labor Statistics. Nearly half of these jobs were

held from ages 18 to 24.” [2] There is no reason to suspect that this trend is going

to change anytime soon.

Involuntary Disengagement

Involuntary disengagement occurs when an individual is forced to leave an

organization. The most common forms of involuntary disengagement are getting

fired or getting downsized (involuntary turnover), but getting fired or downsized

are only two forms of disengagement that are involuntary. Other forms of

involuntary disengagement include changes that happen as a result of mergers or

acquisitions or nonvoluntary transfers. In each of these last two cases,

individuals are moved to a new position or transferred to a new location with the

threat that noncompliance will result in losing one’s job.

Steps of Disengagement

Whether someone is going through voluntary or involuntary disengagement,

Frederic Jablin proposed the general steps that he or she will take are generally

fourfold: preannouncement, announcement of exit, actual exit, and postexit. [3]

Let’s look at each of these steps.

Preannouncement Step

Communication during the preannouncement step of disengagement involves

any cues or signals one consciously or unconsciously sends when dissatisfied

with particular people, work, or the organization. Consciously sent cues and

signals may include decreased productivity or increased incidences of

absenteeism or lateness. These cues send the message that you are officially

starting to “check out.” Dissatisfied coworkers may also start to have

conversations with their families and friends about the possibility of finding a

new job long before they have started to disengage in the workplace itself.

Other cues may be subconsciously sent but are observable by others. For

example, an employee may increase her or his voicing of dissatisfaction with

coworkers, supervisors, work, or the organization as a whole. Although the

person may realize that he or she is voicing dissatisfaction, he or she may not

realize that others are seeing the increased dissatisfaction as an indication that

the person is starting to disengage. Even if the employee is not voluntarily

disengaging, coworkers and supervisors may view a change in attitude at work,

decrease in organizational citizenship, or decrease in organizational commitment

as indicators that he or she needs to be corrected or forced out of the

organization.

Announcement of Exit Step

Eventually, the dissatisfied organization member will officially make it known

that he or she is leaving (voluntary disengagement), or the organization will

make it known that the organization member will be leaving (involuntary

disengagement), which occurs in the announcement of exit step. It is not

uncommon for people to roll out an announcement of exit over a period of weeks

or even months, depending on the nature of the job. One of our coauthors once

had a letter of resignation sitting in his desk waiting to be sent to his immediate

superior thirty days prior to his intended last day of work. His secretary knew

that he had accepted another position two months prior, but she had been the

only organization member to know that he was leaving. Unfortunately, he let it

slip a week early to his most vocal coworker that he wouldn’t be around long

enough to work on a project and that she should probably assign someone else

the task. Within ten minutes, he started receiving phone calls from coworkers,

and within twenty-four hours, the organization was already having phone

conferences determining what would happen to his position post voluntary

turnover. Obviously, this announcement did not go as originally planned.

The purpose of communication during the exit step is to help reduce uncertainty

on the parts of those leaving and those staying within the organization. On the

part of the individual, the announcement of exit step helps to solidify that

leaving is going to be a “good thing.” On the part of coworkers, communication

helps to create accounts and justifications for why the individual is voluntarily or

involuntarily leaving the organization. According to Jablin, exit accounts

provided by those leaving an organization typically fall into one of four

categories:

1. Exit will facilitate the person’s achieving long-term goals (future

orientation).

2. Exit allows one to avoid a bad situation/problems at work.

3. Exit is due to unique circumstances (e.g., organizational restructuring,

spouses’ job, unique opportunity).

4. Some mixture of the above kinds of accounts. [4]

Of course, Jablin also recognized that organization members sticking around

have options for how they respond to these accounts as well: [5]

Simply accept the leave taker’s account.

Blend the leave taker’s account with the one circulating around the office.

Reject the account provided by the leave taker.

Construct a new account based on some of the information provided by the

leave taker.

Create a brand-new account for why the person is actually leaving.

Actual Exit Step

Finally, the individual leaves the organization, which is referred to as the actual

exit step. The period from which an individual announces exit to when he or she

exits the organization can happen in a matter of minutes to months, depending

on whether the exit is voluntary or involuntary and the postexit plans of the

person taking leave. If the parting is amicable, it’s possible there will be

celebrations to honor the person as he or she leaves (retirement or going-away

parties). If the parting is not amicable, the person may simply not be there one

day, and coworkers will speak in hushed tones about the person’s exit.

Communication during the actual exit step is generally focused on how the leave

taker behaves and how her or his coworkers respond to the actual

disengagement. We always recommend not burning any bridges when taking

leave of an organization—it’s just not worth it in the long run. Instead, even if

you’re in a situation where you are being involuntarily turned over, it’s in your

best interest to keep your communication professional. Coworkers should also

keep things professional during the actual process of exiting. Even if you didn’t

like a specific colleague, it just isn’t professional to come off looking catty,

vindictive, or happy that you’ve pushed someone out of the organization.

Postexit Step

The final step in organizational disengagement is the postexit step. When

someone finally leaves an organization (whether voluntarily or involuntarily),

those who are left behind need to deal with her or his absence. For example, who

has to take on the person’s workload? Will the organization rehire for that

position or let the position go unfilled for a period? These are basic questions

that organization members ask as they attempt to understand how the work

environment has altered because the person has left the organization.

At the same time, the person who has left the organization also has to renegotiate

who he or she is as a person now that the association with the organization is no

more. People always associate their lives to some extent with their jobs or

careers. When someone leaves an organization (whether voluntarily or

involuntarily), he or she is forced to create a new version of who he or she is as a

person. Obviously, if you left of your own free will and both you and the

organization consider your leaving amicable, you may have a quicker adjustment

period postexit. Conversely, if you’ve spent the greater part of your life working

for an organization only to be downsized a couple of years before retirement,

your adjustment and view of your former organization is going to be much more

complicated. Furthermore, you may find yourself having to explain for many

years to come why you left the organization, so the postexit communication

process may be one that takes years to complete effectively.

KEY TAKEAWAY

When people disengage from an organization, there are two basic

types of disengagement: voluntary and involuntary. Voluntary

disengagement occurs when an individual decides that he or she

needs to look for alternatives elsewhere. Involuntary

disengagement, on the other hand, occurs when an individual is

forced to leave an organization.

Explain Frederic Jablin’s four-step model of organizational

disengagement: preannouncement, announcement of exit, actual

exit, and postexit. The preannouncement step occurs when an

individual transmits cues or signals, either consciously or

unconsciously, because he or she is dissatisfied with particular

people, work, or the organization. Next is the announcement of

exit step, which occurs when either the individual (when

voluntary) or the organization (when involuntary) announces that

the employee will be exiting. Third is the actual exiting of the

individual, which occurs when the employee makes her or his

departure. Lastly, the individual who has left the organization

makes sense of her or his experiences within the organization,

while organization members make sense of their former

colleague’s departure.

EXERCISES

1. Describe a time when you were a part of either involuntary or

voluntary disengagement. Explain how communication occurred

during the period of disengagement.

2. Take a time when you’ve left an organization. Using Jablin’s four-

step model of organizational disengagement, describe your

experience leaving the organization.

Disengagement :

Involuntary Disengagement:

Voluntary Disengagement:

Actual Exit Step:

Announcement Of Exit Step:

Postexit Step:

Preannouncement Step:

KEY TERMS AND DEFINITIONS

The process an individual goes through when considering a separation and then separating him- or herself from an organization.

Form of disengagement that occurs when an individual is forced to leave an organization.

Form of disengagement that occurs when an individual decides that he or she needs to look for alternatives elsewhere.

Step in the disengagement process when an organization member actually leaves the organization.

Step in the disengagement process when either a dissatisfied organization member officially makes it known that he or she is leaving (voluntary disengagement) or the organization makes it known that the organization member will be leaving (involuntary disengagement).

Step in the disengagement process when an individual who has left an organization makes sense of her or his experiences within the organization and when organization members make sense of the former colleague’s departure

Step in the disengagement process involving any cues or signals either consciously or unconsciously sent by someone dissatisfied with particular people, work, or the organization.

[1] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[2] Bureau of Labor Statistics. (2012, July 25). Number of jobs held, labor

market activity, and earnings growth among the youngest baby boomers:

Results from a longitudinal survey. (USDL-12-1489) [News release].

Retrieved from http://www.bls.gov/news.release/pdf/nlsoy.pdf

[3] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage.

[4] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage, p.

790.

[5] Jablin, F. M. (2001). Organizational entry, assimilation, and

disengagement/exit. In F. M. Jablin & L. L. Putnam (Eds.), The new

handbook of organizational communication: Advances in theory,

research, and methods (pp. 732–818). Thousand Oaks, CA: Sage, p.

790.

10.4 Chapter Exercises

REAL-WORLD CASE STUDY

The following case study is based on a first-person narrative article

published in the Harvard Business Review. [1]

Mindy Grossman had worked for Nike for six years when she was

passed up for a promotion. Although she realized that the men who

got the job were deserving, she knew that her only possibility for

ensuring progress in her career was to look for CEO jobs outside of

Nike. Eventually, a corporate recruiter asked if she would be

interested in applying for the CEO position at IAC Retailing. Her first

question, “What’s IAC Retailing?”

IAC Retailing’s flagship was the Home Shopping Network (HSN),

along with a number of minor companies abroad. In the previous ten

years, HSN had seven different CEOs, so Grossman quickly

realized that something was wrong with how things were run at IAC

Retailing. On her first trip to HSN’s headquarters in Florida, she was

surprised to find a dirty office, apathetic employees, and an

organization at a loss for innovation.

Shortly before starting her job, she received a call from the head of

human resources (HR), who asked what she would like to do on the

first day of her job. She responded by asking, “What do other

employees do on the first day?” “They go to new employee

orientation,” the head of HR responded. Much to the surprise of the

head of HR, Grossman responded that she would also go through

new employee orientation. During the orientation she saw the basic

product line, took a tour of the set, and even listened to individuals

in the call center. Going through the orientation process provided

Grossman with a quick and comprehensive snapshot of the

organization and how it functioned and those places where the

organization currently was not functioning.

Since taking over the reins at IAC Retailing, she’s turned HSN from

a second-tier shopping channel into a direct-to-viewer shopping

powerhouse. In August of 2008, she took the company public and

despite a downtrodden economy, by 2011 HSN was valued at over

$2 billion.

1. Do you think new CEOs should go through new employee

orientation? Why?

2. How do you think going through the orientation process at HSN

impacted Grossman’s credibility among her new subordinates?

3. Do you think Grossman’s success at HSN is directly related to the

understanding of the organization she received during her new

employee orientation? Why?

END-OF-CHAPTER ASSESSMENT

1. Darlene is in the process of putting together her organization’s plan for hiring a new chief financial officer. One of the parts of her plan involves thinking through the communicative messages she wants potential CFOs to receive. According to Breaugh, Macan, and Grambow, in which step of the model of employee recruitment is Darlene engaging?

a. recruitment objectives b. recruitment strategy c. recruitment activities d. applicant interview e. recruitment results

2. Which theory of realistic job previews explains that realistic job previews work because the RJP prepares a new hire in incremental steps for the day-to-day life the new hire is going to experience within the organization?

a. inoculation theory b. self-selection theory c. organizational-socialization theory d. socialization-resources theory e. disengagement theory

3. One of the ways employees are socialized into the world of work is through families, friends, and educational experiences. What type of socialization do these represent?

a. preventive socialization

b. organizational-anticipatory socialization c. precautionary socialization d. vocational-anticipatory socialization e. business-related anticipatory socialization

4. Bobby has only recently started working at Universal Corp. During a lunchroom conversation, he mentions to a new coworker that he is an avid snowboarder. According to Frederic Jablin, what type of information giving is Bobby engaging in?

a. evaluative work b. evaluative nonwork c. descriptive work d. descriptive nonwork e. information acquisition

5. Peter is feeling more and more disgruntled at work. His productivity is slipping, and he just doesn’t seem to care much about his job anymore. Although Peter hasn’t said anything to anyone, most people in his office assume he’s on the job market. According to Jablin, which step in disengagement is Peter exemplifying?

a. preannouncement b. announcement c. preexit d. actual exit e. postexit

Answer Key

1. b

2. a

3. d

4. d

5. a

[1] Grossman, M. (2011). HSN’s CEO on fixing the shopping network’s

culture. Harvard Business Review, 89(12), 43–46.

Chapter 11

Technology in Organizations

Big Questions

How could a cultured and modern society carry out the genocide of six million

people? Scholars from historians to theologians have wrestled with this question.

One startling thesis about the Holocaust was advanced by the sociologist

Zygmunt Bauman who argued that the Holocaust occurred because the creation

of modern beuraucratic structures (e.g., division of labor, clear channels of

communication, detachment of humanity from work, and business designed as

well-oiled, systematic machines). Bauman concluded, “The light shed by the

Holocaust on our knowledge of bureaucratic rationality is at its most dazzling

when we realize the extent to which the very idea of the Endlösung [Final

Solution] was an outcome of the bureaucratic culture.” [1]

Scattered pogroms and massacres had been committed against the Jewish people

for centuries. But the Final Solution could not, Bauman observed, “have been

perpetrated without modern bureaucracy, the skills and technologies it

commands, the scientific principles of its internal management” and its

“rational pursuit of efficient, optimal goal-implementation.” [2] Tragically, the

gas chambers of Auschwitz were a technology implemented by a modern

bureaucracy as a “rational” means of optimizing efficiency and “production.”

Yet the failing of Nazi bureaucrats was not an absence of ethics. Rather,

contended Steven Katz, they followed an “ethic of expediency” in which

rationality, efficiency, speed, productivity, and power were regarded as moral

goods. [3] Katz held that this ethic of technological expediency, taken to horrific

extreme in the Holocaust, is predominant in Western culture.

In starting out this chapter on technology in organizations with a cautionary

example from modern history, we wish make a key point. In earlier times, a tool

was a thing to pick up, use, and put away. Today, however, we regard technology

as part of our world. The everyday tools around us seem “natural.” Yet the

shapes of our tools are not inevitable. Technology is designed around the needs

of its users and those needs are, in turn, socially constructed. A smartphone, for

example, is designed around the need that people in our society feel for

individual empowerment, instant connection, and constant mobility. (Would a

society that prized solitude and rootedness produce a different technology?) By

the same token, a photocopier or network server is designed around need that

people in modern organizations feel for rational and efficient optimization of

results. But once we shape our technologies, they in turn shape us. So we mold

our personal lives around mobile communication technologies—and, in the same

way, we mold our organizational lives around technologies that demand

rationality and efficiency to work as designed.

One day you will be—perhaps already are—employed by an organization. For

now, though, you are a student of organizations and their communication. This

gives you an opportunity to step back and study organizational phenomena that

others take for granted in their everyday activities. Technology is one of these

phenomena—so easy to take for granted yet with such a powerful influence on

what we do and think within organizations. Our aims in this chapter are as

follows: to help you appreciate the broader impacts of technology on society and

organizations and to explore the impacts of technology on organizational

structure and on organizational communication. This knowledge can equip you

to be an organization member who thinks critically about things that others do

not question. Clearly, organizations are using technology to accomplish great

good in the world, from raising living standards to prolonging life. But as our

machines grow in power and scope, as they act more independently and at

greater distance from those who control them, the need for organizations and

individuals to make informed choices also increases.

[1] Bauman, Z. (1989). Modernity and the Holocaust. Ithaca, NY: Cornell

University Press, p. 15. Emphasis in original.

[2] Bauman, Z. (1989). Modernity and the Holocaust. Ithaca, NY: Cornell

University Press, p. 17.

[3] Katz, S. B. (1992). The ethic of expediency: Classical rhetoric,

technology, and the Holocaust. College English, 54, 255–275.

11.1 Technology, Society, and the Organization

LEARNING OBJECTIVES

1. Understand the interplay between technology and society.

2. Identify major thinkers on modern technological society and

describe their basic ideas.

3. Relate these ideas to the organization and use them to think

critically about your role in organizations and the balance between

work and life.

Technology is, in the words of Carolyn Miller, a “form of consciousness” that

pervades contemporary society. This consciousness is molded around the twin

impulses of efficiency and the pooling of people and resources needed to make

complex systems work. Thus, “The character of modern technological thought is

closely bound up with its nurturance in the corporation and the bureaucracy.” [1]

In this section, we will trace how the characteristics of technological society

filter down into the organization. As Matts Alvesson observed, “Organizations

can be understood as shaping local versions of broader societal and locally

developed cultural manifestations in a multitude of ways.” [2] Before getting to

organizations, however, we will review how a technological “consciousness”

develops within society in the first place.

Technology and Civilization

That technological progress brought great benefits was an article of faith in the

nineteenth century. Among the first to question this assumption was Karl Marx

who, in the 1860s, described how the Industrial Revolution impacted laborers. [3]

Artisans had owned their simple tools and worked for themselves. By contrast,

industrial machines were complex technologies; only people with capital could

own the machinery, which meant laborers now worked for someone other than

themselves. Nevertheless, faith in science and technology remained unabated.

We have already seen in Chapter 3, for example, how Frederick Taylor in 1913

published his Principles of Scientific Management in the belief that “the best

management is true science.” What became known as Taylorism, noted Edward

Layton, was nothing less than a movement “to assimilate management within

the engineering profession” and thereby “discover the underlying scientific laws

assumed to govern” organization and work. [4]

Questions about “progress” were raised, however, in the aftermath of World War

I (1914–1918) with its mechanized slaughter on an unprecedented scale.

Machine guns, tanks, submarines, aerial bombing, and poison gas were brought

to bear in the conflict for the first time in history. Italian philosopher Antonio

Gramsci coined the term Fordism to describe the mass-production techniques

made famous by Henry Ford and, even more, to describe the assembly-line

concept of work and organization. [5] In Frankfurt, Germany, during the 1920s

and 1930s, scholars at the Institute for Social Research extended Karl Marx’s

critique of capital and labor to modern technological society. They held that,

because the Fordist approach required massive upfront investments in

organization and technology, success at mass production also required artificial

stimulation of demand to induce mass consumption. Two Institute for Social

Research scholars, Max Horkheimer and Theodore Adorno, extended this idea in

their 1944 book, The Dialectic of Enlightenment. [6] Mass consumption in a

capitalist society is stimulated, they argued, by mass culture. The culture

industry, a term they coined, churns out homogenized cultural goods to produce

the desired consumers.

In the United States, Lewis Mumford, in his 1934 book Technics and

Civilization, argued that the meaning of technology goes beyond mere machines.

He coined the term technics (from the Greek word techne) to capture the

relationship between society and technology. “Behind all the great material

inventions of the last century and a half…there was a change of mind,”

Mumford wrote. “Before the new industrial processes could take hold on a great

scale, a reorientation of wishes, habits, ideals, goals was necessary.” [7]

Mumford was hopeful that, as industries of the 1930s converted from steam to

electric power, enterprises could be conducted on a more human scale since

small electric motors could do the same work as vast coal-fired, steam-powered

factories. But after civilization was plunged into the Second World War (1939–

1945) and then a Cold War nuclear arms race, Mumford grew pessimistic and

proclaimed The Myth of the Machine. [8] By the 1960s, he lamented that a new

age of megatechnics had dawned in which ongoing industrial expansion was

achieved by producing goods designed not to last but to be continually updated

and replaced.

Technology and Mind

After World War II, many scholars took up, as German philosopher Martin

Heidegger put it in a series of lectures delivered between 1949 and 1953, The

Question Concerning Technology. [9] Heidegger described modern technology as

an “enframing” (Gestell) of nature. To illustrate, he compared a windmill and a

hydroelectric dam. The windmill generates power by taking the wind as it

naturally comes. By contrast, “The hydroelectric plant is set into the current of

the Rhine [River]. It sets the Rhine to supplying its hydraulic pressure, which

then sets the turbines turning.” [10] Thus, the river is reordered to supply the

needs of—or as Heidegger put it, become a “standing-reserve” (Bestand) for—

modern technology. And if human consciousness itself is reordered so that we

are “challenged, ordered, to do this, then does not man himself belong even more

originally than nature within the standing-reserve?” [11] Thus, in creating

modern technology, we have reordered our own being.

Discussions about technology and society accelerated in the postwar decades.

Philosophers Jacques Ellul and William Barrett each put “technique” at the root

of modern technology and society. Ellul’s The Technological Society [12] and

Barrett’s The Illusion of Technique [13] went beyond technology to describe an

underlying societal mind-set that seeks out some technique as the answer to any

problem. This theme was echoed by Jurgen Habermas and his notion of

technical reasoning, which we encountered in Chapter 4. The modern age, he

argued, has increasingly supplanted practical reasoning based on mutual

consensus with technical reasoning based on a calculus of “what works” to attain

a given end. [14] Habermas also described, as shown in Table 11.1, how

precapitalist “traditional society” had been transformed into our modern

“rational society.” [15] Though traditional society may have had rational elements

—for example, when the king retained clerks to manage the treasury—

traditional norms still governed. In the wake of the Enlightenment and the

emergence of capitalism, however, a reversal took place. As Myra Moses and

Steven Katz succinctly put it, “With the rise of the bourgeoisie, the king is

beheaded, religion is boxed in a cultural corner, and the economic values of the

treasury are now the dominant framework of the society.” [16]

Table 11.1 Habermas's Traditional and Rational Societies

Traditional Society Rational Society

Action is governed

by... Societal norms Technical rules

Language used is... Idiomatic Context-free

Behavioral

expectations are... Reciprocal Conditional

Behaviors are Internalization Skill acquisition

learned by...

The purpose of

action is... Validating tradition Solving problems

Rule violations

are...

Transgressions against authority that

result in social sanction

Transgressions against reality that

result in ineffectiveness

The reason for

working is... Self-actualization Production

The work of Habermas involves ideology critique, which, as we learned in

Chapter 4, is a method employed by critical scholars to expose the dominant

(and often taken for granted) ideologies that underlie societal structures. Here he

demonstrated how the capitalist ideology of production is a driving force behind

modern society’s adoption of “what works” technical reasoning. However, as we

will see next, other scholars have taken different approaches in explaining the

modern impulse behind technical reasoning.

Technology and Culture (Part 1)

Anthropologist Edward Hall began with the fundamental concept that

technology is, at root, a means for humans to solve problems without having to

biologically evolve. [17] But while a stone ax was itself an immediate extension

of the human arm, its invention necessitated development of more tools to

manipulate the original tool—including tools to make an ax handle, to attach

handle and stone, and to sharpen the stone. Thus does extension transference

occur, creating distance between a technology and the human capacity that the

technology was first meant to extend. As the transference process expands in

ever-widening circles, the technology becomes less a personal object and more a

part of the surrounding culture. And as the technology is absorbed into the

culture, habits of thought and speech and action build up around the technology.

This dynamic is represented in Figure 11.1.

Figure 11.1 Hall’s Extension Transference of Technology

Hall distinguished low-context technology, which remains close to its original

use as a direct extension of human capacity, from high-context technology,

which is distant from the user’s intentions and can be absorbed into the culture.

Thus, the hammer and nail are low-context technologies. But the technologies to

extract the raw materials, manufacture and assemble the components, and

distribute the finished products are high context.

What cultural habits of mind and behavior—what form of consciousness—does

technology tend to produce? Carolyn Miller suggested that Homo faber (“skilled

man”) exhibits four basic traits: “the acceptance of means as ends…; the

relinquishment of purpose to the external world; a self-justifying objectivity; and

linear, cause-and-effect reasoning.” [18] Technology becomes an end, rather than

a means, as it is absorbed into the cultural landscape and becomes a key element

in how people explain the world.

Extension transference (to use Hall’s term) distances and ultimately alienates

people from tools and work. (Few people today know how to repair their

gadgets, much less the principles behind how the gadgets work.) Yet as our

technologies extend outward and become our environment, we perceive our

environment not as an open system (which can be random and capricious) but as

a closed system (which is objectively knowable and controllable). And this

leads, finally, to understanding and manipulating the world through cause-and-

effect reasoning. Such trends prompted Neil Postman more than twenty years

ago to dub the United States the world’s first technopoly, a society holding that

“the primary, if not the only, goal of human labor and thought is efficiency, that

technical calculation is in all respects superior to human judgment…and that the

affairs of citizens are best guided and conducted by experts.” [19]

Organizations enter the picture because in modern society they are the principal

means for nurturing and enacting technical reasoning. “The desire for efficiency

makes the integrating qualities of large organizations seem useful; [conversely]

the requirements of large organizations make efficiency seem essential.…High

technology requires these large organizations,” observed Miller. [20] Indeed,

John Kenneth Galbraith believed the organization itself is a technology, a tool for

bringing human and capital resources to bear on problems. The modern

organization, being dependent on technological systems, is a “technostructure”

that marshals together “all who bring specialized knowledge, talent, or

experience to group decision making.” [21] Lewis Mumford described this

phenomenon in more colorful terms; machines in which humans are the

components, he proclaimed, are rightly called megamachines. [22]

Technology and Culture (Part 2)

Until now, our discussion of technology, society, and the organization has been

fairly theoretical. Now we turn to a discussion of technology and culture that

will “hit home” with your personal life and your work life. Let’s begin with a

familiar scenario. You just bought some technology that you’ve been thinking

about for months—perhaps a smartphone or a tablet computer—and that has all

the latest, greatest features your friends have been raving about. To top it all off,

you got a good deal, too.

This scenario, played out by thousands of consumers every day, seems perfectly

natural to us. Yet the task of researchers (and students) is to examine the

assumptions that others take for granted. As it happens, our scenario offers

assumptions aplenty—about progress, about technology, and about

communication. All three profoundly impact not only your personal life but also

your organizational life. So let us briefly examine each assumption in turn. By

taking a critical look at a scenario you have likely experienced in your personal

life, you can more easily grasp how assumptions about technology might play

out in the organizations to which you belong.

Assumptions about Progress

Not long ago Apple advertised its latest smartphone by proclaiming, “The Next

Big Thing Is Here.” The slogan tapped into the widespread assumption that

progress is good. Hence, the “next” big thing is better than the “last” big thing.

Yet the assumption that progress is good may be seen in other, less obvious

examples. The term 4G, used to describe a fourth-generation smartphone

network, encodes the assumption that the next generation of technology is better

than the last generation. Similarly, version 2.0 of the latest tablet computer is, by

implication, preferable to version 1.0. Nevertheless, the assumption that the

future will be better than the present (or the past) is not shared by all societies.

An emphasis on future time is a cultural trait “held by most Americans, who are

constantly thinking about what is ahead” and who take for granted that “what is

yet to come is most valued and the future is expected to be grander than the

present or the past.” [23]

Since the end of the Second World War, scholars have studied the differences

between cultures. [24] Florence Kluckhohn and Fred Strodtbeck—whom we

encountered in Chapter 6—proposed that people look to their cultures for

answers to five questions that explain how the world works. [25] The answers to

those questions determine the cultural value orientations of a society. One of

those value orientations is a society’s sense of time: which is more important—

the past, present, or future? The fixation in US culture on “the next big thing”

may seem strange to people whose cultures emphasize enjoyment of the present

moment or look to the past as a rich source of everyday guidance. Why, they

may ask, do Americans stress out so much about the future?

In buying the latest, greatest technology, your enthusiasm reflects another

cultural assumption about progress. Not only is the future more important than

the present, but you also assume the future will be good. Kluckhohn and

Strodtbeck held that people look to their cultures for guidance on whether

humanity is intrinsically good, evil, or a mix of both. Larry Samovar and his

colleagues argued that in the United States, the early Puritan view of sinful

humanity was modified by the American Dream of betterment through

individual effort. Thus, “Americans have come to consider themselves a mix of

good and evil.” [26] Therefore, while you are aware that technology can be

misused, you take for granted that your new purchase was designed for good

ends by well-meaning people and that you yourself will use the technology for

good.

Assumptions about Technology

Kluckhohn and Strodtbeck observed that cultures provide answers to two more

questions that govern our assumptions about technology. The first question is,

what value is placed on activity? The culture of the United States values doing,

an orientation expressed in the poem “Invictus,” which famously declares, “I am

the master of my fate: I am the captain of my soul.” [27] According to this

cultural assumption, human beings act upon the world. Other cultures, however,

view humans not in terms of doing but of being; people are seen not as subjects,

but as objects that the world acts upon. Still other cultures see in human beings

an emergent quality of being in becoming.

The second question is, what is the relation between humankind and nature?

Many Western societies, steeped in a Christian tradition that mandates human

dominion over the earth, value human control over nature. On the other hand,

many non-Western cultures value harmony with nature, and still others see

humans as subject to natural forces beyond human control.

So when you bought that new gadget, you acted on two cultural assumptions.

You acquired technology to (1) act upon your world and (2) take control over it.

How so? Your new smartphone or tablet computer provides a technological

means to communicate wherever and whenever you want, without being limited

by any natural barriers.

Assumptions about Communication

Why communicate whenever and wherever you want? This brings us to the fifth

question that, according to Kluckhohn and Strodtbeck, every culture must

answer: What is the relationship of people to each other? Chances are you

bought that new smartphone or tablet as a tool for personal empowerment—the

ability to access family, friends, work, and sources of information and

entertainment at will. Such personal empowerment is valued in individualistic

cultures, which view the individual as the most important social unit. So the

smartphone and the tablet are technologies for doing what you want.

In collectivistic cultures, however, the group is the most important social unit.

One reason that mobile phones are popular in these societies is the ability

afforded by the technology to stay in touch and strengthen group bonds. Yet in

authoritarian cultures where leaders are the most important social units, mobile

phones that promote unfettered lateral communication between peers may be

regarded as less important than controlled communication from the top down.

Indeed, scholars are paying increased attention to the role of cell phones in

circumventing state control of communication to organize “flash”

demonstrations and spark revolutions.

Nevertheless, cultures are not static; they are fluid and ever changing. For

example, consider the reluctance of your parents or grandparents about going on

Facebook or why they don’t rush out to buy the latest smartphone. Their

reticence is more than technophobia. You believe that individual empowerment

and control is tied to the ability to always be in communication; for baby

boomers, however, empowerment and control is about maintaining privacy and

personal space. This tension between the need for connection and the need for

separation is important to consider. In Chapter 8, we learned about work-life

conflict. Today, a major aspect of that conflict is the constant pull of work-

related calls, texts, tweets, and e-mails. Grant Fenner and Robert Renn called

this process “technologically assisted supplemental work” (TASW) [28] or a

“form of distributed work where full-time employees perform role-prescribed

tasks at home after regular working hours using advanced information and

communication technologies.” [29] In the good old days, people had to call your

office. If there was no one there, maybe an office had an answering service, but

most of the time the call went unanswered. Then we got answering machines,

and people could leave a message on the machine until Monday morning, and

then the office would deal with the message. Now, when you see a Friday night

e-mail from an important client, can you afford to put it off until Monday? In

fact, people who are not constantly plugged into the office may be seen as lazy

or lacking a good work ethic. Myra Moses and Steven Katz evocatively

described e-mail (not to mention cell phones, texting, tweeting, and

Facebooking) as a “phantom machine” whose “invisible ideology” pushes the

demands of work into the private realm of leisure. [30]

In summary, then, smartphones and tablet computers—and any technology—are

not “natural” developments; technology can take many possible paths. The path

that is taken will stem not just from purely technical choices; those decisions are

also rooted in assumptions about time, humanity, activity, nature, and society. In

the United States and much of the Western world, people assume that progress is

good, humans are good and their actions matter, and natural limitations to human

actions should be overcome so that individuals are maximally empowered. Our

technologies are designed to accomplish these ends. At the same time, as we

learned earlier in the chapter, the very nature of technology—especially as it

becomes absorbed into the culture—fosters habits of mind that privilege

technical reasoning. Our technologies are not mere tools; they both reflect and

shape, indeed they embody, our cultural values and ideologies. This principle

was vividly described by Langdon Winner [31] through several examples from

history:

Freeway overpasses in suburban Long Island, New York, were designed in

the 1940s with low clearances to prevent buses from accessing the island—

at a time when public transportation was the only way that ethnic minorities

from the inner city could get around.

Louis Napoleon had the boulevards of Paris widened in the 1860s to

prevent revolutionary street fighting.

US campuses in the 1960s and 1970s installed huge concrete plazas that

minimized student antiwar demonstrations.

In the 1880s, industrial magnate Cyrus McCormick spent vast sums to

automate his plants and thereby reduce the power of labor unions.

California tomatoes have been specially bred since the 1940s to withstand

the intense shaking of mass harvesting machines, thereby favoring

corporate farming.

Solar energy works best when solar panels are widely distributed and their

management decentralized. By contrast, nuclear power requires tight

centralization and control.

“In our accustomed way of thinking technologies are seen as neutral tools that

can be used well or poorly, for good, evil, or something in between,” noted

Winner. “But we usually do not stop to inquire whether a given device might

have been designed and built in such a way that it produces a set of

consequences” that reinforce dominant cultural values and arrangements. [32]

The same is true of the organization, especially when we realize that the

organization is itself a technology.

One More Word

Since the 1960s, scholars have written about technological determinism and the

technological imperative. The determinism theory was expressed by Ellul who

believed that “technique pursues its own course more and more independently of

man.” [33] Technology is autonomous, a self-propelled force almost like the

weather, impacting society. The year (1964) that Ellul published The

Technological Society, two now-classic movies were released that captured the

same fear. In Dr. Strangelove, the world is blown up by an atomic Doomsday

Machine whose effectiveness as a nuclear deterrent depends on the inability of

humans to control it. And in Fail Safe, the cities of Moscow and New York are

obliterated after a new Soviet jamming technology has the unpredicted effect of

causing American radar to mistakenly register a Soviet first strike. Machines had

become, according to the moral of these stories, too complex for their creators to

fully understand. More recent commentators have warned that technology

advances faster than society can adapt. Postman warned against “the surrender

of culture to technology.” [34] And French philosopher Bernhard Stiegler

observed, “Technics evolve more quickly than culture,” resulting in “a divorce…

between the rhythms of cultural evolution and the rhythms of technical

evolution.” Thus, when technology breaks the cultural “time barrier,” the effect

can be likened to the sonic boom produced by a device that travels faster than its

own sound and breaks the sound barrier. [35]

Though discussion of technological determinism has muted somewhat in recent

years, concerns about the technological imperative are as current as today’s

headlines. Should genetically reengineered crops and livestock be raised for

human consumption? Should human embryos be created and then harvested for

lifesaving stem cells? Should humans be cloned? The shorthand version of the

technological imperative is “what can be done should be done.” Arnold Pacey

put it nearly as succinctly, defining the technological imperative as “the lure of

always pushing toward the greatest feat of technical performance or complexity

which is currently available.” [36]

In organizations, the technological imperative may show up in many ways: the

determination of the marketing department to perfect a new advertising

technique or the efforts of company accountants to find every available loophole

for getting liabilities off the books (an imperative taken to its extreme in the

infamous Enron scandal). And as we noted at the outset of this chapter, an

imperative to optimize efficiency drove Nazi bureaucrats to perfect the

technology of genocide. As Paul Dombrowski noted, “In Nazi Germany, the

distinction between means and ends became so blurred that what was technically

possible came to be sought almost for its own sake. The result [was] a circular

sort of justification: What we can do, we should do, largely because we can do

it.” [37]

KEY TAKEAWAY

Karl Marx noted in the 1860s that the complexity of industrial

machines meant only people with capital could own the means of

production. Yet faith in technological progress was widespread in

the nineteenth century. By the early twentieth century, the

scientific management advocated by Frederick Taylor and the

assembly-line division of labor espoused by Henry Ford were the

dominant approaches to organization. But the mechanized

slaughter of World Wars I (1914–1918) and II (1939–1945) shook

faith in technology. From the mid-twentieth century onward,

scholars began to realize that our tools are not merely “neutral”

instruments whose designs are “natural” outcomes of the tasks

they are intended to perform. Technology shapes society, and

society shapes technology. Technology expands until it becomes

part of the world as we understand it, fostering a society that

favors cause-effect reasoning and means-end calculation. In turn,

the values of the society—its cultural norms, dominant interests,

power relations—are reflected in the designs of its technologies.

Since the mid-twentieth century, numerous thinkers have shaped

the discussion of technology and society. Lewis Mumford held that

new technologies are preceded by changing societal desires.

Martin Heidegger argued that modern technology requires nature

to be “enframed” so that it becomes a “standing reserve” that

supplies the needs of technology; humans have thereby altered

their own being to themselves become a standing reserve for

technology. Jacques Ellul and William Barrett wrote that the root

of modern technological society is a mind-set that always looks

for some “technique” to address every problem. Jurgen Habermas

called this technical reasoning, which favors a “what works”

calculation; our modern-day rational society has thus supplanted

the practical reasoning based on consensus that prevailed in

precapitalist traditional society. Edward Hall posited the

phenomenon of extension transference as the invention of one

tool necessitates the invention of more tools to make and

maintain the original tool; thus technology becomes more and

more distanced from human capacity until it is absorbed into a

society’s culture.

Scholars and philosophers of technology have long voiced

concerns about technological determinism and the technological

imperative. Technological determinism is the idea that technology

has become an autonomous force in our society, like the weather,

and can impact society in unpredictable ways. This idea

encompasses the concern that modern technology has become

too complex for even its creators to fully understand its operations

and effects. The technological imperative is the impulse that says,

“If it can be done, then it should be done,” so the perfection of a

technology becomes its own justification. The issue of human

cloning is an example of this concern. Technological determinism

and the technological imperative are everyday concerns in

organizations. For example, the marketing department might be

driven to perfect a new advertising technique without fully

understanding its impact on consumer psychology or asking if the

technique is ethical.

EXERCISES

1. Think of communication and information technologies introduced

in your lifetime. A partial list might include personal computers,

laptop computers, notepad computers, e-book readers, e-mail,

instant messaging, web chat rooms, streaming audio and video,

dial-up Internet access, high-speed Internet access, Windows 95,

Windows 98, Windows Vista, MySpace, Facebook, YouTube, cell

phones, smartphones, Palm Pilots, Blackberrys, blogging, texting,

tweeting, satellite radio, satellite TV, high-definition TV, flat-screen

TV, TiVo, CDs, CD-ROMs, DVDs, Blu-ray, Netflix, Redbox, Xbox,

PlayStation. Perhaps you can remember the first time you used

some of these technologies. Think about some that have

impacted your life and ask yourself, How does each technology

reflect the values of our society? How has each shaped the way

that our society thinks about the world?

2. Think once again about the technologies you considered in

Exercise 1. Now try to explain those technological developments

according to the theories of Lewis Mumford, Martin Heidegger,

Jacques Ellul and William Barrett, Jurgen Habermas, and Edward

Hall.

3. One more time, reflect on the technologies you considered in

Exercises 1 and 2. Do any of them demonstrate the effects of

technological determinism—that is, have any of the technologies

impacted society in unpredicted ways that seem to be

independent of human control? Also, do any on your list of

technologies reflect the triumph of the technological imperative?

(One example might be the perfection of a social networking site

that gathers all possible data about users despite concerns for

Fordism :

Taylorism:

Culture Industry:

Extension Transference :

High-Context Technology:

Low-Context Technology:

Megamachines:

Megatechnics :

Technical Reasoning:

their privacy.)

KEY TERMS AND DEFINITIONS

A philosophy of industrial organization and division of labor based on the assembly-line mass-production techniques made famous by Henry Ford.

A philosophy of management based on the principles of Frederick Taylor and that regards management as a science capable of discovering universal laws.

Term coined by Max Horkheimer and Theodore Adorno to describe the organs of popular mass culture that stimulate mass consumption of mass-produced goods.

The process, described by Edward Hall, whereby technology is distanced from individual humans as invention of an original tool—which directly extends a human capacity—also requires more tools to manipulate the original tool, and so on.

Technology that, according to Edward Hall, has become distanced from individual humans so that, rather than being used by personal intention to manipulate the world, it has been absorbed into the culture and become part of the world.

Technology that, according to Edward Hall, remains relatively close to the human capacity that the technology extends.

Term coined by Lewis Mumford to describe “machines” in which human beings are the components

Term coined by Lewis Mumford to describe the process of industrial expansion fueled by production of goods designed not to last but to be replaced.

According to Jurgen Habermas, the modern age has supplanted “practical reasoning” based on consensus with “technical

Technics :

Technique :

Technological Determinism:

Technological Imperative:

Technopoly:

reasoning” that seeks solutions based on rational calculation of means and ends.

Term coined by Lewis Mumford to describe the interplay between technology and society; he held that widespread adoption of new technologies is preceded by a reorientation of societal values.

A societal mind-set, described by Jacques Ellul and William Barrett, that seeks out some “technique” as the answer to any problem.

The idea that technology has become an autonomous force, like weather, that can impact society in unpredictable ways.

The idea that “if it can be done, then it should be done,” so perfection of a technology becomes the primary rationale and overrides other ethical considerations.

A society in which, argued Neil Postman, the primary goal of work and thought is efficiency, technical calculation supersedes human judgment, and human affairs are guided by experts.

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11.2 Technology and Organizational Structure

LEARNING OBJECTIVES

1. Identify and describe the three major views of organizational

structure: dimensional, configurational, and communicative.

2. Understand the impacts of new communication and information

technologies on organizational dimensions, configurations, and

structuration.

3. Describe new organizational forms that are emerging due to the

impacts of new communication and information technologies.

Many who are reading this textbook have lived their entire lives with computers

and cell phones. Yet you can remember the time when everybody started

networking on MySpace and Facebook, when everybody started posting pictures

and videos, and when everybody started texting and tweeting. You can

remember what life was like before those methods of communication: when your

computer sat on a desk, when you spent hours e-mailing to connect with friends,

and when your cell phone handled nothing but voice calls. How has your life

changed through today’s new methods of communication?

Whether or not you have started your career or have been a permanent full-time

employee, you can probably imagine how the lives of organizations have also

changed due to new methods of communication. Just as you now structure your

activities differently to achieve your personal goals, organizations structure their

activities differently to achieve corporate goals. The difference is that, while you

communicate for socializing and leisure, organizations communicate to

accomplish work.

To appreciate the difference, think about a group project you may have done for

a class—perhaps even your organizational communication class. The members

of your group may have joked around and chatted about sports or the weather,

but you communicated primarily to work on your project. Just imagine trying to

do your group project without texting each other, without e-mail, or even without

cell phones. You would rely more on face-to-face meetings. And you would

structure your group work differently. Without the ability to share files, you

would assign each part of the project to an individual member who would do his

or her part alone, rather than splitting up into partners or small teams. In turn,

that would force you to allow more time when it came to assembling everyone’s

contributions into a group product.

The link between technology and work has in many ways driven the career of

our coauthor, Mark Ward. As a novice newspaper writer in the 1970s, he

composed articles on a typewriter and sent them downstairs to be typeset.

Writing and production were then organized into separate functions. In the

1980s, as US companies downsized in response to globalization, outsourcing

became common. Mark began freelancing for magazines to supplement his

income—first typing and mailing his articles, then faxing them, then sending

floppy disks, then e-mailing his stories. By the 1990s, desktop publishing

became the norm. Computerization allowed publishers to outsource writing,

editing, and production, saving the overhead cost of an in-house staff. Mark lost

his day job but prospered as a freelancer. And the old divide between writing and

production had blurred, so that Mark now wrote stories, located photographs,

and created packages for both print and online publication. After the new

century dawned, he had enough clients to freelance full time and earn more than

his old staff job ever paid. Yet he missed the sense of belonging that came with a

permanent job for a single organization. So Mark socked away some of the

money he was making, put himself through graduate school, became a professor,

now teaches both traditional and online classes—and coauthored a textbook on

organizational communication that is available in printed and electronic

versions!

The range of communication technologies Mark experienced is vast: typewriters,

typesetting, newspapers, magazines, postal mail, fax machines, personal

computers, desktop publishing, e-mail, the Internet, face-to-face learning, online

learning, printed books, electronic books. As you reflect on the story, consider

these questions:

How did each technology change communication within organizations?

How did each technology change the ways that organizations structured

themselves to accomplish work?

How did organizations adapt to survive?

How did individuals adapt?

Whose interests were served?

The ensuing discussion focuses on two technologies that have special impact on

organizational structure: communication technologies and information

technologies. These have been the object of much research because, as Janet

Fulk and Gerardine Desanctis noted, “Organizational forms have traditionally

been designed to achieve coordination and control in the presence of significant

time and distance barriers.” [1] In other words, organizations have control

structures because coordination—which is achieved through communication of

information—is required to overcome gaps in time and distance. For example, in

the late nineteenth century as US companies grew from owner-operated shops to

multisite corporations, the business memo evolved to handle internal

communications. Then, after typewriters were introduced, headings were added

and the vertical filing system was invented to facilitate document retrieval. [2]

But what is the effect on organizational structures if the barriers of time and

distance are obliterated? Predictions of a coming Computer Revolution began in

the 1960s. [3] However, by the 1970s and 1980s, experts realized that more was

happening than simply an increase in computing power. A 1986 survey by James

Beniger [4] found the “Age of Information” [5] was first proclaimed in 1971, the

“Information Revolution” [6] in 1974, the “Information Economy” [7] in 1977,

the “Information Society” [8] in 1981. At the time, the only computers were

room-sized mainframes, while the small ARPANET (Advanced Research

Projects Agency Network) was used only by a handful of government-funded

researchers. Yet even before personal computing and the Internet, it was clear

that increased computing power was impacting organizations in three vital areas:

productivity, through the ability to automate routine operations; knowledge

management, through the ability to process and generate information; and

control, through the ability to set norms and identify deviations.

The revolution was not instantaneous. A 1986 cover story in Fortune magazine

lamented “The Puny Payoff in Office Computers.” [9] Though computing power

in the United States had tripled between 1970 and 1990, real gains in

productivity seemed illusory. [10] However, Erik Byrnjolfsson [11] and Paul

Strassman [12] found in separate studies that organizations were asking the wrong

question. There was no straight-line correlation between what a company spent

on information technology (IT) and the company’s productivity. As Strassman

explained, the same machines that boost productivity in one organization can

lower it in another. Computers, he pointed out, “enhance sound business

practices. They also aggravate inefficiencies…The problem seems to rest not

with the inherent capabilities of the technologies, which are awesome, but with

the managerial inability to use them effectively.” [13] The key, then, was not to

acquire IT systems and use them to enhance existing organizational processes.

Instead (as Mark discovered when his job was outsourced and he became a

freelancer) to restructure those work processes in ways that optimized the

technology. That is the phenomenon we will explore next.

Understanding Organizational Structure

As communication technologies overcome time and space, researchers are

studying the emergence of new organizational forms such as the virtual

organization and the networked organization. At the same time, studies of new

information technologies have turned up mixed results. In some organizations,

these systems have led to greater centralization by eliminating middle

management and giving leaders direct control, but other organizations have

become more decentralized as leaders depend on a new breed of “knowledge

workers” to manipulate and interpret ever-increasing streams of data.

Nevertheless, understanding the impacts of communication and information

technologies must begin with some basics about organizational structure. We

must grasp the fundamental nature of these structures before we can speculate

how new technologies have impacted them. In their survey of the literature on

organizational structure, Robert McPhee and Marshall Scott Poole identified

three views that dominate research: dimensional, configurational, and

communicative. [14]

Dimensional View of Structure

In the traditional dimensional view, structures are adopted by organizations to

address three basic issues: pattern, formalization, and centralization. First, the

pattern of an organization addresses three problems: vertical hierarchy, or the

chain of command; horizontal differentiation, or the division of labor; and

organizational size, whether large or small or in between. Organizational

structure likewise reflects the degree to which an organization formalizes its

policies and procedures, whether formally through written documents or

informally through verbal or tacit agreement. Finally, organizational structures

reflect the degree to which authority tends to be centralized at the top or

decentralized across the hierarchy. Studies affirm, report McPhee and Poole, that

each variable influences the amounts, types, effects, and perceptions of

communication between organization members in important ways.

Configurational View of Structure

The configurational view looks to identify and name organizational types.

Some scholars study organizations in the field and infer from their observations

the existence of various types [15]; others start from theory, work out different

types, and then identify organizations that fit the hypothesized configurations.

Henry Mintzberg employed the latter approach to develop an influential

typology of organizational configurations. [16] He began by asking five

questions:

1. What are the component parts of organizations?

2. How are the components linked?

3. How do organizations coordinate work?

4. What drives decisions about structure?

5. What must be decided about structure?

Mintzberg theorized that different combinations of variables yield seven valid

organizational configurations:

1. The entrepreneurial organization

2. The machine organization

3. The professional organization

4. The diversified organization

5. The innovative organization

6. The missionary organization

7. The political organization

His theory is summarized in Figure 11.2.

Figure 11.2 Mintzberg’s Organizational Configurations

While Mintzberg theoretically worked out a list of idealized organizational

types, researchers working through field observations of actual organizations

have come to general agreement on the existence of several basic organizational

types. [17] These are summarized in Table 11.2: functional structure, divisional

structure, geographic structure, matrix structure, horizontal structure, and

network structure.

Table 11.2 Taxonomy of Organizational Configurations

Configuration Characteristics

Functional

Activities with common functions clustered together and arranged from bottom to top

Example: The company CEO oversees a VP of operations who manages the operations

staff, a VP of marketing who manages the marketing staff, and a VP of finance who

manages the accounting staff.

Divisional

Separate units are created according to their products or outputs

Example: A public-relations agency maintains a corporate-accounts division, a nonprofit-

accounts division, and a government-accounts division.

Geographic

Separate units are created according to their geographic locations

Example: A nationwide US company maintains a Northeastern Division, a Mid-Atlantic

Division, a Southeastern Division, a North Central Division, a South Central Division, a

Southwestern Division, a West Coast Division, and a Pacific Northwest Division.

Matrix

Each stage of product line is separately coordinated

Example: At an aerospace company, each stage of its commercial aircraft product line is

separately managed by its research, procurement, manufacturing, marketing, and finance

divisions. The military aircraft and the light aircraft product lines are similarly managed.

Horizontal

Cross-functional teams manage products across entire process

Example: A videogame company assigns development for each of its games to separate

teams. Each team is composed of members who represent each step of the process, from

storyboarding and level design to distribution and marketing.

Network

Central unit/organization is coordinating hub for units/organizations with specialized

roles

Example: A computer manufacturer pulls together a network of independent companies

that each play a role in the process—parts, assembly, shipping, and distribution.

Communicative View of Structure

The communicative view of organizational structure is a supplement to the

configurational and dimensional views. As McPhee and Poole explain,

“Communication is part and parcel of many configuration concepts and

permeates the organization when it is considered as a whole,” whereas the

dimensional approach to structure reduces “the organization into a number of

dimensions, most of which have limited relevance to communication per se.” [18]

The traditional dimensional perspective often takes organizational pattern,

formalization, and centralization at face value. But researchers with a

communicative view might ask the following:

How is the ostensibly hierarchical relationship between superior and

subordinate influenced by the overall organizational and communicative

context? [19]

Does formalization always act as a mechanism for rationalization and

control, or does it cut both ways and give subordinates a basis for

interpreting rules to their advantage? [20]

Can centralization always be equated with control when management in

fact strives to “produce” project teams and individual employees who

strongly identify with the company and voluntarily carry out its objectives? [21]

Other scholars who hold a communicative view start with the premise that

structure is produced by communication. We encountered this approach in

Chapter 4 and the discussion of structuration theory. There we saw how the

social actions of human practices creates structure—and how those same actions

simultaneously reproduce and perpetuate the structure by acting within what it

enables and constrains. In a body of work developed over thirty years, Poole and

McPhee have demonstrated the relevance of structuration theory to

communication studies generally [22] and applied it to the problems of

organizational climate, [23] formal structure, [24] sites of structuration, [25] and

organizational identity and identification. [26]

To summarize the discussion so far, we asked you to imagine how a group

project for one of your classes might be organized differently if you lacked

today’s technology for gathering information and communicating with the group.

And we related how one of our coauthors experienced over the decades of his

career numerous changes in organizational structures brought on by new

technologies. But to get a better idea of how technology impacts organizational

structure, we then reviewed the current literature on the basic elements of

structure. Our review has provided a framework for asking questions about the

impacts of new communication and information technologies:

How do these technologies affect—according to the dimensional view—the

patterns, formalization, and centralization of organizations?

Are these technologies driving new organizational configurations and, if so,

what are these new forms?

Are the capabilities for communicative action afforded by these

technologies producing new organizational forms and structures?

Organizational Impacts of Technology

As we saw earlier, the impact of new technology is not a simple matter of voila!

—one day a technology comes into existence and organizations merely start

using it. Organizations must simultaneously adapt to the new capabilities that the

technology affords, while gauging how the technology can be adapted to

leverage the strengths of the organization. With regard to communication

technologies, William Dutton described this dynamic as a threefold process. [27]

The technological aspect is seen in the ways that a technology enables new

forms of organizational coordination and control by reducing gaps in time and

distance—as when, in the earlier example, invention of the typewriter allowed

documents to be prepared with standard headings that made them easy to file

and retrieve. The organizational aspect is seen in the ways that organizations

design or customize a technology to their needs—for example, when a company

configures a new phone system or server network, or writes customized

software, which tailors the technology to its specific needs. The emergent aspect

is seen in the ways that technologies and organizations dynamically interact; a

new technology provides an occasion for an organization to create new forms

while, conversely, the new form calls forth new uses or capabilities out of the

technology. For example, after organizations adapted to the convenience of

interoffice e-mail, in time they realized that “broadcast e-mails” to potential

customers could be an effective marketing tool. This threefold dynamic is

represented in Figure 11.3.

Figure 11.3 Dutton’s Technology/Organization Dynamic

With this in mind, let us look, in turn, at how new communication and

information technologies may be impacting organizational dimensions (i.e.,

patterns, formalization, and centralization), configurations, and structuration.

Impacts on Organizational Dimensions

Recall that the traditional dimensional view of organizational structure focuses

on three issues: pattern, formalization, and centralization. An organization’s

pattern is, first of all, determined by its size, vertical hierarchy (chain of

command), and horizontal differentiation (division of labor). A second

component of organizational structure is formalization of its rules and

procedures: some organizations emphasize formal written documents, and others

work more informally through verbal agreement or unwritten rules that are taken

for granted. The third component of structure is the degree to which authority is

centralized; that is, whether coordination and control functions are concentrated

at the top or dispersed throughout the organization. Janet Fulk and Gerardine

Desanctis reviewed the literature on communication technology and its impacts

on organizational forms, and their analysis can be broken down according to the

three dimensions of organizational structure. [28]

Technology and Organizational Pattern

Studies suggest that advances in communication and information technologies

have prompted organizations to “reengineer” themselves. Their goals are to

reduce overhead, divest underperforming divisions and units, focus on their core

activities, and coordinate those activities through a single cross-functional unit

rather than monitoring each activity through a separate office. The net result,

reported Fulk and Desanctis, is an overall reduction in the size of these

organizations and their staffs.

During the hundred years between the late nineteenth century and late twentieth

century, vertical integration was a favored model for organizational structure.

Thus, for example, major oil companies sought to own every phase of their

business—from oil exploration and production (the upstream), to supply and

distribution (the midstream), to the familiar corner gas station (the downstream).

But since the late twentieth century, widespread adoption of new communication

and information technologies has spurred market-based alliances rather than

vertical hierarchies. Thus ExxonMobil, BP, Shell, and Chevron continue to own

and operate refineries (the upstream) but now deliver gasoline to wholesalers

(the midstream), who in turn supply fuel to independently owned chains of gas

stations (the downstream). [29] This illustrates a trend described by Fulk and

Desanctis: each segment can focus on what it does best—production (upstream),

distribution (midstream), retailing (downstream)—and then use today’s

communication and information technologies to ensure each party optimally

holds up its part of the alliance. The independent gas-station chain goes online to

track fuel shipments and ensure the wholesaler delivers at the right time, place,

quantity, and price; the wholesaler goes online to check daily oil prices and uses

that information to negotiate advantageous fuel supply contracts with the oil

company and so on. Instant communication and information also permits

organizations to shift their alliances, or engage in multiple alliances, as the

market dictates.

Finally, new technologies are impacting horizontal differentiation—the division

of labor—within organizations. To describe how new communication and

information systems are shaping organizational forms, Fulk and Desanctis prefer

the term horizontal coordination to horizontal differentiation. We have already

seen how organizations today outsource activities, often through horizontal

market-based alliances, that they once performed themselves. Also,

organizations that once had separate offices to monitor each of their activities

now use technology to monitor multiple functions through a single office.

Because of computers and digital connectivity, the vice president of that

independent gas-station chain can sit at a desktop computer screen and—like

looking at the dashboard of a car—see at a glance how the chain’s one hundred

locations that day are performing: at fuel sales, at snack and drink sales, at car

wash sales—as well as how much fuel remains in each station’s underground

storage tanks and when, based on average sales, the wholesaler must deliver

more fuel to fill the tanks. If any of these variables deviate from normal

parameters, the vice president can set the system to flag the deviation and send

instant e-mail and text alerts to all personnel concerned. This is an example of

what Fulk and Desanctis called stockless production, since the computer system

can be set to automatically place an order with the wholesaler when more fuel is

needed. Thus, the gas station owner orders only what is needed, when it is

needed, and (at current gasoline prices) avoids spending thousands of dollars on

product only to have it sit useless in the underground storage tank for weeks.

Not only can the monitoring of activities be integrated, but so can the activities

themselves. Workflows in organizations have historically been sequential: when

one phase of design and production was finished, it was passed along to the

office responsible for the next phase. Today, technology makes it possible for

units to share work and information; products can be designed and manufactured

with different offices working concurrently and in parallel with each other. Many

organizations are moving to self-directed work teams (SDWTs), or teams whose

members work cross-functionally and take responsibility for determining their

own procedures for fulfilling corporate goals. (SDWTs can even be formed on a

per-project or ad hoc basis.) Since team members may work in different

locations, “group support technologies” have been developed.

Technology and Organizational Formalization

Consider another reason today’s technologies promote horizontal coordination

rather than differentiation. The effectiveness of communication and information-

sharing technologies depends on everyone in a network being connected, pulling

from the same database, and using the same protocols for encoding and

transmitting data. In turn, this suggests that protocols for communicating and

sharing information are a significant focus of formalization—the codification of

rules and procedures—in modern organizations. Fulk and Desanctis highlight the

importance of communication with a simple illustration: “With the well-

documented shift from manufacturing to services in most developed economies

has come a focus on manipulating information and symbols rather than physical

products.… Communication rather than transportation systems become the

fundamental constraints for organization design.” [30]

The shift from physical production to information production raises new

challenges for the formalization and codification of rules and procedures. For

example, in manufacturing a physical product, a company can easily distinguish

the finished product from the process that created it. Product and process can be

evaluated by separate protocols: Does the finished product meet its design

specifications? Does the manufacturing process attain the desired productivity?

But when organizations are producing information, whether internally or as a

service to clients, the process and the product are indistinguishable—indeed, the

process is the product. This simple yet far-reaching fact has enormous

consequences for an organization’s rules and procedures. A physical product can

be evaluated by specifications formulated internally by the organization. An

intangible product such as information requires other measures—perhaps

comparing the process to “best practices” within the industry or embedding a

customer-satisfaction measure in the process.

Finally, as new technologies enable formerly separate functions to be integrated

at a single cross-functional location, the streams of information at that location

multiply. The specter of information overloads rears its head. To deal with all

this information, organizations must “manage by exception” and employ

computer-aided tools to help them do so. For this reason, a key aspect for

modern organizations in writing formalized rules is the codification of statistical

norms and what constitutes deviations. With that, organizations can set their

computer systems to automatically monitor norms and instantly flag deviations

and resolve them by predetermined rules. In this way—to continue with our

example of the corner gas station—the vice president at chain headquarters is

swiftly alerted when a fuel storage tank is low, a gas pump is out of paper to

print receipts, the car wash is jammed, and sales of coffee for the past week are

down. The computer can even respond automatically: e-mailing an order to the

wholesaler for another fuel delivery, texting the station manager to replace the

receipt paper, faxing an emergency request to the car wash repair company, and

lowering the price for a cup of coffee.

Technology and Organizational Centralization

The example just described also illustrates another trend reported by Fulk and

Desanctis: “Perhaps the most common observation in discussions of new

organizational forms is the dwindling ranks of the middle manager and the

associated flattening of hierarchies. This change is often attributed to

communication and related information technology subsuming the coordination

and control roles of managers and staff.” [31] Yet despite this point of general

agreement, Fulk and Desanctis describe a “centralization-decentralization

debate” in which they discern five different views among organizational

communication researchers:

1. Some researchers argue that new technologies are fostering more

centralization as middle managers are eliminated and organizational leaders

deploy technology to set norms and monitor progress.

2. On the other hand, some researchers contend that new technologies lessen

centralization; as communication and information are dispersed more

widely, local offices have access to company-wide data and are equipped to

make local and on-the-spot decisions.

3. Still other scholars have discerned simultaneous centralization and

decentralization as local offices gain the information resources to make

local decisions, but central offices likewise gain the means to monitor local

performance.

4. Some studies, however, have reported cases where organization members

manipulate the adoption and implementation of new technology to reinforce

existing power structures—for example, when companies equip employees

with e-mail accounts but then monitor their communications.

5. A fifth view argues that technology is neutral: its effects on organizational

structure are driven by context and thus depend on the complex interactions

among people, technology, and organizational processes.

Impacts on Organizational Configurations

As we saw earlier, Mintzberg deduced the existence of seven organizational

configurations by theorizing how the elements that make up an organization

might be differently combined. Organizations have six components, he

theorized, plus seven possible choices for how to coordinate work. Thus, an

organization whose leadership coordinates work by direct supervision is

“entrepreneurial,” an organization whose technical experts coordinate work by

standardizing outputs is a “machine,” an organization whose operations

personnel coordinate work by standardizing skills is “professional,” and so on.

But extending Mintzberg’s model—which he developed in the 1970s and refined

in the 1980s—to today’s technologized workplace raises two questions. . The

first question is, does the widespread adoption of new communication and

information technologies alter Mintzberg’s six organizational components and

seven coordination mechanisms? Figure 11.4 suggests how his model might be

revised in light of technological developments since the 1980s.

Figure 11.4 Mintzberg’s Model Reconsidered

A generation ago, middle managers comprised a significant portion of the

organizational structure. Further, to oversee operations these managers were

aided by technical experts and other support staff. Today, the operations of many

companies are their technological outputs of information and communication,

while a smaller cadre of middle managers supports the technostructure—for

example, by facilitating integration of various processes into a single cross-

functional location. Then, too, additions to Mintzberg’s seven coordination

mechanisms may be needed. Along with standardization of work, skills, outputs,

and norms, organizations now strive—as we have seen—to coordinate activity

through standardization of information (via shared protocols and databases) and

communication (via shared connectivity). In addition to Mintzberg’s list of

organizational configurations (entrepreneurial, machine, professional,

diversified, innovative, missionary, political), can you think of names for

organizations that coordinate activity by relying on their technostructure to

standardize information and communication?

The second question raised by Mintzberg’s model is a fundamental issue that

organizational scholars today are wrestling with. He envisioned each

organization as a self-contained entity; his theory proposed that the configuration

of any organization can be determined by examining its internal logics. How

organizations coordinate their own activities, rather than how they interact with

their environments, is the key to his typology. However, today’s communication

and information technologies obliterate time and distance not only between an

organization’s various components but also between an organization and other

organizations. As we saw earlier, vertically integrated companies are

increasingly giving way to companies that focus on a core activity they do best

and then forming strategic alliances with other companies. Today, an

organization can actually be an “organization of organizations.” Further, such an

organization of organizations need not be permanent but can shift or change or

dissolve as needed.

This configuration has come to be known as the network organization. Yet

such an “organization of organizations” can take multiple forms:

A large company may create a satellite network of independent suppliers

—a model typified by Dell Computers, which takes consumer orders and

then draws from a network of component suppliers to create and ship a

made-to-order machine.

A consortium of equal partners may network to form a joint venture—for

example, when Japanese consumer-electronics giant Sony wanted to enter

the mobile phone market in 2001 and partnered 50/50 with the Swedish

telecom firm Ericsson.

To perform a specific project, a “broker” organization may pull together a

dynamic network of several other organizations, each of which plays a

different role—as when a real estate developer enlists an architect and

general contractor to formulate a “design/build” proposal. Rather than do

the project sequentially—first the design, then the construction—the

functions are performed in parallel as the architect drafts a design, the

builder estimates feasibility and cost, and the architect accordingly modifies

the design.

Finally, much attention has been drawn to the virtual organization whose

participants are linked solely by technology—as seen in Mark Ward’s story

of magazines published through the work of freelance writers, freelance

editors, freelance designers, and freelance webmasters who electronically

gather and develop content and then electronically transmit it for printed

and online publication.

Each of these organizational configurations deploys, in various combinations, six

strategies described by Marshall Scott Poole—and listed in Table 11.3—for

forming networks. [32]

Table 11.3 Poole's Strategies of Network Organizations

Strategy Communication and information systems are used to...

Integration Reengineer processes, achieve cross-functionality, and thus respond more quickly and

effectively to customer demands and market conditions

Modularity Flexibly reconfigure structures as needed; modules may be units within a larger

organization or independent organizations working in alliance

Geographic

Coordination

Coordinate dispersed work units and individuals; in a virtual organization, participants

are linked only by technology

Horizontal

Coordination

Coordinate horizontally related work units and individuals, thus flattening vertical

hierarchy and distributing power laterally

Team-Based Facilitate work by autonomous and self-managing teams in order to optimize quality

and achieve continuous improvement

Market-Based Substitute market mechanisms for vertical hierarchy as a means for mediating

transactions within and between organizations

Impacts on Organizational Structuration

Recall that a communicative view of organizational structure starts with the

premise that structure is a product of communication. This assumption leads us

back to structuration theory, which we encountered in Chapter 4. To resolve the

dilemma of structure—does human agency create structure, or does structure

determine human actions?—the theory posits a duality of structure. This

concept holds that human actions create structures through repeated social

practices, while that same agency validates and reproduces structures by acting

within what the structures enable and constrain. Thus, structures are

simultaneously an outcome of, and a medium for, social action. Following this

logic, Wanda Orlikowski proposed that a duality of technology operates within

organizations. [33] Her theory advances four propositions: technology is (1) an

outcome of and (2) a medium for human action, even as the organization (3) is a

context for human interactions with technology and (4) is impacted by those

interactions.

This dynamic was elaborated by Ronald Rice and Urs Gattiker in their review of

the literature on new media and organizational structure. [34] First, new

communication and information technologies do not enter organizations with a

clean slate; people do not simply take a machine out of the box, read the user

manual, and start communicating or processing information as the product

designers envisioned. “Many assumptions [are] built into our notions and

experiences of organizational communication and structure that are based on

how people interact and communicate within and across organizations,” Rice

and Gattiker noted. Thus, “our understandings of organizational

communication, structure, and media are all influenced by preexisting media and

structures, and in turn influence the development of new structures and media.” [35]

Organizational structures comprise dimensions but also meanings and

relationships, which in turn can both enable and constrain certain uses of new

technologies. By the same token, new technologies can impact organizational

structures by enabling and constraining certain meanings and relationships. In

this way, users of a company’s new e-mail system might initially follow the

conventions of business memos. But later, as the technology impacts how office

relationships are structured, e-mails become more conversational in tone. Or

voice mail might at first be perceived as a “fancy” answering machine for

requesting a conversation. But then, as its message storing and forwarding

capabilities alter client relationships, voice mail becomes a way to extend

conversations beyond real-time constraints.

Though most research on new media and organizational structure has not been

informed by structuration theory, Rice and Gattiker surveyed the research

findings and interpreted them within a structurational framework. [36] They

found that the research clustered around three problems: (1) How are new

communication and information technologies adopted and implemented by

organizations? (2) How do these technologies transform organizational structures

—and conversely, how do these structures transform the technologies? (3) How

do the transformations become institutionalized? Thus, as shown in Table 11.4,

organizations that implement new communication technologies initially interpret

their use according to existing media and communication patterns.

Table 11.4 Organizational Implementation of New Media

New media are initially used... Example

according to norms for existing

media

e-mails are likened to memos

according to norms of

organizational culture employees don't send e-mails to the boss

according to existing

communication networks employees e-mail people in their own offices most often

after others have adopted a given

function a project team member uses a wiki because others now do so

as enabled or constrained by the

environment

office traffic patterns, ease of access, ambient distractions, and

privacy influence media use

Next, as illustrated in Table 11.5, members of the organization gradually become

accustomed to using the capabilities afforded by new media so that processes of

communication and work itself are transformed.

Table 11.5 Organizational Transformation through New Media

Members gradually learn... Example

message content lends itself to new e-mails are initially formal in tone but over time

communication patterns become more informal

message forms require new communication

patterns

an employee who receives a group e-mail learns to

follow multiple response threads

to deal with instantaneous and asynchronous

aspects of new media body

brief e-mails are more likely to be read in a

conversation thread with multiple users

group activities fit procedures facilitated by

group software

members e-mail each other less when group

announcements are posted online

work evolves as new media enable new

communication patterns

projects are increasingly managed by cross-functional

teams

Finally, the transformation of communication and work processes enabled by

new media is institutionalized until, as shown in Table 11.6, these changes

become the new norms for the organization and its members.

Table 11.6 Organizational Institutionalization of New Media

Use of new media... Example

alters power relations

at one organization, increased horizontal communication

flattens hierarchy; at another, leaders use monitoring to extend

control

realigns and often expands

communication networks use

increased access and horizontal flow can broaden and

democratize participation in communication situations such as

meetings

has led to emergence of new

organizational forms

the “network organization” is an alliance of independent

organizations that collaborate via the Internet

flattens vertical hierarchies and reduces

emphasis on clear organizational

boundaries

new communication technologies encourage leaner

organizations and new possibilities for alliances between

organizations

Why It Matters to You

In this chapter section, we first reviewed the basic elements of organizational

structure and then explored how new communication and information

technologies are impacting the ways that organizations are structured and

coordinate work. If not already, someday you will be pursuing your career within

the context of today’s organizations and their structures. Your effectiveness will

be enhanced if you understand how communication—your own and your

coworkers’—is related to how the organization structures itself to accomplish its

goals. To emphasize this point, we return to an illustration used earlier—namely,

that group project you did for one of your classes.

The authors of this textbook have taught long enough to know that college

students are (at least initially) wary of group projects. You worry about

depending on others to get a good grade. You fret over meshing your approach to

the project with other members who have a different style of working. In fact,

you know that a few members are bound to slack (which—unfairly!—means

extra work for you). Then, too, you must set aside time to communicate with

everyone (whether by texting or e-mail or phone or meeting face to face).

Finally, chances are good that you may not “click” with at least one group

member and will need to spend extra time to work on your relationship for the

good of the team. How much easier and faster it would be, you tell yourself, if

you could only work alone and (of course!) produce a great project that perfectly

meets your personal standards.

But if this chapter section on technology and organizational structure has shown

you anything, the moral of the story is that today’s organizations are reducing

vertical hierarchy and leveraging technology to foster horizontal collaboration.

In other words, when you graduate and find that great job, you will be doing

group projects! And the ability to communicate effectively with your project

team—whether in meetings or by e-mail, voice mail, videoconference, online

chat, text, phone, fax, or wiki—will be essential. Perhaps you have used these

technologies only on a personal basis for social networking and leisure. Now

think of using them on a professional basis for building a project team that can

accomplish work. Then you will have no options: differences in working styles

must be resolved, slackers must be covered for and then dealt with, time must be

found in your hectic work schedule to keep in regular touch with the team and to

attend meetings (either face to face or virtually), and personality differences

must be worked out. Nor can you produce the “perfect” project by working

alone; for one thing, your boss expects a team effort and, for another, project

specifications are too complex.

Back in your college classroom, it is likely that when your group encountered a

problem over slackers or personalities, you went to the instructor for a resolution

of the situation. That was so much easier than confronting a group member and

then doing the messy job of working out broken relationships. But imagine if

you pulled the same stunt on your first job—that is, your project team bypassed

an offending member and went straight to the boss. What would the boss think?

To your face, she might say, “Your team was assigned this project and now I see

you can’t handle it.” Behind your back she might think, “Oh, no. If there are bad

vibes on that team—and they interact with other parts of the organization—their

negativity may be spreading.” Caught by surprise and worried about the overall

impact on her organization, the boss may impose a “solution” to your problem

that is less desirable (from your perspective) than the solution your team could

have worked out on its own. Meanwhile, the group member you bypassed is

furious that you went straight to the boss—before even talking to him—and is

feeling disrespected, betrayed, and distrustful of the team.

Before the Internet and digital technology, when communication and information

could not be so easily and widely shared, employees often worked alone and

then sent their individual part of the project up the chain—where the next level

of the hierarchy would do its part. Remember Mark Ward’s story? In the 1970s

and 1980s, he typed his newspaper and magazine stories on sheets of paper, sent

them to the typesetter, who sent them to the proofreader, who sent them to the

editor, who sent them to the layout staff. By the 1990s and 2000s, however,

Mark was working—entirely by e-mail and the Internet—across the various

functions: writing articles, proofing and editing his own work on a computer

screen, obtaining photographs and permissions from his sources, crafting

“advertorials” to boost ad sales, providing content for both the printed magazine

and its associated websites and blogs. And so were the magazine’s other writers

and its editorial, production, advertising, and circulation specialists.

Perhaps you may not like that group project for your next class. But it provides a

good glimpse into your professional future.

KEY TAKEAWAY

The dimensional view looks at the dimensions of organizational

structure. These dimensions are pattern (organizational size;

vertical hierarchy, i.e., chain of command; and horizontal

differentiation, i.e., division of labor), formalization (the degree to

which rules and procedures are either formally stated or,

alternatively, informally agreed), and centralization (the degree to

which authority is concentrated at the top or, alternatively,

decentralized and dispersed downward). The configurational view

identifies and names types of organizational structures. Common

structural types are functional, divisional, geographic, matrix,

horizontal, and network. The communicative view either adds a

communication perspective to the other two views or analyzes

structure as a product of communication. The latter perspective

often looks to structuration theory (see Chapter 4) as a framework

for understanding communicative production of organizational

structures.

Studies suggest that new communication and information

technologies are impacting the dimensions of organizational

structure by reducing size, reducing vertical hierarchy, reducing

horizontal differentiation (and increasing horizontal coordination),

increasing formalization of rules and procedures for sharing and

retrieving communication and information and for defining

operational norms and deviations, and reducing the number of

middle managers. New technologies are also enabling new

organizational configurations via networking. A communicative

view of organizational structuration points to the “duality of

technology” by which technology is an (1) outcome of and (2)

medium for human action, even as the organization (3) is a

context for human interactions with technology and (4) is

impacted by those interactions.

New technologies have given rise to the network organization,

which may be seen as an “organization of organizations.” The

network organization can take multiple forms. In a satellite

network, a larger company pulls together a group of independent

suppliers. In a joint venture, a group of equal partners may

network for a common purpose. A dynamic network is assembled

by a “broker” organization that recruits a team of independent

specialist organizations to handle different facets of a specific

project. Participants in a virtual organization are networked solely

through technology

EXERCISES

1. Consider the college or university you now attend. Chances are

you can go online and download its organizational chart (or, if you

must, you can request a copy in person or via e-mail). What are

the dimensions of your institution (size, vertical hierarchy,

horizontal differentiation, formalization, and centralization)? What

is its configuration (functional, divisional, geographic, matrix,

horizontal, or network)?

2. Your college or university has been impacted in numerous ways

by new communication and information technologies. First, make

a list of these technologies—from e-mail and online classes to

online course registration and digitization of student records.

Next, answer these questions: How have the technologies on

your list impacted your institution’s organizational dimensions

(e.g., by prompting formalized procedures for protecting the

privacy of student records)? How have the technologies impacted

your institution’s configuration (e.g., by creating a geographic

structure through the opening of satellite campuses and teaching

Communicative View:

Configurational View:

Dimensional View:

centers)? How do the distinctive qualities of your institution impact

its use of the technologies on your list (e.g., through a culture that

promotes innovative teaching)?

3. Finally, check your college or university’s website—if you dig

deeply, you may be surprised by the large number of networks in

which it participates. These might include research consortia,

alliances with community agencies to promote regional

development, public-private partnerships with industry to boost

job retraining, compacts with local community colleges, coalitions

with other institutions to lobby the legislature for state funding.

Make a list of these networks and then try to find examples of a

satellite network, a joint-venture network, and a dynamic network.

Next, dig even deeper in your institution’s website and see if you

can discover the technologies these networks use to

communicate and share information.

KEY TERMS AND DEFINITIONS

A view that takes communicative contexts into account when studying organizational structures, or that regards structure itself as a product of communication.

A view that identifies organizational structure according to types or configurations; some scholars study organizations in the field to discern their various configurations, while others theorize possible configurations and see how organizations fit.

A view that reduces organization structure to a matter of dimensions: size, chain of command, division of labor, formalization of

Duality Of Structure:

Duality Of Technology:

Dynamic Network:

Joint Venture:

Network Organization:

Satellite Network:

Virtual Organization:

rules and procedures, centralization or decentralization of authority.

According to structuration theory, structure is both an outcome of and a medium for social action. People create a structure through their actions but also reproduce the structure by acting within it.

Following structuration theory, technology is both an outcome of and a medium for social action. People create a technology through their actions but also reproduce its effects by acting within what the technology enables and constrains.

A form of the network organization in which a “broker” organization pulls together several other organizations that each plays a different role.

A form of the network organization that brings together two or more equal partners.

An “organization of organizations” that is integrated across formal organizational boundaries through shared communication.

A form of the network organization in which a larger company may create a network of independent suppliers.

A form of the network organization in which participants are linked solely by technology.

[1] Fulk, J., & Desanctis, G. (1999). Articulation of communication

technology and organizational form. In G. Desanctis & J. Fulk (Eds.),

Shaping organizational form: Communication, connection, and

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[2] Yates, J., & Orlikowski, W. J. (1992). Genres of organizational

communication: A structurational approach to studying communication

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[3] For example, see Berkeley, E. C. (1962). The computer revolution.

New York, NY: Doubleday.

[4] Beniger, J. R. (1986). The control revolution: Technological and

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[5] Helvey, T. C. (1971). The age of information: An interdisciplinary

survey of cybernetics. Englewood Cliffs, NJ: Educational Technology.

[6] Lamberton, D. M. (Ed.). (1974). The information revolution: Annals of

the American Academy of Political and Social Science. Philadelphia, PA:

American Academy of Political and Social Science.

[7] Porat, M. U. (1977). The information economy: Definition and

measurement. Washington, DC: Department of Commerce.

[8] Martin, J., & Butler, D. (1981). Viewdata and the information society.

Englewood Cliffs, NJ: Prentice-Hall.

[9] Bowen, W. (1986, May 26). The puny payoff in office computers.

Fortune, pp. 20–24.

[10] Byrnjolfsson, E. (1993). The productivity paradox of information

technology. Communications of the ACM, 36(12), 67–77.

[11] Byrnjolfsson, E. (1993). The productivity paradox of information

technology. Communications of the ACM, 36(12), 67–77.

[12] Strassman, P. A. (1990). The business value of computers: An

executive’s guide. New Canaan, CT: Information Economics Press.

[13] Strassman, P. A. (1997, February). Will big spending on computers

guarantee profitability? Datamation, pp. 75–85.

[14] McPhee, R. D., & Poole, M. S. (2001). Organizational structures and

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of organizational communication: Advances in theory, research, and

methods (pp. 503–543). Thousand Oaks, CA: Sage.

[15] For example, see McKelvey, B. (1982). Organizational systematic:

Taxonomy, evolution, and classification. Berkeley: University of California

Press.

[16] Mintzberg, H. (1983). Structure in fives: Designing effective

organizations. Englewood Cliffs, NJ: Prentice-Hall, p. 4.

[17] For example, see Sims, R. R. (2002). Managing organizational

behavior. Westport, CT: Quorum, chap. 11.

[18] McPhee, R. D., & Poole, M. S. (2001). Organizational structures and

configurations. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook

of organizational communication: Advances in theory, research, and

methods (pp. 503–543). Thousand Oaks, CA: Sage, p. 510.

[19] For example, see Yammarino, F. J., & Dubinsky, A. J. (1992).

Superior-subordinate relationships: A multiple levels of analysis

approach. Human Relations, 45, 575–600.

[20] For example, see Fairhurst, E. (1983). Organizational rules and the

accomplishment of nursing work on geriatric wards. Journal of

Management Studies, 20, 315–332.

[21] For example, see Barker, J. (1993). Tightening the iron cage:

Concertive control in self-managing teams. Administrative Science

Quarterly, 38, 408–437.

[22] McPhee, R. D., & Poole, M. S. (1980). A theory of structuration: The

perspective of Anthony Giddens and its relevance for contemporary

communication research. Paper presented at the Speech Communication

Association annual convention, New York, NY.

[23] Poole, R. D., & McPhee, M. S. (1983). A structurational analysis of

organizational climate. In L. L. Putnam & M. Pacanowski (Eds.),

Communication and organizations: An interpretive approach (pp. 195–

220). Beverly Hills, CA: Sage, p. 213.

[24] McPhee, R. D. (1985). Formal structure and organizational

communication. In R. D. McPhee & P. Tompkins (Eds.), Organizational

communication: Traditional themes and new directions (pp. 149–177).

Beverly Hills, CA: Sage.

[25] McPhee, R. D. (1989). Organizational communication: A

structurational exemplar. In B. Dervin, L. Grossberg, B. J. O’Keefe, & E.

Wartella (Eds.), Rethinking communication: Paradigm exemplars, Vol. 2

(pp. 199–212). Beverly Hills, CA: Sage; McPhee, R. D., & Zaug, P.

(2000). The communicative constitution of organizations: A framework for

explanation. Electronic Journal of Communication, 10, 1–16.

[26] Cheney, G., & Tompkins, P. K. (1987). Coming to terms with

organizational identification and commitment. Central States Speech

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organization. Communication Theory, 8, 298–335.

[27] Dutton, W. H. (1999). The virtual organization: Tele-access in

business and industry. In G. Desanctis & J. Fulk (Eds.), Shaping

organizational form: Communication, connection, and community (pp.

473–496). Thousand Oaks, CA: Sage.

[28] Fulk, J., & Desanctis, G. (1999). Articulation of communication

technology and organizational form. In G. Desanctis & J. Fulk (Eds.),

Shaping organizational form: Communication, connection, and

community. Thousand Oaks, CA: Sage.

[29] Ward, M., Sr. (2008). Independents’ day: Rhetoric, culture, and the

history of gasoline marketing in the United States, 1958–2008. Oil-

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technology and organizational form. In G. Desanctis & J. Fulk (Eds.),

Shaping organizational form: Communication, connection, and

community. Thousand Oaks, CA: Sage, p. 12.

[31] Fulk, J., & Desanctis, G. (1999). Articulation of communication

technology and organizational form. In G. Desanctis & J. Fulk (Eds.),

Shaping organizational form: Communication, connection, and

community. Thousand Oaks, CA: Sage, p. 14.

[32] Poole, M. S. (1999). Organizational challenges for the new forms. In

G. Desanctis & J. Fulk (Eds.), Shaping organizational form:

Communication, connection, and community (pp. 453–472). Thousand

Oaks, CA: Sage.

[33] Orlikowski, W. (1992). The duality of technology: Rethinking the

concept of technology in organizations. Organization Science, 3, 398–

427.

[34] Rice, R., & Gattiker, U. (2001). New media and organizational

structuring. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of

organizational communication: Advances in theory, research, and

methods (pp. 544–581). Thousand Oaks, CA: Sage.

[35] Rice, R., & Gattiker, U. (2001). New media and organizational

structuring. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of

organizational communication: Advances in theory, research, and

methods (pp. 544–581). Thousand Oaks, CA: Sage, p. 545.

[36] Rice, R., & Gattiker, U. (2001). New media and organizational

structuring. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of

organizational communication: Advances in theory, research, and

methods (pp. 544–581). Thousand Oaks, CA: Sage, p. 545.

11.3 Technology and Organizational Communication

LEARNING OBJECTIVES

1. Delineate the social interaction approach to mediated

communication and understand the basics of the media-richness

model, social-presence theory, and social information-processing

theory.

2. Delineate the social integration approach to mediated

communication and understand how various media influence the

way we think and the ways we form communities.

3. Relate the effects of computer-mediated communication (CMC) to

everyday communication within organizations.

So far in this chapter, we have explored the impact of technology on society (the

environment in which organizations operate and which in many ways they

reflect) and on organizational structure (the framework that organizations adopt

to coordinate work). Now to conclude, we move to the impact of technology on

how people in organizations communicate. Since this is not a textbook on media

theory, we will provide only some basic theoretical concepts to get started. And

since this chapter is not about interpersonal communication in general, but about

technology in organizations, we will focus on mediated communication—in

particular, computer-mediated communication (CMC). This includes

technologies now widely used in organizations: e-mail, voice mail, audio- and

videoconferencing, computer conferencing and chat, and of course the Internet.

So let’s get started.

As we learned in Chapter 4, theorists begin with assumptions about ontology

(how things exist), epistemology (how things are known), and axiology (what is

worth knowing). This is no less true of media theorists and, not surprisingly, has

led to different ways of theorizing CMC. Two basic—and fundamentally

different—frameworks for understanding such communication are afforded by

the social interaction approach to media and the social integration approach.

Social Interaction Approach

Stephen Littlejohn and Karen Foss have succinctly described the respective

orientations to media theory: “The social interaction approach distinguishes

media in terms of how close they come to the model of face-to-face interaction,”

while the “social integration…approach characterizes media not in terms of

information, interaction, or dissemination, but in terms of ritual, or how people

use media as a way of creating community.” [1] Thus the former approach, social

interaction, looks at the properties of mediated communication—how its

transmission of messages shapes the ways that people interact—and compares it

to face-to-face communication.

The social interaction approach has a long history in media studies. Writing in

the early 1950s as television first spread into American homes, Harold Innis

divided communication into time-binding media and space-binding media. [2]

Time-binding media (such as stories, songs, myths, clay, stone tablets,

parchment, and vellum) create enduring records and therefore encourage

stability, community, tradition, religion, practical wisdom, consensus,

hierarchical institutions, and local decision making. Space-binding media (such

as papyrus, paper, newspapers, magazines, radio, and television) convey

information over long distances but are seen only for a brief time. Thus, these

media foster change, expansion, secularism, materialism, rational and linear

thought, imperialism, and centralized decision making.

Some forty years after Innis, when digital communication technologies first

began to make an impact, Mark Poster proclaimed a second media age. [3]

Writing in 1995, Poster held that the first media age was dominated by mass

media—newspapers, magazines, radio, television—which communicated only

one way, were centrally produced and governmentally regulated, and shaped

mass consciousness in ways that promoted the interests of the powerful. By

contrast to these old media, the new media of the Internet and digital

communication offered decentralized conduits for unregulated two-way

interaction that could foster democratization and individual consciousness.

In the social interaction view of media, then, face-to-face communication is the

ideal medium, and CMC is judged by its capacity (or failure) to replicate

features of face-to-face interaction. For example, John Thompson proposed an

interpretive framework with three categories: mutually embodied local exchange

(face-to-face communication), technically mediated nonlocal exchange (writing,

telephone, e-mail, online chat, videoconferencing), and mediated quasi-exchange

(radio, television, books, newspapers, magazines) in which a media agent

(usually an economic or cultural entity) is interposed between sender and

receiver. [4]

Media Richness Model

A frequently cited theory for comparing the interactive properties of various

communication technologies is the media richness model proposed by Richard

Daft and Robert Lengel. [5] Their model evaluates communication media by the

degrees to which each tends to be a rich medium or a lean medium. In turn,

richness or leanness is evaluated to according to a medium’s potential capacity

for carrying information. That capacity is defined by four questions: (1) How

quickly can the medium provide feedback? (2) How many communication cues

can the medium convey? (3) Can the medium convey nonverbal

communication? (4) Can the medium customize messages for the recipient or

situation? Media richness and leanness are not an “either/or” proposition;

richness and leanness may be seen as a continuum from very or somewhat rich

to somewhat or very lean. Using Daft and Lengel’s media richness model, Figure

11.5 compares some communication technologies commonly used in

organizations.

Figure 11.5 Richness Comparison of Organizational Media

Daft and Lengel’s theory is also cited because their media richness model

includes a framework for managers to choose the appropriate medium in a given

situation. [6] If a task is direct, straightforward, and unambiguous, then leaner

media are a better choice to communicate instructions. For example, suppose a

company put new recycling bins next to existing trash cans and expected

everyone to separate bottles and cans from other trash. A brief, standardized

memo or e-mail to all employees would be sufficient to implement the new

routine. If staff members were sent a detailed position paper on the economics of

recycling, and managers sat down with employees individually to discuss their

feelings about environmental responsibility, the communication would fail.

But if the task is ambiguous and requires reflection, then richer media are the

better communication choices. If that same company decided to make

environmental responsibility part of its mission statement and mandate that

every employee action should reflect this new corporate value, then a brief

memo or e-mail would fail. The organization might schedule face-to-face

meetings, videoconferences, and training seminars; form an advisory committee

of managers and employees; set up a suggestion-box program; print brochures;

and issue a manual to all staff that justifies the new environmentally friendly

policies and describes procedures that staff members should follow in various

scenarios and situations.

Social Presence Theory

Media richness theory is often grouped with other theories that take a cues

filtered out (CFO) perspective on mediated communication. The basic idea is

that, compared to face-to-face interaction, mediated communication may filter

out nonverbal cues (eye contact, gesture, bodily movement), paralingual cues

(tone of voice, volume, pitch, inflection), and social cues (name, title, status,

power, social context). The social presence theory of Short, Williams, and

Christie holds that participants in electronically mediated meetings—even

teleconferences and videoconferences—feel a lessened sense of social contact

and presence with other attendees. [7]

Subsequent studies on social presence, as well as media richness, tend to confirm

this hypothesis. Yet even if attendees are generally less satisfied with

teleconferences as compared to face-to-face meetings, neither has research

shown that teleconferences are demonstrably less efficient. For one thing,

participants in teleconferences dampen their emotional displays and are more

polite and considerate with turn taking; for another, diminishment of visible

social cues can reduce deference to authority and produce broader participation. [8] Similarly, Lee Sproull and Sara Kiesling in their study of e-mail found that

“decreasing social context cues has substantial deregulating effects on

communication” and generated “information that would not have been conveyed

through another medium.” [9] Rather than see mediated communication as

impoverished because cues are filtered out, they urged managers to embrace the

leveling and democratizing effects of these media by designing new ways to

organize, communicate, and work. [10]

Social Information Processing Theory

An alternative to the cues filtered out perspective is what Joseph Walther called

“cues filtered in.” [11] In the late 1980s and early 1990s, as e-mail usage first

spread beyond a limited number of scientists and computer nerds, the prevailing

view held that e-mail was an impoverished medium compared to face-to-face

communication. All the usual cues—vocalics (voice), kinesics (gestures),

promexics (interpersonal distance)—were filtered out by e-mail. Today, of

course, we know that relationships can flourish online. The Pew Internet &

American Life Project reported in 2006 that 37 percent of Internet users who are

single had used a dating website, most had a positive experience, and 17 percent

entered a long-term relationship or marriage with someone they met online. [12]

But more than twenty years ago when Walther began researching computer-

mediated communication, conventional wisdom held that CMC was impersonal

and only for doing tasks.

First published in 1992, Walther’s social information processing theory made

the then-startling claim that relationship building through CMC was not

inherently inferior to face-to-face relations. [13] Rather than view CMC as a

medium in which cues were filtered out, he argued, CMC could be regarded as a

medium that operated with a different set of cues. At the time Walther did his

research, CMC was completely text based; there was insufficient bandwidth and

connection speed available to send images, video, or audio over a computer

network. Nevertheless, he found that when e-mail users were motivated to

develop a relationship, they would compensate for the absence of nonverbal cues

by ramping up their use of the verbal (i.e., textual) cues available to them.

To form impressions of each other and develop a relationship, e-mail users

exchanged the same interpersonal information as they otherwise would face to

face but did so verbally (via text) rather than nonverbally. The difference was

that the exchange of interpersonal information through CMC took longer—about

four times longer, Walther found. But given enough time, computer-mediated

relationships could be as strong and close as face-to-face relationships. In fact, e-

mail users took advantage of the one nonverbal cue that CMC does not filter out

—chronemics, or the use of time to convey meaning. [14] As you have likely

experienced in responding to an e-mail, text, or Facebook message, you may

decide to reply right away (perhaps to convey “liking” or to emphasize

agreement) or wait awhile (perhaps to convey reluctance or emphasize that you

took the matter seriously and gave it thought).

Walther also theorized an aspect of CMC that seemed counterintuitive a

generation ago but which we now take for granted. You have perhaps

experienced a CMC relationship that has a higher quality than some of your

face-to-face relationships. Walther coined the term hyperpersonal to describe

such CMC relationships and theorized four dynamics that could account for this

effect: selective self-presentation, attribution, asynchronous communication, and

feedback. [15]

Selective Self-Presentation

Senders of computer-mediated messages can engage in selective self-

presentation by sharing only their most favorable attributes and generally

putting a positive spin on themselves. Even photos can be withheld so as not to

dispel the image being created. [16] Since relationship building starts by forming

impressions, this positive spin gets the online relationship off to a good start.

Attribution

Receivers of CMC messages often engage in attribution, or the basic human

tendency to assume that what we observe in others must reflect their true

personalities. The rub is that e-mail, texting, or online chat gives you very little

to observe. Given this scanty information, you may overattribute positive (or

negative) qualities to the sender. If you and the other person have come together

online due to some affinity—you play World of Warcraft, you belong to the

Sierra Club, you are Republicans, you went to the same college, you work in

regional offices of the same corporation—then you may already be positively

biased toward each other and assume the best.

Asynchronous Communication

As a channel, CMC affords a capacity for what Walther called asynchronous

communication. Face-to-face communication is synchronous; participants talk

in sync with each other. You must respond in real time and, inevitably, will

succumb on occasion to “foot-in-mouth” disease. But with an e-mail, text,

Facebook message, chat post, or other online message, you can take time to

think through your responses and craft your words for the most positive effect.

Feedback

The final component of the standard interactional communication model (which

we introduced in Chapter 1 and elaborated in Chapter 4) is feedback. Thus, the

final element in forming a hypersonal relationship is when the entire cycle of

selective self-presentation, positive attribution, and asynchronous messaging

continually feeds back on itself. You and the other person have selectively

created your best impressions, attributed the best qualities to each other, and

taken time to ensure your communications are worded for the best effect.

Naturally, your feedback to one another reflects these dynamics. Your CMC

relationship has gone hypersonal!

If you have ever taken an online course, you can readily apply Walther’s social

information processing theory. Students selectively present themselves to form

good impressions as smart and responsible (so the instructor will think well of

them) and as warm and caring (so fellow students will respond to their online

discussion posts). Because everyone in the class goes to the same college and is

studying the same subject (and may be in the same major), students

automatically attribute to their classmates a positive commonality of interests.

When students must reply to classmates in online discussions, care is taken to

reaffirm the other person’s thoughts and, when needed, respectfully suggest an

alternative view. After an entire semester of this, students who have never met in

person very often feel they really know each other and that the quality of their

relationship within the online classroom was high.

Now transplant this scenario to an organization, perhaps to your first job after

graduation. As you exchange e-mails with your boss and coworkers, what

textual cues and selective self-disclosures will you employ to create a positive

impression? What cues will they use on you? When will you decide to fire off an

immediate reply to an e-mail, and when will you take extra time to carefully

think of just the right words? Having grown up with computer-mediated

communication, you practice these skills intuitively in your personal

relationships. But practicing them on the job introduces a host of new situations

and variables—and a whole new level of importance.

Social Integration Approach

To understand the social integration perspective on media, recall the discussion

in Chapter 4 about the postpositive and the interpretive approaches to theory and

research. Postpositive researchers investigate what can be observed and

measured; interpretive researchers explore what cannot be observed but must be

interpreted—in other words, what goes on in people’s heads. An early exemplar

of this latter view was the Canadian media theorist Marshall McLuhan whose

dictum, “the medium is the message,” is world famous. McLuhan’s work

focused on how the social environments fostered by different media (a concept

that came to be known as media ecology [17]) change the way people think. We

shape our media, he observed, and they in turn shape us.

Media and Cognition

New technologies produce new cognitions. For example, movable type and

printed books changed people’s habits of perception from oral to visual, which

then altered cognition as people favored a “segmentation of actions and

functions and [the] principle of visual quantification.” [18] This way of thinking,

McLuhan believed, made possible the Western developments of individualism,

capitalism, the Industrial Revolution, democracy, nationalism, and Protestantism.

McLuhan held that three media technologies—the phonetic alphabet, the

printing press, and the electric telegraph—were the key agents in transforming

the world. These inventions are the milestones in McLuhan’s [19] four media

epochs of world history, which are summarized in Figure 11.6.

Figure 11.6 McLuhan’s Four Media Ages

The electronic age in which we now live, McLuhan believed, brought back a

media environment in which hearing and sight—or orality and literacy—are

important sense organs for perceiving the world. Meanwhile, instant

communication that keeps everyone in touch gave rise to what McLuhan called

the “global village.” [20] McLuhan died in 1980 before the spread of interactive

digital media—and before linguists and cognitive scientists gained new

understandings about the world that existed before the development of speech.

Based on these insights, Robert Logan [21] recently proposed an update, shown

in Figure 11.7, of McLuhan’s media ages.

Figure 11.7 Extending McLuhan’s Media Ages

Media and Community

McLuhan explored how media furnish environments that shape the formation of

communities on the grand scale of whole societies and historical epochs. The

concepts we review next are on a smaller scale, but the underlying principle is

the same. Where the social interaction approach looks at how various media

compare with face-to-face interaction, the social integration approach holds that

each medium must be taken on its own terms as an ecology for forming of

communities. Face-to-face communication is not the ideal; it is merely one

medium with a set of properties that foster a certain environment for certain

rituals that create a certain form of community. But other media, each in its own

way, are “able to facilitate a sense of belonging, security and community, even if

individuals are not actually directly interacting in them.” [22] Radio audiences

engage in rituals and create a community that is in solidarity with talk-show host

Rush Limbaugh; television audiences do the same around the beloved characters

of Lost or Seinfeld. Visitors to favorite websites form communities, as do players

of online games such as World of Warcraft and Second Life. By the same token,

members of organizations may engage in rituals and form communities via e-

mail, a listserv, an online chat room, an electronic bulletin board, a wiki, or other

media by which these members interact and socially integrate.

The two approaches, social interaction and social integration, come down to

more than a difference in research methodology. David Holmes critiqued the

social interaction perspective as a “transport” view of communication grounded

in Western cultural assumptions. [23] His critique goes to the foundational issues

—introduced in Chapter 4—of ontology, epistemology, and axiology. The social

interaction, or transport, approach regards media as conduits to be “used” for

transmitting content and mediating social interaction. This view, argued Holmes,

is founded on a “logocentric” (language-centered) Western worldview by which

a medium is a vessel to be used

individuals are users of the vessel

meanings transmitted as messages via the medium are products of

individual intentionality

language is the conduit for these meanings

the medium affords a technical means for conveying language

the medium merely amplifies the sender/receiver dyad, so it should be

judged against (and metaphorically experienced as) face-to-face

communication

By contrast, observed Holmes, a social integration approach to communication

sees mediums as sites for shared ritual experiences that construct social worlds.

Technological media are not simply vessels to be “used” in mediating sender-

receiver interaction; rather, they supply new contexts for new forms of social

integration. The individual is no longer conceived as a language user whose

intentions are conveyed via the tool of a medium; instead, individual perception

is an effect of the media ecology. This assertion reflects the postmodern view

that people’s intentions are not solely governed by their own wills, but are

preconditioned by the many (and conflicting) historical and cultural discourses

that go on around them in the larger society.

The emergence of the Internet has generated increasing interest in the social

integration approach since the dynamic is easily observable in cyberspace.

Holmes contended the environment of a networked medium (i.e., the Internet)

offers “interaction without reciprocity” as users interact via computer-simulated

presences. This is obvious in World of Warcraft and Second Life where you join

a community of fellow gamers through your computer-generated avatar. But the

phenomenon also operates at work—for example, through the username that the

company assigns for your e-mail account and, ultimately, by the way you

(selectively) present yourself to others in your e-mails.

Communities of Interpretation

Thomas Lindlof argued that communities formed via mediated communication

differ from those formed face to face in one key respect: “communities of media

usage operate” not through traditional prime referents such as class, position, or

kinship, but “come into being with the typically ritualistic or rule-governed

enactment of communicative events whose sense for interlocutors in the sharing

of media technologies, content…and occasions.” [24] In other words, you

socially integrate with other fans of the television show Lost not because of age

or educational level or socioeconomic status, but because you have all shared in

the ritual of watching (technology) a show (content) in its weekly time slot

(occasion). Further, you share an interpretation of the show as an absorbing,

well-produced drama that elicits deeper truths about people’s responses to

alienation, truths that resonate in our contemporary society where so many

individuals feel “lost.” Thus, Lindlof’s theory would hold, Lost fans are an

interpretive community “comprised of sets of discursive strategies (not people as

such) that find their expression in tactical ‘readings’ (or rewritings of text) by

socially situated individuals or groups” and “are most easily identified as an

audience for a [media] genre.” [25]

The underlying principle is that the meaning of talk or of a text is not a purely

individual matter. People are situated in communities that share rules of

interpretation; meanings arise not just from personal perception, but from being

validated by the community. Interpretive communities that are socially

integrated through media usage, Lindlof argued, emerge through a threefold

process:

1. A community arises through members’ shared interpretation of the same

media content.

2. Communal interpretations create a “text” that, due to the fact that it is

widely shared, gives the reading validity and imparts a stabilizing and

directing influence.

3. The validated reading becomes a reference point for members’ social

actions within the interpretive community. Such a community exhibits four

traits: unity of interests and purposes; shared moral obligations manifested

in rules and codes; stability through icons, texts, rituals, and myths that

direct core values over time; and communicative occasions and codes that

govern membership and coordinate social action. [26]

But what does Lost have to do with organizational communication? The same

processes of social integration that bind Lost fans into an interpretive community

—ritual, media usage, shared media content, shared media occasions, shared

media interpretations—also operate in organizations. One study of American

journalists—people who share the same profession and keep up with each

other’s work through print and broadcast media—discovered an interpretive

community that was socially integrated through a shared interpretation about the

meaning of their work. [27] Another study found that people who start businesses

are knitted into a community of entrepreneurs who share a common

interpretation of the popular literature on “being your own boss.” [28] And

organizations are learning they can foster communities of customers through

marketing communication that creates shared interpretations of their products

and brands. [29]

Suppose, then, you are a district manager for a national company. As you attend

the weekly videoconference with all the district managers—people you seldom

see in person—you engage in numerous rituals: cracking jokes before the

meeting is called to order, following the agenda e-mailed by the vice president,

hearing the VP read “the same old” pep-talk memos from the CEO, planning on

the videoconference always lasting longer than scheduled, joining the other

district managers in interpreting these weekly meetings as generally a waste of

time. You have formed a community that is socially integrated through mediated

communication.

A Final Thought

The concept of the information society has driven scholarly discussion and

research for a generation. More and more, though, scholars are focusing not just

on the ability to generate information, but also on the capacity to communicate

that information across networks. Computers have been able to generate usable

information since the 1960s when mainframes spread beyond laboratories into

everyday corporations and government agencies. The Internet is revolutionary

not because it is computerized, but because it links computers with other

computers.

This development has given birth to what Manuel Castells called (as we learned

in Chapter 6) the network society, [30] a society that has left behind the

Gutenberg galaxy and now lives in the Internet galaxy. [31] In the Gutenberg

galaxy, as McLuhan first noted, people thought (and most still do think) in terms

of linear segmentation—like lines of type on a page. But in the Internet galaxy,

people must think holistically, like the hypertext on a web page that lets you

click a word or phrase and instantly jump to more information. Given the fact of

this networked environment, organizations that do business in the network

society will need two types of workers: self-programmable labor and generic

labor. The latter, generic labor, performs production tasks of lesser value until

even those jobs can be taken over by and done more cheaply with machines. By

contrast, self-programmable labor has the ability to search for dispearate pieces

of information and combine them into meaningful chunks of information.

Ultimately, the goal of this newly created knowledge is to see how it can be

applied within an organization to help improve various goals and processes. As

we move towards increasingly vast databases of information, workers who have

the ability to search for relevant information and form applicable knowledge for

an organization become a necessity. As such, Manuel Castells warns us, “This

demands appropriate education and training, not in terms of skills, but in terms

of creative capacity . . . [and] the ability to co-evolve with changes in

organization, in technology, and in knowledge.” [32]

In closing this chapter, we return to Mark Ward’s story. As a young man in the

1970s, he began as a newspaper writer and layout artist. His labor was generic:

get the assignment, write the story, turn it in on deadline. By the 1990s, however,

those routine jobs were eliminated by new technology. Perhaps the saddest

aspect of the “new economy” is the millions of men and women who have

become what Louis Uchitelle called “The Disposable Americans.” [33] They

faced (and millions now face) a choice: either become self-programmable, able

to “co-evolve with changes in organization, in technology, and in knowledge,”

or remain generic labor consigned to low-wage jobs until even those routines are

automated. For Mark, that meant going from beat reporter to independent writer

with (as Castell’s put it in the quotation reproduced in the preceding paragraph) a

“capacity to search and recombine information” in ways that solved problems

for his clients. [34] That transformation later gave Mark the power to make his

own choices—to get a degree, to be paid for teaching and writing on subjects he

is passionate about, to make a contribution by (of course!) coauthoring a

textbook on organizational communication.

You too will encounter the organizational challenges of the network society—

except that technological and social changes are accelerating faster now than in

Mark’s generation. College students are encouraged to declare their majors early

and focus on acquiring skills needed for high-paying careers. Those skills may

give you a start. But if you never grow beyond them, in time you will become

generic labor. Students in organizational communication courses may wince at

theory and wish, “Just tell me what I have to do to communicate on the job!” Yet

by grappling with the why of organizational processes, you can develop critical-

thinking skills that will equip you to become the “self-programmable” employee

(and manager) organizations seek.

KEY TAKEAWAY

The social interaction approach to mediated communication

compares each medium to face-to-face interaction. In Daft and

Lengel’s media richness model, face to face is the most “rich”

medium because it affords instant feedback, conveys multiples

cues, conveys nonverbal communication, and allows messages to

be completely customized. Other media are “rich” or “lean” in

comparison to this standard. The social presence theory

proposed by Short, Williams, and Christie holds that participants

in electronically mediated meetings feel a lessened sense of

social contact and presence with other attendees. Walther’s social

information processing theory argues that relationships developed

through computer-mediated communication (CMC) can have the

same high quality as face-to-face relationships. To compensate

for a lack of nonverbal cues, CMC users increase their use of the

available verbal (including textual) cues—it just takes them longer

to build a strong relationship that way, as compared to face to

face.

The social integration approach to mediated communication does

not analyze each medium in comparison to face-to-face

interaction or even in terms of information and dissemination.

Instead, the approach looks at how each medium provides a

context for people to share rituals and thus become socially

integrated into a community. On a societal scale, McLuhan noted

that the “media ecology” of each historical age shapes how we

think. The print age, for example, fostered linear thinking—like

lines of type on a page. Social integration theorists do not regard

face-to-face communication as the ideal; each medium affords its

own environment that facilitates certain rituals and formation of

certain types of communities. Lindlof argued that, while face-to-

face communities traditionally form on the basis of social

categories (e.g., class, status, or kinship), “interpretive

communities” form through ritualized occasions of shared media

usage and interpretation of media content.

Theories about mediated communication have practical

applications for people in organizations. The media richness

model suggests that lean media are appropriate for

communicating routine tasks and rich media for complex ones.

Research on social presence has found that, because attendees

at electronically mediated conferences feel a reduced sense of

personal contact, they tend to have fewer emotional displays, are

politer about taking turns, and participate more fully because they

feel less inhibited by status differences. Social information

processing theory explains the effects on office relationships

produced as CMC users are selective in what they disclose about

themselves. The social integration approach suggests how people

in organizations, organizations and their customers, and people in

the same profession can form communities through media usage,

even without direct interaction.

EXERCISES

1. Think about your organizational communication class. Name

some simple announcements your instructor has made about

routine procedures in your class. What media did the instructor

use to communicate this information? Were the media lean or

rich? Were the media an appropriate choice for the routine

information communicated? Now name some complex

information that your instructor has communicated. What media

were used? Were they rich or lean? Were they appropriate to the

complexity of the information?

2. Think about an online class you have taken. Or if you have not

taken a class online, talk with someone who has and ask them to

discuss the experience. Did you (or your friend) feel a reduced

sense of personal presence and contact with the instructor and

other students? Did this also reduce any differences in status

(e.g., authority, physical appearance, likability), so that students

felt freer to participate in online discussions?

3. In that online class, did you (or your friend) observe that students

tried to manage others’ impressions about them, selectively

presenting themselves online? With little information to go on, did

you (or your friend) attribute positive qualities to classmates (at

least initially) since everyone was in the same class (or major or

college)? Why did you (or your friend) respond immediately to

some online discussion posts and e-mails, but then take extra

Asynchronous Communication:

Attribution:

Computer-Mediated Communication:

Cues Filtered Out:

Hyperpersonal :

time to think about your responses to others? At the end of the

semester did you (or your friend) feel that quality relationships

had been developed with your instructor and at least some of your

classmates? Why or why not?

4. Thinking again about that online class, did you (or your friend) feel

a sense of community developed over time within the class? What

rituals and occasions did everyone share (e.g., rituals connected

with required readings, with weekly online discussions, with unit

quizzes)? Did students eventually share a common interpretation

of the online course content (e.g., it was relevant, it was a waste

of time, it was an “easy A,” it was a grind)? Did this interpretation

guide students’ communication with each other?

KEY TERMS AND DEFINITIONS

The quality of computer-mediated communication that allows users to respond when they choose; by contrast, face-to-face interaction requires synchronous communication.

Having little information about senders, recipients of computer-mediated communication tend to project positive (or negative) qualities on the senders.

Communication channeled via computer; known as “CMC,” examples of computer-mediated communication range from e-mail and web chat to podcasts and webcasts.

Known as CFO, an approach that analyzes mediated communication based on its lack of verbal and nonverbal cues that are otherwise present in face-to-face interactions.

Term coined by Joseph Walther to describe

Media Ecology:

Media Richness Model:

New Media:

Old Media:

Selective Self-Presentation:

Social Information Processing Theory:

Social Integration:

Social Interaction:

Social Presence Theory:

relationships developed through computer-mediated communication that have become even stronger than face-to-face relationships.

A society’s media environment; media ecologists look at how communication media affect human perception and thought.

A model that categorizes each medium as “rich” or “lean” to the degree it compares with the qualities (instant feedback, multiple cues, nonverbals, customization) of face-to-face communication.

A general term that refers collectively to the Internet, World Wide Web, and today’s vast array of digital communication media.

A general term that refers collectively to newspapers, magazines, books, radio, television, and other mediums that predate digital communication.

Senders of computer-mediated communications may attempt to foster positive impressions by selectively disclosing information about themselves.

A theory proposed by Joseph Walther, which holds that relationships developed through computer- mediated communication can have the same high quality as face-to-face relationships; given enough time, CMC users can compensate for a lack of nonverbal cues by increasing their use of the available verbal/textual cues.

An approach to mediated communication that regards each medium as a context for people to share rituals and thus form a community.

An approach to mediated communication that compares each medium to face-to-face interaction.

A theory holding that participants in electronically mediated meetings feel a lessened sense of social contact and presence with other attendees.

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[30] Castells, M. (1996). The rise of the network society. Malden, MA:

Blackwell.

[31] Castells, M. (2003). The Internet galaxy: Reflections on the Internet,

business, and society. New York, NY: Oxford University Press.

[32] Castells, M. (2009). Communication power. New York, NY: Oxford

University Press, p. 30.

[33] Uchitelle, L. (2006). The disposable American: Layoffs and their

consequences. New York, NY: Vintage.

[34] Castells, M. (2009). Communication power. New York, NY: Oxford

University Press, p. 30.

11.4 Chapter Exercises

REAL-WORLD CASE STUDY

Willi Just served his country honorably in the First World War. When

the conflict ended in 1918, he went home to Germany and entered

civil service as an auto welder for the municipal police, a job that

provided him steady employment throughout the worldwide Great

Depression of the 1920s and 1930s. Harry Wentritt, only fifteen

when the war ended, served an apprenticeship but faced an

uncertain employment situation. He joined a Nazi motorcycle club

and, after the Nazi Party came to power, was rewarded with a

steady job as an auto welder for the state police. Friedrich Pradel,

also too young to serve in the war, briefly attended university,

dropped out to train for a career in sales, then took the civil service

exam and became an automotive specialist for the municipal police.

In 1936, when the administration of all German police forces was

put under the control of the Nazi Party, all three men were expected

to become members. By 1941, all three had been transferred to the

Security Police headquarters in Berlin. Pradel was put in charge of

its transportation services; Wentritt managed a motor pool with more

than four thousand police vehicles; Just was hired as a senior

welder and dispatcher. [1]

After Germany invaded the Soviet Union in June 1941, police

battalions were sent to occupied territories and ordered to round up

and massacre Jews in mass shootings. But face-to-face murder at

that scale traumatized the killers. A technological solution was

sought. Since Pradel’s department provided the vehicles for the

police death squads, he was ordered to convert twenty box trucks

into mobile gas chambers and supply these to the battalions. To test

how quickly the “special trucks” could kill, the chief chemist of the

national police lab was sent over. Albert Widmann had risen from a

humble family to earn a doctorate in chemistry from a leading

university and joined the Nazi Party to improve his career prospects.

Between 1939 and 1941, he helped conduct a Party program,

justified as “racial science,” to improve the German gene pool by

“euthanizing” handicapped, mentally impaired, and “asocial” (misfit)

people. When the fleet of “special trucks” was built and dispatched

to the killing fields, another specialist in chemistry was hired as field

inspector for the mobile gassing program. August Becker had

earned a doctorate but spurned an academic career to enter politics

as a Nazi Party functionary. He used his expert knowledge of

chemistry for the state espionage bureau and then in the euthanasia

program.

Technical problems with the “special trucks” soon surfaced in the

field. Driving over the unpaved roads of the Soviet Union caused the

poison gas hoses to leak and break. The panic of Jewish victims

trapped inside the trucks caused sudden load shifts. Once all the

victims had been gassed, police who unloaded the trucks were

regularly exposed to highly toxic fumes. Drivers of the trucks floored

the gas pedal, thinking this would speed up the killing but caused

the opposite effect. After Becker reported these difficulties, Pradel

went to Wentritt and Just. The three men developed a proposal,

dated June 5, 1942, entitled “Technical adjustments to special vans

at present in service and those that are in production.” Without using

the words “people,” “humans,” or “Jews,” their five-page proposal

offered solutions to the problem of “weight displacement” by the

“cargo” so that the “operation” could “process” and “treat” the “load”

more quickly.

Though the mobile gassing trucks killed some three hundred

thousand victims over a two-year period, the technical problems

were deemed insurmountable and the program abandoned. While

the “special trucks” were being developed and deployed, another

police bureau was working on a different technological solution—

camps situated beside railroad lines and equipped with stationary

gas chambers. Nazi police authorities decided it was more efficient

to bring the victims to the gas, rather than bring the gas to the

victims. By 1944, they had murdered some four million Jews using

this technology.

1. Do you believe this case is, as Zygmunt Bauman would argue,

“an outcome of the bureaucratic culture”?

2. Do you believe this case is not due to a lack of ethics, but to what

Steven Katz called an ethic of expediency in which rationality,

efficiency, speed, productivity, and power are seen as morally

good?

3. Do you see in this case what Jacques Ellul and William Barrett

called technique, or a mind-set that always looks for some

technique to solve any problem?

4. Do you see in this case what Jurgen Habermas called technical

reasoning, which only values “what works”? Was the Holocaust

the product of a rational society in Habermas’s meaning of the

term?

5. Do you see in this case the effects of technological determinism?

That is, did technology become an autonomous force that exerted

unpredicted effects and may have pushed Nazi bureaucrats over

the edge into genocide?

6. Do you see in this case the effects of the technological

imperative? That is, did the technicians create the killing

technology because they could do it? Did the technological

perfection of the gassing trucks become its own justification?

7. Is the ethic of expediency evident in our society today? Is the lure

of technique? Is technical reasoning? Can you identify ways that

technology is a force in our society that is exerting unpredicted

effects? Are there technologies our society could pursue but

should not?

END-OF-CHAPTER ASSESSMENT

1. According to Edward Hall, high-context technology results from

a. context expansion b. context extension c. extension transference d. technical transference e. technical transience

2. According to the dimensional view, the three dimensions of organizational structure are

a. input, throughput, output b. culture, identity, image c. function, division, location d. size, vertical hierarchy, horizontal differentiation e. pattern, formalization, centralization

3. According to the configurational view, common organizational structures include

a. functional and divisional b. geographic and matrix c. horizontal and network d. answers a and b e. all of the above

4. The media richness model compares a medium to the four qualities of face-to-face communication. Which of the following answers is not one of those qualities?

a. provides instant feedback b. conveys multiple cues c. conveys nonverbal communication d. provides a sense of social presence and personal contact e. can be customized for recipients and situation

5. According to Joseph Walther’s social information processing theory, four factors can contribute to developing a hyperpersonal relationship through computer-mediated communication. Which of the following answers is not one of those factors?

a. selective self-presentation b. interpretation c. attribution d. asynchronous communication e. feedback

Answer Key

1. c

2. e

3. e

4. d

5. b

[1] Ward, M., Sr. (2014). Deadly documents: Technical communication,

organizational discourse, and the Holocaust—Lessons from the rhetorical

work of everyday texts. Amityville, NY: Baywood.

Chapter 12

Stress, Conflict, and Negotiation

Thriving Under Pressure

In this chapter, we explore the aspects of stress, conflict, and negotiation. We

will learn how each of these components in the organizational setting has an

impact on communication behaviors. We will discuss how these concepts

operate, begin, and apply to the effectiveness of organizational communication.

As a college student, we are sure you are aware of the word stress. You might

have encountered stress when dealing with demanding professors, arduous

assignments, and/or difficult classmates. We are also sure that you have probably

dealt with conflict in your life. Perhaps you and someone else did not see eye to

eye on a particular issue. It may have caused strife, but it might have ended in a

peaceful negotiation. Not everyone is aware of the appropriate way to deal with

and handle stress, conflict, and negotiation. In this chapter, we will examine how

stress, conflict, and negotiation are present in the organizational context and how

these aspects are communicated.

12.1 Stress

LEARNING OBJECTIVES

1. Define the term stress.

2. Explain the different types of stressors in organizations.

3. Understand what happens when stress is not appropriately

managed in the workplace.

4. Differentiate among different types of organizational responses to

stress.

We know most employees feel stress from their jobs. We know that a large

amount of stress can result in negative emotional and physical outcomes. Life is

full of events that cause stress. In a 2001 article by Spurgeon, Jackson, and

Beach, the authors compared what stresses people in the twenty-first century

compared with the 1970s. [1] The authors found the following as the top ten

stressors:

1. Death of spouse

2. Jail sentence

3. Death of immediate family member

4. Immediate family member attempts suicide

5. Getting into debt beyond means of repayment

6. Period of homelessness (hostel or sleeping rough)

7. Immediate family member seriously ill

8. Unemployment (of head of household)

9. Divorce

10. Breakup of family

Although none of the top-ten stress-inducing events is specifically job related

(though unemployment is clearly an offshoot of one’s job), there were a number

in the top fifty that were job related: substantially decreased income (29), trouble

with superiors at work (36), new job in new line of work (37), promotion or

change of responsibilities at work (40), and new job in same line of work (50).

In this section, we talk about the causes of stress and then discuss different types.

In addition, we will look at the outcomes of stress for employees and the overall

organization.

What is Stress?

Stress is a cognitive, affective, or physical strain or tension that produces mental

tension or physiological reactions that disturb the body’s normal state of

functioning. Stressors are specific activities, events, experiences, or people that

induce stress. As you can imagine, the workplace can be filled with stressors.

However, stressors are ultimately interpreted by the individuals experiencing

them. Some people will respond one way to a stressor, and others will respond

differently. For example, one person may feel that missing a deadline is no big

deal, so the stress of the missed deadline will have little or no impact on the

individual. However, if you are driven by deadlines and meeting those deadlines,

then missing a deadline can be a huge stressor that will lead to job strain. Job

strain is “defined by a series of reactions that occur when workers are faced with

a disparity between demands at work and their knowledge, skills, and aptitudes.” [2] From this perspective, first come the individual stressors, which then lead to

an individual’s reaction to those stressors in the form of job strain. [3] As such,

stress isn’t an inherently bad thing. In fact, stress can actually be a very good

thing for individuals within their daily lives and within an organization.

According to Hans Selye, people can experience two lines of stress: (1)

distress/eustress and (2) hyperstress/hypostress. [4] The first continuum of

distress measures whether the stress is problematic (distress) or pleasant

(eustress). For example, getting fired from one’s job could lead to distress;

however, getting a promotion you want could lead to eustress. The

hyper/hypostress continuum examines whether or not the person is experiencing

greater than average amounts of stress (hyperstress) or less than average

amounts of stress (hypostress). If you’re only a fourth of the way through a

project that’s due tomorrow, you may experience greater than normal levels of

stress (hyperstress). Conversely, if you’re in a job that provides you with no

challenge and each day is painfully simple, you may experience lower-than-

average levels of stress (hypostress). When we place these in a two-by-two

matrix, we can quickly see that hyperdistress is the most problematic form of

distress (and most closely aligned with workplace bullying and violence),

whereas hypo-eustress is the least likely to cause problems in the workplace.

Everything from the nature of work to the screaming organizational leader can

cause stress. Within the organizational environment, there are five basic types of

stressors: (1) stressors outside of work (e.g., work-family conflict, friends, your

car breaking down), (2) stressors from the organization (e.g., worrying about

employment, organizational stability), (3) stressors from job duties and

responsibilities (e.g., deadlines, job travel, technology), (4) stressors from

various work roles (e.g., coworker, follower, leader), and (5) stressors that result

from organizational interactions (e.g., coworker, follower, leader). All four of

these stressors can range from the simple level of mild discomfort to full-blown

distress. Previous research has linked all the topics discussed in this chapter to

increases in stress. [5]

According to Aaron Schat and Kevin Kelloway, stress in the workplace can

ultimately lead to three different basic outcome categories: physiological,

psychological, and behavioral. [6] Physiological outcomes of stress can lead to

either bodily injury (e.g., you lift something too heavy and stress your body) or

somatic symptoms (e.g., ulcers, heart disease, lowered immune system).

Psychological outcomes of stress can include both personal outcomes (anxiety,

depression) and organization-related outcomes (job dissatisfaction, lower

organizational commitment).

In the rest of this section, we explore the types of stressors commonly faced

within an organization (both individual and organizational) and the outcomes

that organizational stress can produce if not handled effectively.

Types of Stressors in Organizations

When we mention the word stress, people will often conjure up negative

impressions. However, stress can be beneficial to work outcomes because it

makes employees work harder. Stress becomes a problem when it exceeds an

optimal level, because it then causes poor work performance and often results in

burnout. However, if stress falls below an optimal level, it also often results in

poor performance and a “rust-out” or burn-out effect. [7] Different people in an

organization will respond to stress in a variety of ways. Furthermore, what

stresses out one employee may energize another employee, so understanding

stress and how it impacts a wide range of employees is important for anyone

working in a management position. In the rest of this section, we examine some

individual stressors and some organizational stressors that can affect employees

in the workplace.

Individual Stressors

Research has determined that stress can be caused internally or externally.

Internal stress usually stems from the person’s own perception of his or her fears

or feelings that are not dependent on the environment. [8] Types of internal stress

might include performance anxiety, guilty feelings, and phobias. Internal stress

stems from the perception of the individual, and a danger might not even exist.

External stress is often caused by circumstances that are beyond the person’s

control. Work performance can be impacted by external stressors, such as

workload, job monotony, and ambiguous requirements. Overall, there are many

causes of stress in the organization. For our purposes, we will examine

psychological, physical, behavioral, and communicative stressors.

Psychological

Stress is often psychological, or in the mind of the individual who is expressing

this event. These psychological factors might be based on locus of control,

personality type, or negative affectivity. Locus of control is the belief that an

individual’s behavior is determined by internal or external factors. Research has

demonstrated that individuals with an internal locus of control are better able to

deal with stress and feel more in control of their outcomes than do individuals

with an external locus of control. [9] Externals are prone to more stress, because

they don’t think they have control over the situation.

Type A personalities are more likely to be competitive, assertive, and aggressive

than their opposite, Type B personalities. [10] Type B personalities do not

experience the same type of stress levels as Type A, because they are not

competitive or aggressive and tend to take a nonchalant approach to work. In

addition, negative affectivity is the Type B individual’s viewpoint of the world

and himself or herself in a negative fashion. In other words, such individuals

tend to be pessimistic and judgmental. Type B personalities tend to feel stressed

because they view life in general in a downbeat way. Psychological stress can

result in job dissatisfaction, anger, hostility, and work apathy.

Physical

Job-related stress could be due to physical factors of the organization. These

physical factors might include loud noise, extreme temperatures, safety hazards,

and overcrowded work conditions. [11] The physical causes of stress not only

affect work outcomes but also can result in higher employee turnover and lower

levels of retention. Employees who experience high levels of physical stress in

the organization are also more likely to report higher levels of depression and

illness. Hence stress can have physical symptoms as well. These symptoms may

include elevated heart rate, unusual metabolic rates, higher blood pressure, and

headaches.

Behavioral

Sometimes stress can be based on the individual’s behavior. For instance, work

overload occurs when an employee has to execute a number of tasks in a limited

amount of time. Another behavioral stress might be the worker’s responsibility.

Employees sometimes have to make major decisions that have potentially

harmful consequences. For instance, a manager might have to fire an employee,

make a big financial decision, or cause employees to strike against the

corporation. These behaviors may all result in high levels of stress. Employees

who have high levels of stress may have lower levels of productivity and even

higher levels of absences or tardiness. Employees might display stress-related

behaviors such as different speech rates, drug or alcohol abuse, and changes in

eating behaviors.

Communicative

Research has shown that communicative stress factors sometimes occur, for

instance, when an employee has an extended or prolonged interaction with

another person with whom he or she might not want to interact. Think about a

customer-service representative who might be tired of talking with a certain

client over and over about the same problems or issues. Another example might

be too much communication with individuals from other departments. Perhaps a

work team is trying to complete a project, and managers constantly

micromanage every little step. These interactions might become stressful.

Another example might be the overall communicative climate of the

organization. Certain organizations limit the type of communication that

employees can engage in, and this in turns affects the work climate. Employees

who feel this type of stress will typically have different communication

behaviors. They might limit or restrict their interactions with others to deal with

workplace stress.

Organizational Stressors

In addition to personal characteristics that can lead to an increase in stress in the

workplace, different occupational characteristics can also have an influence on

workplace stress. The Global Business and Economic Roundtable on Addiction

and Mental Health [12] has identified ten common workplace stressors:

Too much work all at once

Random interruptions

Uncertainty about the future

Mistrust of coworkers

Unclear company policies

Career and job ambiguity

Inconsistent feedback on job performance

Lack of appreciation

Lack of upward and downward communication

Too little or too much to do

In addition to this general list of workplace stressors, researchers have found that

the type of organization can determine what stresses people. Table 12.1 provides

the results from four different studies looking at various occupations and the

types of stress individuals within those fields have reported as the top ten

stressors.

Table 12.1 Stressors across Occupations

Insurance

Agents [13] Nurses [14] Police Officers [15] Medical Interns [16]

Major Causes

1. Heavy sales

target

2. Time

management

3. Job

insecurity

4. Lack of

training

5. Work

overload

6. Excess of

competition

7. Lack of

support

Secondary

Causes

1.

Communication

gap

2. Lack of

acceptability

3. Limited

future prospects

4. Resource

constraints

5. Work-life

imbalance

1. Patient

suffering

2. Inadequate

support

3. Attitude and

ability of staff

4. Feelings of

powerlessness

5. Staffing

levels

6. Multiple roles

7. Behavior of

managers

1. Seeing criminals go free

2. Having to deal with the media

3. Insufficient personal time

(e.g., coffee breaks, lunch)

4. Dealing with crisis situations

5. Lack of recognition for good

work

6. Experiencing negative

attitudes toward the organization

7. Assignment of increased

responsibility

8. Personal insult from

customer/consumer/colleague

9. Frequent interruptions

10. Covering work for another

employee

1. Frequent call during night shift

2. Long working hours

3. Heavy workload

4. Keen competition for job

5. Uncertainty in securing a

satisfactory job

6. Making clinical errors

7. Lack of openness and

transparency in recruitment

system

8. Heavy responsibility

9. Performance assessment by

supervisor/mentor

10. Incompetence in managing

clinical problem

6. Lack of skills

7. Lack of

awareness

8. Work

environment

9. Unmatched

expectations

10. Economic

status

Although there are definitely common themes you can see across all the

occupations shown in Table 12.1, you can also see that each occupation has

unique stressors that clearly differentiate it from other occupations.

Stress can be overwhelming.

© Thinkstock/iStock

Outcomes of Stress

Lastly, stress can lead to a number of behavioral outcomes, including increased

aggression, counterproductive workplace behaviors, and substance abuse.

As employees of an organization, we have to realize that stress can be both

positive and negative. All members of the organization should be aware of their

own level of stress as well as that of other individuals. Wendell French, Fremont

Kast, and James Rosenzweig argued that organizations should strive to maintain

a balance of eustress (pleasant) and distress (problematic). [17] Managers can

foster a balanced work environment, they believed, through effective

performance planning, role analysis, and interpersonal skills training. Care must

be taken, observed French, Kast, and Rosenzweig, since managers must strike a

delicate balance in each of five areas:

1. Uncertainty can lead to distress, but so can certainty or overcontrol.

2. Pressure can lead to distress, but so can limbo or lack of contact.

3. Responsibility can lead to distress, but so can lack of responsibility or

insignificance.

4. Performance evaluation can lead to distress, but so can lack of feedback

concerning performance.

5. Role ambiguity can lead to distress, but so can job descriptions that

constrain individuality. [18]

Table 12.2 reviews outcomes related to negative stress in the workplace. The

second column lists outcomes associated with the individual; the second column

lists outcomes are reflected in the workplace itself. This view of stressors and

outcomes was originally put forward by Steve Jex and Craig Crossley, and

subsequent research has expanded their findings. [19] As you can see, when

negative stress festers in an organization, a wide range of negative consequences

can result.

Table 12.2 Negative Stressors and Outcomes

Outcome Individual Organization

Psychological

• Increased anxiety

• Increased depression

• Decrease in self-efficacy

• Increased burnout

• Decreased quality of life

• Increased job dissatisfaction

• Decreased organizational commitment

• Decreased employee motivation

• Decreased organizational acculturation

• Increased job strain

• Increased depression

Physical

• Increased hypertension

• Increased stomach ulcers

• Increased asthma

• Increased sexually transmitted

infections

• Increased heart disease

• Increased dyslipidemia

• Increased rheumatoid

arthritis

• Increased fatigue/insomnia

• Increased use of sick days

• Increased money spent on health care

• Increased number of worker’s

compensation claims

Behavioral

• Decreased positive health behaviors

• Decreased physical activity Increased

risk taking

• Increased drug/alcohol use

• Increased voluntary turnover

• Decreased productivity

• Decreased performance

• Increased counterproductive workplace

behaviors

• Increased accidents

• Increased violence

• Increased involuntary turnover

Communicative

• Increased aggression

• Decreased cooperative behaviors

• Decreased immediacy

• Negative emotional displays

• Decreased communication competence

• Increased workplace bullying

• Increased workplace incivility

• Increased negative conflict

• Decreased emotional labor

• Increased interpersonal conflicts

Burnout

When stress is not controlled after it goes from being a stressor (or series of

stressors) to prolonged job strain, an individual can find herself or himself in a

state of burnout. Herbert Freudenberger introduced the concept of burnout in

1974, when he discussed a state of mental and physical exhaustion that results

from one’s workplace. [20] In its original conceptualization, burnout was a

concept that primarily applied to individuals who worked in jobs where strong

demands for nurturing and caring for others occurred (e.g., health aides, nurses,

nursing home workers). Over time, our understanding of burnout and the

problems associated with it has become deeper. Freudenberger actually coopted

the term from the illicit drug users, who had been using the term burnout to refer

to the devastating effects of chronic drug abuse. To help us understand burnout

to a greater degree, we will examine the three primary characteristics of burnout

seen and discussed in modern research, as well as the burnout cycle.

Characteristics of Burnout

Wilmar Schaufeli, Michael Leiter, and Christina Maslach recently surveyed the

literature on burnout over the last thirty-five years and found that the research

describes three general characteristics common in burnout sufferers: high levels

of exhaustion, cynicism, and reduced professional efficacy: [21]

“Exhaustion refers to a state of energy draining that takes the form of

mental, emotional and physical tiredness. Cynicism concerns the

development of negative attitudes toward the nature and the recipients of

one’s work that may be best described as dysfunctional disengagement and

a gradual loss of concern. Lack of professional efficacy has to do with the

tendency to feel incompetent at work and goes hand-in-hand with poor

self-esteem and insufficiency.” [22]

Exhaustion, cynicism, and lack of self-efficacy don’t happen overnight. People

develop these three characteristics over time. Furthermore, just because someone

is exhausted doesn’t necessarily mean that he or she will be cynical and feel a

loss in self-efficacy. Ask any of your professors toward the end of the semester,

and most will respond that they are exhausted—just as most of you are. It’s the

combination of these three characteristics that tends to represent the modern

state of burnout.

Stages of Burnout

Herbert Freudenberger and Gail North originally conceived of burnout as a

process, rather than a single event, and described a burnout cycle composed of

twelve stages (Figure 12.1). [23]

Figure 12.1 Freudenberger and North’s Burnout Cycle

Stage 1: Compulsion to Prove Oneself

Burnout typically starts when an individual has ambitions for upward mobility.

There is nothing wrong, of course, with a desire to excel and succeed. However,

for some people, this desire to prove oneself becomes an unhealthy

determination that borders on obsession.

Stage 2: Working Harder

The ambitious individual works hard, gets noticed by others in an organization,

and may rise in the corporate hierarchy. For this reason, the individual is

generally viewed positively by coworkers and superiors. As a result, the

individual may start believing that he or she is irreplaceable and refuse to let

others help with tasks.

Stage 3: Neglecting One’s Own Needs

The first two stages often characterize most ambitious individuals. However, the

potential for burnout becomes clearer in the third stage. At this point, the

individual starts neglecting his or her own needs (e.g., eating, family, friends,

sleeping) in favor of working harder and longer hours. The individual often

rationalizes that these sacrifices are necessary to the organization or for career

advancement.

Stage 4: Displacement of Conflicts

At this stage, the individual headed toward burnout starts to realize something is

seriously wrong. However, because actually addressing the problem is an affront

to the person’s view of the world and life, the individual attributes the problem

to other causes. Symptoms of physiological stress (see Table 12.2) often emerge

at this stage.

Stage 5: Revision of Values

For the individual in this stage of the burnout cycle, once-important factors (e.g.,

friends, loved ones, vacations, hobbies) become nuisances. Instead, the

individual’s values and self-worth are wrapped up in his or her job performance.

With this radical change in values, the individual may shut down emotionally

because emotions are “too human” and get in the way of work.

Stage 6: Denial of Emerging Problems

Instead of confronting the problem head on, the individual at this stage in the

burnout cycle denies the problem in favor of other explanations. Colleagues are

seen as lazy and stupid, which is why work often doesn’t get done in the right

way or on time. Other factors, such as time and resource constraints, are also

blamed. Every problem that emerges is something thrust upon the individual and

not caused by her or his own thinking or behavior. Psychologists would say the

person has an “external locus of control.”

Stage 7: Withdrawal

When the individual starts withdrawing and becomes increasingly isolated, this

change in behavior becomes clear to others. Family, friends, and coworkers

become concerned for the individual’s well-being. Again, the individual at this

point is aware that something is wrong. He or she may try alcohol or drugs to

dull the pain. The three characteristics of burnout—exhaustion, cynicism, and

reduced professional efficacy—have truly taken root.

Stage 8: Obvious Behavioral Changes

The ambitious individual who was excited about work becomes someone seen as

reclusive, shy, and apathetic. Where the individual once lived for work, now he

or she feels at the mercy of work. As behavioral changes become increasingly

obvious, others can no longer excuse the changes they see. For that reason, the

individual’s self-worth gets progressively lower.

Stage 9: Depersonalization

At this stage, depersonalization, an individual starts to lose contact with her or

his true self. Instead of seeing herself or himself as a unique individual with

specific knowledge and talents, the person sees neither herself or himself nor

others as valuable or useful. In fact, both personal life (if there still is one) and

work life become a series of steps to perform, almost robotic.

Stage 10: Inner Emptiness

The individuals in the tenth stage becomes more and more trapped in inner

monologues of self-hate. To fill the “down time,” he or she may engage in

destructive behaviors such as risky sexual practices, drug or alcohol abuse, or

other addictive behaviors. In essence, the person does not want to be alone with

his or her thoughts and seeks out distractions. By this point, however, the

individual has few positive outlets and thus opts for negative ones instead.

Stage 11: Depression

Clinical depression is often the next stage in the burnout cycle, as the individual

sees little hope in the future. Often driven by volatile mood swings, the person’s

behaviors can run the gamut from agitation to full-on verbal and physical

aggression.

Stage 12: Burnout Syndrome

Freudenberger and North’s final stage in the burnout cycle is what they dubbed

the “burnout syndrome.” At this point, the individual starts to see death as a

viable option for escape. As suicidal ideations become more pronounced, the

person may even act on these thoughts. The individual is in a complete clinical

meltdown, is a danger to self and others, and needs inpatient psychiatric care.

The Influence of Communication on Burnout

As you can see from our discussion of Freudenberger and North’s burnout cycle,

burnout is not something to be taken lightly. Over the years, a number of

different studies have examined the influence of communication within the

workplace and its influence on burnout. In Chapter 5, we introduced you to the

concept of an individual’s communication network within the workplace. A

study conducted by Eileen Ray and Katherine Miller set out to see how an

individual’s communication network within the organization impacted her or his

levels of burnout. [24] They found that an individual’s communication network

did relate to her or his likelihood of burning out. Specifically, the researchers

found that the quality of the relationships we have with those individuals within

our communication networks at work is more important to preventing burnout

than having a large number of individuals within our communication network.

Furthermore, the types of interactions we have and the types of talk we engage

in also matter. If we have individuals with whom we converse only about the

task at hand, these communication networks will not be as beneficial at reducing

burnout as individuals within our network from whom we receive social support.

When it comes to preventing burnout, having people within the workplace who

can provide social support is extremely important.

Another study, Michael Leiter also examined the impact that an individual’s

formal and informal communication networks (a subject covered in Chapter 5)

had on emotional exhaustion, depersonalization, and burnout in the workplace. [25] Figure 12.2 shows the results of Leiter’s study.

Figure 12.2 Communication and Burnout

In Figure 12.2, the solid gray lines show positive relationships between variables

within Leiter’s study. So both the number of work contacts and the number of

informal contacts positively related to an individual’s feelings of personal

accomplishment in the workplace. However, only an individual’s informal

contacts made her or him feel satisfied with work. Second, as the number of

workplace contacts escalates, an individual’s level of emotional exhaustion in

the workplace rises. Next, there was a positive relationship between an

individual’s emotional exhaustion and depersonalization. However, job

satisfaction only negatively related (red dashed line) to emotional exhaustion.

Lastly, an individual’s job satisfaction positively related to feelings of personal

accomplishment. What can we learn from this study’s findings? Overall, the type

of networked relationships you develop at work does impact your job

satisfaction, feelings of accomplishment, and likelihood of burnout. On the

whole, you can’t avoid having work contacts in the workplace. However,

developing informal contacts in the workplace can boost your job satisfaction. In

another study examining the relationship between emotional exhaustion,

depersonalization, and feelings of accomplishment, there was a negative

relationship between depersonalization and feelings of accomplishment. [26]

These findings further corroborate the basic notions of burnout

Organizational Responses to Stress

One of the hardest questions many organizations face is what to do about worker

stress. Is it even the organization’s job to worry about stress? For our purposes,

we will review three strategies that organizations often employ to help workers

handle day-to-day stress: stress management training, employee assistance

programs, and sociotechnical interventions.

Stress Management Training

One of the first tools that organizations can employ involves their training and

development department. We discuss training and development in more detail in

Chapter 15 as a general concept, but for now let’s just say that training and

development is a huge business in the United States. According to 2012 State of

the Industry, published by the American Society for Training and Development,

US organizations spent more than $156 billion on training and development. [27]

Although not one of the most common topics for training, stress is a training

topic that is necessary in most organizations. According to Susan Cartwright and

Lynne Whatmore, the typical stress management training program will include

the following:

Stress awareness and education

Relaxation techniques

Cognitive coping strategies, such as rational emotive behavioral therapy

(REBT)

Biofeedback

Meditation

Exercise

Lifestyle advice and health-promotion activities

Interpersonal-skills training such as time management and assertiveness

training [28]

As you can see from this list of topics, most of these you would expect to see

discussed. However, let’s talk about two topics that are lesser known. First, we

have REBT. This is a form of cognitive-behavioral therapy that specifically

strives to help people resolve emotional and behavioral problems, so they can

live happier and more productive lives. Through this process, a trained therapist

guides an individual to help her or him see how often her or his own emotions

and thoughts drive behavior. In fact, often our own emotions and thoughts drive

us to the point of being stressed out. Have you ever sat around and thought about

every possible case scenario? For example, maybe you’re waiting for a friend to

show up for dinner and she is running late. You may sit at the restaurant with a

wide range of negative thoughts running through your head: she’s standing me

up because she hates me, maybe she was in an accident, maybe I have the wrong

date and time, and so on. When your friend finally shows up, you’ve already

stressed yourself out and she was just running late. The goal of REBT is to help

people own their thoughts and emotions and start to see when and how they

contribute to stress. When people can learn to identify these irrational thoughts,

it’s much easier to help them learn how to manage their stress.

Another tool that is often used is biofeedback, “a technique usually involving the

measurement of muscle and skin activity whereby individuals can monitor

physiological changes in their bodies. It is used in conjunction with other

methods of stress reduction (e.g., relaxation) to inform individuals of the

effectiveness of their efforts to reduce stress.” [29] When we get stressed, there

are often biological effects like rapid breathing, increased heart rate, and

elevated hand temperature. Devices exist that can measure these effects to help

train an individual to recognize when stress is affecting her or him and then offer

strategies to reduce that stress. Just google biofeedback and stress, and you’ll

find a wide range of products being sold online designed to help people manage

their stress. However, not all these devices actually do anything other than beep

and provide nonsensical readouts, so it’s always best to consult with a trained

professional.

Employee Assistance Programs

A second option that many organizations have for their members is employee

assistance programs (EAPs). The first EAPs were established in 1917 by R. M.

Macy and Co. and the Northern States Power Company when it was realized that

employee productivity and performance problems were often related to personal

issues outside of work. [30] However, EAPs really didn’t take off until the 1940s

and 1950s after the repeal of Prohibition in the United States. In fact, in the early

years, EAPs were predominantly concerned with alcoholism. The Yale Center of

Alcohol Studies and the National Committee on Education on Alcoholism were

highly focused on helping organizations create in-house treatment programs for

alcoholics during this time period. [31]

Over the years, EAPs have evolved and now help individuals in a variety of

stressful situations that can hurt performance and productivity in the workplace.

In fact, more than 96 percent of Fortune 500 companies have EAPs. [32] Today,

these programs are designed to help people with a range of emotional, financial,

mental, and substance-abuse problems. Because of this broader expansion in the

area of both emotional and mental health, EAPs often have services available for

individuals needing help managing their stress.

Of course, organizations want to evidence that EAPs are effective. A 2013 study

by Bensinger, DuPont, and Associates (BDA) found that stress has a negative

impact on organizations. Common problems caused by stress included difficulty

concentrating at work (44.3 percent of men and 49.2 percent of women),

absenteeism (15.8 percent and 17.1 percent), poor work quality (14.4 percent

and 12.8 percent), and incomplete tasks (4.5 percent and 4.7 percent). However,

94 percent of employees who went through an EAP program designed by BDA

reported an increase in overall work performance. About two-thirds of men and

women boosted their productivity. Recommendations made for future EAP

interventions included specific communication tools: text messaging, Skype, and

face-to-face counseling sessions. Overall, BDA found that EAP interventions to

combat stress must fit into an employee’s schedule so as not to become an

additional stressor. BDA also recommended that managers receive more training

in how to spot subordinates who may benefit from EAP help. Too often,

individuals in management positions watch an employee deteriorate without

thinking about EAP interventions that may be available for the employee.

Sociotechnical Interventions

The final type of stress-reduction intervention looks holistically at the job and

the workplace to see if parts of the system are causing stress. Specifically,

sociotechnical interventions “refer to primary prevention interventions aimed at

eliminating job stressors by making changes to objective working conditions or

to the objective work environment.” [33] The three most common changes that

organizations can make to reduce stress are adjustments in workloads, work

schedules, and work processes.

An individual’s workload is related to a wide range of behavioral, physical,

psychological, and communication problems. Ample evidence confirms that

workloads in the United States have been steadily increasing over many years.

As such, many individuals feel that they are drowning under the weight of work.

There is also a tendency in many organizations to pile more work on those who

are better workers and less on those who are not.

Second, organizations can help individuals destress by allowing them more

flexibility with their work schedules. Research has demonstrated that having

control over one’s work schedule can be very important in terms of an

employee’s psychological, behavioral, social, and physical health. [34] For

example, many employers offer flextime, which allows employees to schedule

their workday around events outside the organization. In many organizations that

allow flextime, there is a general understanding that workers are at work during

the core business hours between 9 a.m. and 3 p.m. However, there is a twelve-

hour period in which they could work (7 a.m. to 7 p.m.). If an individual comes

in at 7 a.m. and works a standard eight-hour day, he or she could be out of the

office by 3 p.m. In essence, work is still getting accomplished, but people have

more flexibility in their schedules. For example, if you’re a working father and

you need to drop your kids off at school at 8:30 a.m., and your office generally

opens at 8 a.m., trying to figure out how your kids get to school when you’re

supposed to be working can be quite stressful. As such, allowing this individual

to come in at 9 a.m., and then work until 5 p.m., can relieve his stress.

Lastly, organizations can adjust work processes and procedures. One of the

biggest stressors can be the way in which we conduct business. Every

organization has specific processes for how work is conducted and procedures

employees should follow. However, often these are so cumbersome that they

actually cause unneeded stress. Let’s look at each of these separately.

Organizational processes include a range of situations that help inform what

needs to be done and which roles are involved. [35] For example, maybe your

organization has a process for handling sexual harassment complaints (Figure

12.3). As you can see from this process map, there is a series of steps that sexual

harassment allegations go through before final decisions are made. If someone

feels that this process is too complex or burdensome, he or she may avoid the

process and continue to be routinely victimized, causing serious amounts of

stress. In fact, some victims of harassment have actually argued that the process

of reporting harassment can make them feel like a victim all over again.

Procedures, on the other hand, involve a description of how to complete a

specific task and generally describe only one individual’s role. For example,

there may be an explicit procedure in place for how a manager responds when he

or she receives the written complaint of sexual harassment. In the first case, we

have a process that outlines the steps. In the second case, we have specific

procedures that relate to an individual’s role within the process itself.

Organizations can help alleviate stress with processes and procedures designed

so they do not become so burdensome that they add to an individual’s overall

stress load. People who conduct these types of analyses are generally human

performance improvement professionals. They examine a wide range of

processes, procedures, and individual factors within an organization in an effort

to make the organization and its members more effective and efficient. In

Chapter 15, we explore the world of human performance improvement in more

detail.

Figure 12.3 Sexual Harassment Investigation Process

KEY TAKEAWAY

Stress is an individual’s reaction to factors in the organization.

This is the cognitive, affective, or physical strain or tension

producing mental tension or physiological reactions that disturb

the body’s normal state of functioning.

Stress can result in psychological, physical, behavioral, and

communicative outcomes. Psychological outcomes might be

expressed as job dissatisfaction, anger, and hostility. Physical

outcomes might be high blood pressure and headaches.

Behavioral outcomes can include changes in eating and sleeping

behaviors.

Workplace stress can have a wide range of negative outcomes for

people who are exposed to high levels of stress that lead to work

strain. Work strain that is not managed over time will eventually

lead to a breakdown in an individual’s ability to function in the

workplace and could lead to burnout.

Organizations have a responsibility to help organization members

manage stress. To do so, organizations have a number of tools at

their disposal, including stress management training, employee

assistance programs, and sociotechnical interventions.

EXERCISES

1. In groups, discuss the three I’s in conflict: incompatible goals,

interdependence, and interaction. Can you think of specific

examples for each one?

2. In groups, discuss the pros and cons of each type of stress and

discuss how to deal with each type.

3. Contact someone who is currently part of or has been a part of a

high-stress job. Ask him or her specific questions regarding stress

and the job. Do you see relationships between the person you

contacted and what was presented in this chapter?

4. Divide the class into small groups. Each group must select a

different type of stress. Group members will act out their type in

Stress :

Distress :

Eustress :

Stressors :

front of the class, and the class must guess which type is being

acted.

KEY TERMS AND DEFINITIONS

A cognitive, affective, or physical strain or tension that produces mental tension or physiological reactions that disturb the body’s normal state of functioning.

A problematic type of stress because it creates a substandard working environment.

Stress that is pleasant and creates an optimal working condition.

Specific activities, events, experiences, or people that induce stress.

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12.2 Conflict

LEARNING OBJECTIVES

1. Describe the term conflict.

2. Define the conflict-management strategies.

3. Discuss the impact of conflict on organizations.

© Thinkstock/Photodisc

Do you know what conflict is? How would you define conflict? There are

several definitions of conflict and organizational conflict. Linda Putnam and

Marshall Scott Poole defined conflict as “the interaction of interdependent

people who perceive opposition of goals, aims, and values, and who see the

other party as potentially interfering with the realization of these goals.” [1]

There is a difference between a conflict and a disagreement. A disagreement is a

difference of opinion without an association of any kind of negative effect.

According to Dudley Cahn and Ruth Anna Abigail, [2] interpersonal conflict

consists of four basic parts:

1. The conflict parties are interdependent.

2. The parties perceive that they seek incompatible goals or outcomes, or they

favor incompatible means to the same ends.

3. The perceived incompatibility has the potential to adversely affect the

relationship, leaving emotional residues if not addressed.

4. There is a sense of urgency about the need to resolve the difference.

First, interdependence is important in the organizational environment because it

might cause conflict. For instance, if you ask two workers who have completely

different work ethics to collaborate on a project, conflict might arise, especially

if one worker is Type A and likes to get projects completed in a timely, efficient

manner, and the other worker is a procrastinator and believes that the best ideas

are the ones done at the last minute. These two workers might be great

employees on solo projects because they know how to do their jobs effectively.

However, once these two workers become interdependent, they must determine

the best way to work with each other to complete the project. This

interdependence might be very difficult to deal with. Another example might be

two trains with separate tracks. The trains run fine on their distinct tracks.

However, once the trains have to share the same track, some interdependence

occurs and in turn causes conflict about which train should use the track first and

how long. In both these examples, the incompatibility is not the main issue.

Rather, what becomes prominent in both examples is the idea of

interdependence, in which one depends on the other.

Second, incompatible goals are often the main reason for conflict and might

include several problems in the organization. For instance, two workers might

want two completely different things, and they cannot agree on a solution. One

worker might want to have an on-site fitness facility, while another worker

would like an on-site child day care. A child-care facility would only benefit

workers with children, and those workers who do not have children might not

understand the importance of an on-site day care. While both workers may have

valid reasons for their ideas, there might be enough financial support for only

one facility. Another example might be where two workers have completely

different values. One worker might feel it necessary to work on certain holidays

to increase sales, while the other worker would rather not work holidays to spend

time with family and friends. Overall, incompatible goals usually stem from

different perspectives and perceptions.

Third, there exists the possibility that the relationship will be negatively affected

if the conflict is not managed in a prosocial manner. When conflict is not

managed effectively and efficiently, it can slowly deteriorate relationships

among those individuals involved. For this reason, Cahn and Abigail argue that

for it truly to be conflict (and not just a disagreement), there must be the

possibility of negative ramifications on relationships.

Lastly, there exists a sense of urgency to resolve the conflict. If people could put

off having the conflict till next week, next month, or next year, then there really

isn’t a serious conflict. As such, there is an emphasis on the need to resolve the

conflict quickly. In a situation where there is a disagreement and not a conflict,

people may not need to resolve the disagreement. Two people may prefer

different types of legal pads in the office (one likes yellow and one likes white).

Is this a conflict? Most assuredly not. In fact, if people let a little disagreement

blow up into a full-on conflict, there generally exist much larger conflictual

problems than legal pads, which must be dealt with first.

Although we most often think of conflicts as occurring between two people,

there are larger, organizational conflicts as well. Ana Akemi Ikeda, Tania

Modesto Veludo-de-Oliveira, and Marcos Cortez Campomar identified two types

of organizational conflict: vertical and horizontal. [3] Vertical conflicts happen

between two different groups of people in the organization who have different

hierarchical levels, such as managers and employees. Vertical conflicts happen

due to differences in power and status. The stress that these employees might

experience stems from a variety of sources: psychological distance (where there

are differences in employee perception about their importance in the

organization and/or needs are not being met), power (employees might have

different perceptions of organizational power), value differences (employees

might differ in their organizational goals), and scarce resources. Horizontal

conflicts, on the other hand, happen between employees who have the same

level, such as all the employees in the same department. As we will see, stress

can definitely cause conflict, but it is also true that conflicts can cause stress.

Intergroup and Interorganizational Conflict

Now that we understand conflict, we need to look specifically at organizational

conflict. Many researchers typically examine conflict at the interpersonal level—

that is, specific individuals who may have different perspectives from other

individuals. However, in an organization, conflict may be intergroup or

interorganizational.

Intergroup conflict occurs when groups of individuals in the organization

encounter conflict. These groups might include certain departments, divisions, or

work teams. For instance, the human resources department might be in conflict

with the financial services department because of differing opinions about how

certain expenses should be allocated. Perhaps the human resources department

thinks that it is important to take potential employees out for a lunch or dinner

interview, and the financial services department believes that it is a waste of

money because some of these interviewees might not be hired. This discrepancy

between departments might cause conflict. Another example might be an

organization with multiple locations around the world, which is launching a new

advertising campaign. In one country, the advertisement might be seen as

raunchy and disturbing, while the other country might find the ad very

humorous.

Interorganizational conflict includes disagreements between two or more

organizations. For instance, an oil company might want land to drill for

resources, but environmental conservationists might be worried about the

wildlife in that area. Both need to find ways to achieve their main objectives.

Another example might include two organizations that are competing for

customers. Both organizations are selling the same product for the same price

but need to find ways to get customers to purchase the item from them and not

from their competitor. Or consider how a government agency and a profit-

making corporation engaged in a public-private partnership might clash over the

goals of their joint project. Interorganizational conflict can be stressful when the

two organizations have different ideals and perspectives.

Functional and Dysfunctional Conflict

Conflict can be classified as functional or dysfunctional. Functional conflict

includes interactions that strengthen the relationship. It helps individuals realize

what is important and what needs to be addressed in the interaction.

Dysfunctional conflict includes interactions that hinder or destroy relationships.

In this type of conflict, preconceptions are out of control. Individuals engaged in

dysfunctional conflict might view their actions as protective and see behaviors of

others as devious and doubting.

Figure 12.4 Dysfunctional and Functional Types of Conflict

If you work in an organization where there is a lot of dysfunctional conflict,

there are ways to change it to functional types of conflict. We will now discuss

the different types of dysfunctional conflict and how to make it functional.

First, polarization is where two people are completely opposite from each other.

Each views himself or herself as good and the other person as bad. You might

have two employees, one of whom wants to save money for the organization,

while the other employee wants to spend money to increase sales. To make this a

functional conflict, you need to have an integrative approach. Integration takes

into account that the employees are in the same situation. Hence they try to work

collectively on an ideal solution. They don’t view things as good or bad. In the

previous example, the employees could view the situation from the perspective

of trying to increase sales rather than as a spender and a saver.

Second, opposition occurs when people disagree, each viewing it as a loss if he

or she does not win. Most issues are critical for people in disagreement. They

tend not to find resolution in a constructive fashion. They play devil’s advocate.

On the other hand, cooperation is a solution that everyone can agree on.

Disconfirmation occurs when one person attacks or insults another person but is

not addressing the real problem. You might see coworkers who attack ideas and

issues, but there is no solution or resolution to the conflict. Confirmation is

where the person acknowledges and addresses the other person’s concerns and

seeks a solution that is person centered. If you approach conflict this way, then

people feel as though their concerns have been heard.

Coercion is using intimidation and/or bullying to get what you want. Sometimes

employees may force their thoughts or opinions onto others to achieve their

goals. They might stoop to low levels to get to the top. A better option to this

type of conflict is agreement. Agreement is where both parties unreservedly

accept the solution. Agreement is best because people see eye to eye about the

conflict, and there are no perceptions of distrust or bitterness.

In escalating types of conflict, the problems get worse and worse. The person

who is attacked or criticized is usually more inclined to be vengeful. You have

probably witnessed this type of conflict when the problem starts out as minor

and then becomes something major. The opposite of escalating is de-escalating,

where the two individuals in conflict solve problems together rather than making

it worse. People in organizational conflict should try their best to de-escalate the

conflict.

Drifting conflict is where an individual will not focus on the conflict at hand;

rather, he or she will bring up past events or trivial issues. For instance, when

arguing with a supervisor about a specific task, the employee comments on

something done on a task a long time ago. Focusing is concentrating on the

current issues or problems. This is the best way to deal with conflict, because

you are not able to change the past or predict the future.

Shortsightedness is another type of dysfunctional conflict, where you don’t

realize the potential long-term outcomes. For instance, you argue with a

coworker to win a debate, but you also lose a friendship. In addition, being short

sighted refers to being blind to a solution that would be ideal for all individuals

involved. Foresight means that you argue about the important issues and ignore

less important ones.

Negative results occur when issues are not resolved and the future relationship is

threatened. If conflict is handled in a functional way, it can be meaningful for

your relationship, and it can make your relationships with others more cohesive

and beneficial.

Phases of Conflict

Employees in an organization do not shift from being harmonious to being

argumentative and divergent. Louis Pondy noted that people in organizations

will move into five distinct phases (Figure 12.5). [4] The first phase is called

latent conflict. In this phase, the situation is ripe for conflict to occur because of

some incompatibility or interdependence. The second phase is perceived conflict.

This happens when one or more parties acknowledge that there are

incompatibility issues present. The third phase is called felt conflict and occurs

when the parties figure out how to handle conflict and some possible different

outcomes. The fourth phase is manifest conflict in which goals are executed. The

last phase is the conflict aftermath. In this last phase, conflict has been resolved

in some manner, and there may be consequences involved for the parties. After

this stage, the individuals might perceive each other, their relationship, and/or

the organization differently.

Figure 12.5 Phases of Organizational Conflict

Conflict Management Measures

Over the years, a wide array of measures has been created to help researchers

analyze conflict. In this section, we examine two measures: the Kilmann-

Thomas Conflict MODE instrument and the ABCs Conflict Management

Strategies Scale.

Kilmann-Thomas Conflict MODE Instrument

The first real groundbreaking measure in the field of conflict management was

created in the 1970s by Ralph Kilmann and Kenneth Thomas. The origin of the

Kilmann-Thomas Management-of-Differences Exercise (MODE) instrument

stems from the previous research on management styles by Blake and Mouton. [5] (For more on Blake and Mouton’s work, see Chapter 7.) Blake and Mouton’s

managerial grid inspired Thomas in 1976 to theorize that the grid could also help

explain how individuals manage differences and conflicts. [6] Kilmann and

Thomas started with the basic notion that individuals engaged in managing

differences exist on two basic continuums: assertiveness and cooperation. In this

perspective, assertiveness refers to the degree to which an individual is

concerned with and attempts to satisfy her or his own concerns. In contrast,

cooperation is the degree to which an individual is concerned with and attempts

to satisfy others’ concerns. Based on these two dimensions, Thomas predicted

that there would be five distinct conflict-management strategies (Figure 12.6):

(1) avoidance, (2) compromise, (3) accommodation, (4) competition, and (5)

collaboration.

Figure 12.6 Conflict MODE

Avoidance

Avoidance is a style for individuals who do not care about their own goals or

about the needs of the relationship. As the name implies, avoidance is for

individuals who do not like to engage in conflict. They will try to avoid it if at all

possible. In an organizational context, avoidance is seen as a negative thing,

because valuable comments and input might not be shared.

Competition

Another conflict-management style is competition. The competitive person

seeks to resolve conflict for personal gain and does not care about others.

Competitive persons are more likely to perceive conflict as a game that they

need to win. This style is often harmful in an organizational context, because

everyone might not be able to communicate or share information, especially if a

competitive person dominates the decision-making process. However, if a

competitive person is willing to take on the responsibility of the decision and

help make the decision when the organization is at a standstill, then this can be

beneficial for the organization.

Compromise

Perhaps a better way to approach conflict is compromise. In compromise, both

parties get some of what they want and some of what they do not want. A

compromise can be beneficial when everyone achieves a balance of what he or

she wants with minimal losses. Some organizations prefer compromise as a way

to resolve conflict because most of the time all viewpoints are addressed.

Accommodation

Accommodation is best for people who have a high desire to please others

rather than satisfying their personal agendas. From time to time, accommodation

is best to maintain the relationship, preserve peace, and circumvent conflict. If

the conflict situation is difficult, accommodation allows for a quick resolution,

but this may be flawed because disagreements are more likely to be overlooked.

For instance, if the boss has a great idea, but you think it is horrible, you might

withhold your opinion on the matter because you value your relationship with

your boss.

Collaboration

The ideal conflict-management style is collaboration because it takes into

account the need to satisfy both others and oneself. It is also the most difficult to

accomplish because it is basically a win-win situation. All parties are getting

what they want from the conflict. At the same time, collaboration requires

strategic and effective communication because all parties need to be able to

express specifically what they want and how they will be able to achieve their

needs and goals. If communication is successful, then collaboration can be very

advantageous and favorable for all members involved.

Steps for Effective Collaboration

1. Define your needs:

Decide on what you want or need. In some cases, the answer is obvious; in others, it is less obvious. Determine your needs before you address the other person. Talking to a third party may be helpful.

2. Share your needs with the other person:

Once needs are determined, it is time to share them with the other person. Be sure to choose an ideal time and place for the situation.

3. Listen to the other person’s needs:

Listen to what the other person wants and needs.

Try to come up with a shared understanding of the problem in a supportive manner. Try to be as nonjudgmental, descriptive, and empathetic as possible.

4. Generate possible solutions:

Think of as many ways to come to compromise as can satisfy the needs of each person.

5. Evaluate the possible solutions and choose the best one:

Once all the solutions have been created, it is time to pick the best solution. It is important to work cooperatively when examining each solution and choosing the best one. Try to communicate how you feel about each of the solutions.

6. Implement the solution:

After a decision has been made, put your solution into action. The key questions to answer are who does what, to whom, and when?

7. Follow up on the solution:

Because people tend to be habitual creatures, it is important to reevaluate the solution. Sometimes the situation changes and it needs to be reassessed. After implementing the solution, it is a good idea to evaluate any thoughts on the solution. [7]

ABC Conflict Management Scale

Linda Putnam and Charmaine Wilson created the Organizational

Figure 12.7 ABC

Conflict

Management Styles

Communication Climate Instrument (OCCI) to measure three specific factors of

conflict: nonconfrontational strategies (avoidance), solution-oriented

strategies (cooperation/collaboration), and control strategies (competition). [8] A

similar measure is the ABC Conflict Management Styles Scale (Figure 12.7).

Take a minute to complete the ABC Conflict Management Styles Scale in the

sidebar.

ABC Conflict Management Styles Scale

Read the following questions and select the answer that corresponds with

how you typically behave when engaged in conflict with another person. Do

not be concerned if some of the items appear similar. Please use the following

scale to rate the degree to which each statement applies to you.

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

When I start to engage in a conflict, I _______________.

1. Try to find a solution that works for everyone. _____

2. Keep the conflict to myself to avoid rocking the boat. _____

3. Do my best to win. _____

4. Try to find a solution that is beneficial for those involved. _____

5. Do my best to stay away from disagreements that arise. _____

6. Create a strategy to ensure my successful outcome. _____

7. Collaborate with others to find an outcome OK for everyone. _____

8. Avoid the individual with whom I’m having the conflict. _____

9. Won’t back down unless I get what I want. _____

10. Find solutions that satisfy everyone’s expectations. _____

11. Leave the room to avoid dealing with the issue. _____

12. Take no prisoners. _____

13. Try to integrate everyone’s ideas to come up with the best solution for

everyone. _____

14. Shut down and shut up to get it over with as quickly as possible. _____

15. See it as an opportunity to get what I want. _____

16. Openly raise everyone’s concerns to ensure the best outcome possible.

_____

17. Keep my disagreements to myself. _____

18. Don’t let up until I win. _____

To determine your score, add up the items for each of the 3 types of conflict

using the following scheme:

Items 1, 4, 7, 10, 13, 16—Avoiders

Items 2, 5, 8, 11, 14, 17—Collaborators

Items 3, 6, 9, 12, 15, 18—Battlers

Scores for each form of conflict should range between 6 and 30. Scores 19

and higher are considered high levels of the conflict management technique

and those 18 and lower are considered low levels of the conflict management

technique.

This measure was created for this text.

The ABC conflict management styles scale examines avoiding behavior, battling

behavior, and collaborating behavior. Avoiding behavior is designed to help an

individual step away from or avoid a conflict. Battling behavior is described as

conflict-management behavior in which an individual sees the conflict as a

competition or battle and therefore must win the battle at all costs.Collaborating

behavior strives to find a desirable solution for all individuals involved in the

conflict.

It is possible to exhibit a mixture of conflict management strategies when

engaging in conflict. However, most people tend to favor one method over the

other. In research looking at these three forms of conflict management, both

avoiders and battlers tend to have more problems with conflict. Avoidance and

battling are generally viewed as negative methods of conflict management.

Collaborators, on the other hand, tend to have the most favorable outcomes for

both themselves and others in the long run.

KEY TAKEAWAY

Conflict consists of incompatible goals, interdependence, and

interaction. The parties might have differences in perspectives or

perceptions.

Conflict can be dysfunctional, which means it hinders

relationships, or it can be functional, which means it helps

relationships. One can change dysfunctional conflict into

functional conflict.

Conflict-management styles include avoidance, compromise,

accommodation, competition, and collaboration. Avoidance

involves behaviors that evade conflict. Competition involves

interactions to solve the conflict for personal gain and with a lack

of regard for others. Compromise involves interactions in which

both parties get some of what they want and some of what they

Accommodation :

Avoidance :

Dysfunctional Conflict:

do not want. Accommodation involves interactions during conflict

to please others rather than satisfying personal goals.

Collaboration involves working together to satisfy both people’s

needs.

EXERCISES

1. Discuss the advantages and disadvantages of conflict in the

organizational setting.

2. Discuss the different conflict-management strategies. Based on

your experience, can you describe a situation where each

strategy occurred?

3. Do you believe that conflicts happen in phases in an

organization? Why or why not? Can you provide some specific

examples?

4. Can you think of some examples of dysfunctional conflict and how

you might be able to change them to functional conflict?

KEY TERMS AND DEFINITIONS

Involves interactions during conflict to please others rather than satisfying personal goals.

Involves behaviors that evade conflict.

Involves interactions that hinder the relationship.

Functional Conflict:

Argumentative :

Collaboration :

Competition:

Compromise:

Conflict :

Control :

Nonconfrontational :

Solution-Oriented:

Involves interactions that strengthen the relationship.

A trait where people attack only the topic and not the self-concept of the person.

Involves interactions during conflict to work together to satisfy both one’s own needs and the needs of others.

Involves interactions to solve the conflict for personal gain and with lack of regard for others.

Involves interactions where both parties get some of what they want and some of what they do not want.

Parties have different perspectives and perceptions.

Includes verbal and nonverbal communication behaviors to stress demands and distress the opposition.

Encompasses disagreement avoidance and/or shunning the opposition.

Includes direct strategies for handing conflict, such as compromise and innovative ways to work with the opposition.

[1] Putnam, L. L., & Poole, M. S. (1987). Conflict and negotiation. In F. M.

Jablin, L. L. Putnam, K. H. Roberts, & W. L. Porter (Eds.), Handbook of

organizational communication: An interdisciplinary perspective (pp. 549–

599). Newbury Park, CA: Sage, p. 552.

[2] Cahn, D. D., & Abigail, R. A. (2011). Managing conflict through

communication (4th ed.). Boston, MA: Allyn & Bacon, p. 4. p. 552.

[3] Ikeda, A. A., Veludo-de-Oliveira, T. M., & Campomar, M. C. (2005).

Organizational conflicts perceived by marketing executives. Electronic

Journal of Business Ethics, 10(1) 22–28.

[4] Pondy, L. R. (1967). Organizational conflict: Concepts and models.

Administrative Science Quarterly, 12, 296–320.

[5] Blake, R. R., & Mouton, J. S. (1964). The managerial grid. Houston,

TX: Gulf.

[6] Thomas, K. W. (1976). Conflict and conflict management. In M.

Dunnette (Ed.), Handbook of industrial and organizational psychology

(pp. 889–935). Chicago, IL: Rand McNally.

[7] Adler, R. B., Rosenfeld, L. B., & Proctor, R. F., II. (2012). Interplay:

The process of interpersonal communication. New York, NY: Oxford

University Press.

[8] Putnam, L. L., & Wilson, C. E. (1982). Communication strategies in

organizational conflicts: Reliability and validity of measurement scale.

Communication Yearbook, 6, 629–652.

12.3 Negotiation

LEARNING OBJECTIVES

1. Define and understand the characteristics of the negotiation

situation.

2. Identify distributive and integrative negotiation strategies.

3. Analyze the four types of players in negotiation.

4. Identify the three types of third-party negotiation.

The word “negotiation” is actually taken from the Latin word negotiare, which

means “to do business.” Although the word negotiation has been broadened

since its origin, negotiations are still a very important part of organizational

communication. You can almost argue that negotiations are a special kind of

conflict. [1] A negotiation is a bargaining process between two or more

conflicting parties who must find common ground in an effort to reconcile or

compromise on an agreed-upon resolution to the conflict. Let’s start by breaking

this definition down. First, we see negotiation as a bargaining process. Linda

Putman and Marshall Scott Poole posited that

“Bargaining constitutes a unique form of conflict management in that

participants negotiate mutually shared rules and then cooperate within

these rules to gain a competitive advantage over their opponent…

Bargaining, then differs from other forms of conflict in its emphasis on

proposal exchanges as a basis for reaching joint settlement in cooperative-

competitive situations.” [2]

In other words, negotiation requires everyone in a conflict situation to

communicate and come to a resolution. Negotiation or bargaining is a means to

an end to conflict. It has been noted that organizations spend a lot of time and

money to negotiate intergroup and interorganizational conflicts.

Second, a negotiation involves two or more conflicting parties. Notice that a

negotiation process can involve two parties or even ten parties all seated at the

table attempting to come to a resolution to the conflict at hand. Specifically,

these different parties come to the negotiating table with their own aims,

interests, needs, values, and viewpoints. These differences represented at a

negotiating table can make the negotiating process highly complex. For example,

one of our coauthors is on the board of directors for a medium-sized nonprofit.

As a large organization, there are many different groups of individuals governed

by various unions. One of the unions was always attempting to get special items

for their union that the other unions didn’t have. For obvious reasons, not

allowing all the stakeholders the same allowances becomes an issue of equity in

an organization. As such, management’s stance (the side our coauthor was on)

was that if they could not offer specific perks to all their workers, then it was

simply not fair to offer it to some. One of the biggest sticking points was a raise.

Financially, the organization could not provide an organization-wide raise and

still maintain its financial viability. On one hand, you have a group of workers

who see the benefit of more money in their pockets. On the other, you have

management looking at issues of equity and financial solvency.

The last part of the definition of negotiation we’ve provided is the necessity of

finding common ground. Going back to our example, most people who work for

nonprofit agencies do so because they believe in the mission of the agency. As

part of the negotiation process, the group ultimately had to focus on what was in

the best interests of the organization’s mission, in this case helping children who

had been removed from their homes for a variety of different reasons. The

management team’s goal in the negotiation process was to focus on the needs of

the clients first. From this perspective, the management team demonstrated what

would happen to various services if an across-the-board raise were implemented.

As you can imagine, many corners would be cut, and a number of activities that

directly benefited the clients would get cut as a result.

The final part of the negotiation process is reaching the point of reconciliation

and compromise in an effort to come to a desired resolution of the conflict.

Going back to our example, although the management team stood firm against

the raise, they made other concessions to the union (and ultimately the whole

organization). Although neither side was 100 percent satisfied with the

resolution, they were in agreement about the compromise that was made. One of

the biggest mistakes that many novice negotiators make is an all-or-nothing

strategy. In most instances, this negotiating strategy can seriously backfire on the

negotiators. To help us further understand why these strategies are problematic,

let’s examine two different negotiation strategies: distributive and integrative.

© Thinkstock/Goodshot

Distributive and Integrative Negotiation Strategies

There are differences in negation strategies. [3] The most important are

distributive and integrative strategies. These two differences vary in goals,

communication processes, issues, and outcomes. Characteristics of these

strategies are shown in Figure 12.8.

Distributive negotiation occurs when two parties are trying to increase their

gains and decrease their losses. There might be fixed resources that need to be

split or shared among the two parties. Because the negotiators have a limited

supply of resources, the only way to deal with the conflict is to compromise or

have a win-lose solution, in which one party gets a desired outcome and the

other one does not. In distributive negotiation, the communication is about

information seeking, because each side must learn more about the other party’s

true intentions and goals. It is said that this type of negotiation also has some

deception involved, because parties do not want to reveal too much so as to save

face and maximize their outcome. In this type of negotiation, there might be

limited finances, and two parties have completely different desires for the

money. One party might want to use the money for office equipment, while the

other party might want the money to be used for travel expenses. The key is to

discuss and determine which is more important and why. In addition, each party

must be able to have a give-and-take attitude.

Integrative negotiation is where two parties are trying to maximize their gains.

The focus is on information sharing, because both parties are working together

to find the ideal solution to the problem. However, there is the possibility that

one party is actually participating in an integrative negotiation and the other is

not. However, the benefits of this type of negotiation often outweigh the possible

costs. Luecke argues that integrative negotiations can be extremely beneficial

because they allow organizations to do the following:

Provide significant information about their circumstances.

Explain why they want to make a deal.

Talk about their real interests or business constraints.

Reveal and explain in general terms their preferences among issues or

options.

Consider and reveal any additional capabilities or resources they have that

might meet the other side’s interests and could be added to the deal.

Use what they learn to find creative options that will meet the interests of

both parties to the greatest extent possible. [4]

In this conflict scenario, there might be collaboration and win-win resolution,

because both parties are discovering the best ways to achieve an optimal and

beneficial solution. For instance, two restaurants next door to each other would

like to maximize profits, but they sell similar types of food. At first, the

restaurant managers might be skeptical of each other, but through effective

communication, they might discover that their food is different and that it should

be marketed that way. In turn, the managers might decide to let customers pick

which type they would like to eat. Perhaps one restaurant could emphasize fresh

ingredients, and the other could advertise the quality in food preparation.

To summarize, there are real reasons for both distributive and integrative

negotiation strategies. Figure 12.8 wraps up this discussion of distributive and

integrative communication. Now that we’ve examined both types of

negotiations, let’s talk about the different negotiator styles.

Figure 12.8 Distributive and Integrative Negotiation Strategies

Four Types of Players in a Negotiation

When you negotiate with others in a conflict, you need to be able to influence

the other parties on two dimensions: trust and agreement. People will either

agree or disagree at the same time that they will either trust or distrust the

conflict resolution. Agreement is the idea that we can concur in and consent to

the goal or objective of our conflict. Trust is the idea of fairness and impartiality

in the decision-making process. Determining if parties are high or low in terms

of agreement and trust will impact the type of player in negotiation, which is

displayed on Figure 12.9. These players include bedfellows, allies, adversaries,

and opponents. [5]

Figure 12.9 Four Types of Players in Negotiation

Bedfellows

People who highly agree with us but with whom we have a low level of trust are

termed bedfellows. These individuals like our objectives and purpose but may

not be willing to fully commit to our decision. With bedfellows, it is important to

be genuine and authentic with your purpose to gain their trust. It is also crucial to

provide evidence that they should trust us, because it will help resolve the

conflict faster and better. It is best to be direct and clear with bedfellows. In

return, you must state that you expect bedfellows to follow suit. Just as in an

interpersonal relationship, with bedfellows, you must find different ways to get

them to trust you. Once the trust is there, the conflict resolution can be

negotiated in an advantageous and favorable manner.

Allies

When there is high trust and high agreement in our goal, other parties become

our allies. In this situation, allies are like our friends. We need to keep them

informed about the decision. They become integral players in the effective

functioning of the organization. It is important to provide allies with all sorts of

information, especially the negative or unfavorable news. Allies support our

decisions, and we need to maintain the same level of trust with them. It is also

important to allow our allies to provide comments regarding their concerns or

hesitations about our decision.

Adversaries

When there is a low level of trust and agreement, we are dealing with

adversaries. These are the most challenging types of individuals to deal with in

terms of conflict resolution. We will have to spend the most energy and time

trying to convince these individuals about our intentions and purpose. People

tend to become adversaries when we have failed at negotiating trust or

agreement. Thus the very first thing we need to do is figure out if there is truly a

lack of trust and/or agreement. We need to communicate with these individuals

and try to build up both trust and agreement. The way to deal with adversaries is

to communicate your intentions, understand your adversaries’ concerns, address

any problems, and devise a plan to work together. Sometimes our adversary is

our boss and no matter what brilliant idea you come up with, it is always shot

down, because the boss might feel that you are too young, inexperienced, or

unqualified to accomplish it. It is important to find ways to build trust and help

your boss perceive that you assent to his or her opinions.

Opponents

When there are high levels of trust but very low agreement, the parties are

known as opponents. Opponents may not fully agree with our objectives,

decisions, or intentions. However, opponents want a high-trust relationship.

They trust us as individuals but might be very skeptical about the outcome of the

conflict decision. In this case, opponents will help the organization become

stronger and more effective by finding better ways to reach the resolution. The

main element when dealing with opponents is communication. We need to be

able to understand why they feel the way they do and how to fix the problem.

The best example of this type is the customer-corporation scenario, where a very

reputable corporation, such as a bank, might propose new ways for customers to

deposit their money electronically. The loyal customer might believe in this bank

because it has been around for years, and the customer has a strong history with

it. But the customer may be wary of scams from electronic mediums or ways for

hackers to get their financial records.

Third-Party Interventions

Even though all parties involved in the negotiation may want to come to a

resolution, sometimes the groups just reach an impasse and need to bring in

someone to help. Sometimes organizations do not know how to deal with

conflict. Hence organizations might look to third parties to intervene. There are

many different types of interventions. In this section, we review three prominent

kinds of third-party interventions: arbitration, mediation, and group process

consultation. These interventions are also illustrated in Figure 12.10.

Figure 12.10 Third-Party Interventions

Arbitration

Arbitration is a way to resolve conflict without using the legal system. [6]

Arbitration uses a third party to review the arguments made by all parties

involved and then implements a legally binding and enforceable decision.

Arbitration is typically used for commercial disputes, especially in matters

dealing with international business transactions. For instance, arbitration might

be used to settle a dispute between a manufacturer and a customer about a

product failure. If the two parties canot agree why the product failed, an

arbitrator might decide on the evidence presented that the failure was caused by

the user’s lack of regular preventive maintenance rather than by a manufacturer’s

defect.

Mediation

You might have heard of mediation in terms of legal matters. [7] It is a way to

resolve conflict among parties to have a definite outcome. In mediation, you

will have a mediator(s)—usually a third, external party—to figure out a

resolution. Mediation is typically more structured than other types of

interventions. Mediators truly behave as a third party without taking sides. They

try to facilitate the conversation rather than trying to dominate. Mediators try to

help both parties come to an amicable agreement. Mediation is beneficial for a

variety of reasons. First, the cost of a mediator is usually less than that of an

attorney because it does not take as much time. When dealing with an attorney

or court case, the procedure becomes quite costly. Second, confidentiality is a

key factor in mediation. In a court hearing, the discussions are often public

domain, but mediation allows for confidentiality. Third, compliance is a benefit

to mediation because everyone is truly working together to get an agreement.

Fourth, mediation allows for control over the resolution. In a court situation, a

judge or jury may make the final decision, but in mediation, the parties come to

an agreement. Fifth, mediators provide support, because they are usually well

trained to deal with such circumstances. They are usually very helpful and can

assist both parties in recognizing their differences and their similarities.

Group Process Consultation

The last type of third-party mediation is group process consultation. This helps

the organization become aware of the conflict and provides a deeper

understanding of the problem. In this process, the organization finds more

productive and efficient ways that the employees can work together. An outside

trainer or consultant will observe the communication behaviors among the

employees in their current state. Afterward, the trainer will provide insights or

advice to the organization to help identify the behaviors that are hindering their

success. The trainer or consultant will provide suggestions for improving how

the organization functions and communicates. This type of mediation does not

require a third party to make a decision or help the group come to a decision.

Rather, group process consultations give recommendations and guidance to help

the organization prevent conflicts.

KEY TAKEAWAY

Negotiation and bargaining are similar. Both require everyone in

the conflict situation to communicate and come to a resolution.

Negotiation can be integrative or distributive. There are

differences in communication, issues, outcomes, and goals.

Distributive negotiation occurs when two parties increase their

gains and cut their losses. In integrative negotiation, two parties

maximize gains.

There are four players in negotiation: bedfellows, allies,

adversaries, and opponents. Bedfellows are individuals with low

trust in their opponents’ goals and trustworthiness. Allies have

high trust and high faith in their opponents’ goals. Adversaries

have low levels of trust and agreement in conflict resolution.

Arbitration :

Opponents have high levels of trust but low levels of agreement.

Third-party interventions include arbitration, mediation, and group-

process consultation. In arbitration, a third party reviews the

arguments made by all parties involved and then implements a

decision that is legally binding and enforceable. In mediation, a

mediator, usually a third, external party, figures out a resolution. In

group-process consultation, observer(s) monitor the

organizational interactions and make recommendations to prevent

conflict.

EXERCISES

1. What do you think are the most important differences in

distributive and integrative negotiation strategies? Which do you

personally prefer? Why?

2. Which negotiation strategy, distributive or integrative, is most

applicable in the workplace? Why?

3. Create your own hypothetical negotiation strategy. What would

motivate you to resolve the conflict? What factors would you

consider? Why?

KEY TERMS AND DEFINITIONS

A third party reviews the arguments made by all parties involved and then implements a decision that is legally binding and

Distributive Negotiation:

Integrative Negotiation:

Adversaries:

Allies:

Bedfellows:

Group Process Consultation:

Mediation:

Negotiation :

Opponents:

enforceable.

Occurs when two parties are trying to increase their gains and decrease their losses.

Occurs when two parties are trying to maximize their gains.

Individuals with low levels of trust and agreement in their opponent’s conflict resolution.

Individuals with high trust in their opponent’s goals and trustworthiness.

Individuals with low trust but high faith in their opponent’s goals.

An observer(s) monitors organizational interactions and makes recommendations to prevent conflict.

A third, external party is used to figure out a resolution.

Bargaining process between two or more conflicting parties (each with his or her own aims, interests, needs, values, and viewpoints) who must find common ground in an effort to reconcile or compromise on an agreed-upon resolution to the conflict.

Individuals with high levels of trust but low levels of agreement.

[1] Cahn, D. D., & Abigail, R. A. (2011). Managing conflict through

communication (4th ed.). Boston, MA: Allyn & Bacon, p. 4.

[2] Putnam, L. L., & Poole, M. S. (1987). Conflict and negotiation. In F. M.

Jablin, L. L. Putnam, K. H. Roberts, & W. L. Porter (Eds.), Handbook of

organizational communication: An interdisciplinary perspective (pp. 549–

599). Newbury Park, CA: Sage, p. 563.

[3] Luecke, R. (2003). Harvard business essentials: Guide to negotiation.

Boston, MA: Harvard Business Review Press.

[4] Luecke, R. (2003). Harvard business essentials: Guide to negotiation.

Boston, MA: Harvard Business Review Press, Kindle locations 223–226.

[5] Block, P. (1991). The empowered manager: Positive political skills at

work. San Francisco, CA: Jossey-Bass.

[6] Buhring-Uhle, C., Kirchhoff, L., & Scherer, G. (2006). Arbitration and

mediation in international business (2nd ed.). Alphen aan den Rijn,

Netherlands: Kluwer Law Press.

[7] Boulle, L. (1996). Mediation: Principles, process, practice. Sydney,

Australia: Butterworth.

12.4 Chapter Exercises

REAL-WORLD CASE STUDY

Maverick Electronics was a very successful corporation in the

United States. However, after a few years, Maverick was having a

hard time competing with Japanese organizations, which were

making better products at a faster rate. In addition, they were able to

sell their products for significantly less than Maverick Electronics

could. Not being able to profit in their sale, the executives at

Maverick Electronics decided to sell their corporation to the

Japanese. The workers at Maverick were very upset and protested

to the new Japanese owners. The workers were part of a union and

felt that the Japanese expected too much from them. The workers

did not like the new style of management and the new operations

that the Japanese were trying to enforce. They were used to the old

way of doing things and did not want change. On the other hand,

the new Japanese investors thought that these union workers

hindered them from producing better work conditions and products.

The Japanese managers thought American workers did not take

pride in their work, were only interested in a paycheck, and didn’t

care about the organization or their overall work. It is apparent that

there are two very distinct viewpoints here, and there needs to be a

solution.

1. If you were asked to be a negotiator in this situation, how would

you resolve the conflict? What do you think the outcome will be?

2. Can you identify advantages and disadvantages of each side in

this case study?

3. Let’s pretend Maverick Electronics hired you as a communication

consultant. What information would you collect? How will this

information help you predict the future outcome of this business?

What would you expect the findings to be? How would you use

this information to make suggestions to the executives?

4. Pretend that you are an employee of Maverick Electronics. How

do you feel that communication can be improved? Why is a union

important? How can the new Japanese executives help the

union?

END-OF-CHAPTER ASSESSMENT

1. Conflict involves these three I’s except:

a. incompatible goals b. interdependence c. interaction d. independence e. none of these

2. In conflict, Sari tries to consider the relationship and her goals. She tries to make sure that her goals come first.

Which type of conflict-management style is she most likely using?

a. avoidance b. accommodation c. collaboration d. compromise e. competition

3. Integrative and distributive negotiation tactics vary on all of the following except:

a. goals b. issues c. communication d. outcomes e. stereotypes

4. If your boss is engaging in polarizing dysfunctional conflict, then which strategy would be the most effective functional conflict strategy?

a. integration b. cooperation c. confirmation d. agreement e. focusing

5. All of the following are types of dysfunctional conflict except:

a. polarization b. escalation c. coercion

d. de-escalation e. drifting

Answer Key

1. d

2. e

3. e

4. a

5. d

Chapter 13

The Dark Side of Organizational Communication

Welcome to the Dark Side

One of our coauthors was recently driving through town and noticed a bumper

sticker on the back of a car that read, “Come to the Dark Side, We Have

Cookies!” Although the bumper sticker made our coauthor laugh, it actually

represents a phenomenon commonly discussed in organization communication:

counterproductive workplace behaviors. [1] Type the words “Dark Side” into

your favorite bookstore’s online search engine, and you’ll find many academic

books with that short phrase in the title. Obviously, “the Dark Side” is a

reference to the Star Wars film franchise and represents the evil of that world

epitomized by Darth Vader and the Emperor.

Why does the “dark side” matter? Most of the topics discussed in this book focus

on the more prosocial communicative behaviors at work (e.g., leadership,

followership, socialization). But let’s face it: organizations can be pretty dirty

and ugly places at times. In an ideal world, everyone in an organization would

strive for a common goal, but more often than not, this simply isn’t the case.

From employees undercutting each other in an effort to make themselves look

better to yelling, screaming, and even punching, organizations are microcosms of

our larger society. This chapter looks at what happens when problematic

behaviors arise in the workplace.

We should mention that, although this chapter is focused on the micro side of

problematic workplace behaviors and communication, there are also larger,

macroside issues that could be addressed when examining the dark side of

organizational communication. For example, many of the larger ethical issues in

organizational communication that were discussed in Chapter 2 are examples of

those larger problems that can occur. In Table 2.1, we provided a long list of

organizations caught in serious ethical dilemmas that represent the worst of the

modern corporation. More recently, the CEO of General Motors (GM) was

called before the US Congress for two days in February 2014 after it was

revealed that GM failed to recall cars with faulty ignition switches. We should

note that GM’s newly installed CEO, Mary Barra, did initiate the recall of 1.3

million cars shortly after learning about the problem when she took the helm in

January 2014. Why is this a problem, you might ask? Well, GM knew about the

problem as early as 2001. [2] According to Dominic Rushe, GM received a

number of complaints related to the ignition switch but concluded the problem

was minimal, and “in March 2005 a GM project engineering manager closed an

investigation into the issue, saying the ‘lead time for all solutions is too long’,

‘the tooling cost and piece price are too high’ and none of the proposed fixes

‘represents an acceptable business case.’” [3] This “acceptable business case”

ultimately led to the deaths of at least thirteen people. When Mary Barra was

brought before Congress, Senator Claire McCaskill referred to GM’s “culture of

cover-up.” [4] In essence, GM is accused of creating an environment where

covering up problems “represents an acceptable business case.”

These macrolevel problems represent a clear issue that many organizations face

in the modern world. In fact, perhaps you’ve picked up the thread of “dark”

issues that, as shown in Table 13.1, have run throughout this book.

Table 13.1 Macro Issues in "Dark" Organizational Communication

Chapter

2 lapses in organizational ethics are disturbingly common

3 classical conceptions of the organization as machine can be dehumanizing

4 organizational leaders and managers can use communication to, as critical theory explains,

ensure their interests are dominant and those of others are marginalized

5 workplace communication processes and networks can silence dissent

6

negative communication can produce a defensive organizational climate; leaders can influence

organizational culture to further their own ends; processes of globalization can widen

inequalities between management and labor

7 leadership can either empower or disempower organizational followers

8 employees can experience work-life conflict when, perhaps due to manipulation or pressure,

their self-identities become inseparable from the organization

9 the dynamics of workplace group and teams can sometimes produce negative results such as

groupthink and peer pressure

10 organizational socialization can leave some employees dissatisfied and disengaged

11 organizations can practice “technical reasoning,” care only about “what works,” and pursue

speed, power, efficiency, and productivity as moral values in themselves

12 workplace stress and conflict can lead to emotional exhaustion and burnout

A large body of research has emerged in recent years, however, on microside

factors that contribute to the dark side of organizational life. In the workplace,

these factors can lead to verbal and physical aggression, bullying, violence,

incivility, prejudice, abuse, injustice, ostracism—in short, all the dark behaviors

that happen in real life. Since you will soon experience, or are already

experiencing, everyday life in an organization, we want to familiarize you in this

chapter with recent research. If you are alert to the underlying issues, you can be

part of the solution.

[1] Neuman, J. H., & Baron, R. A. (2005). Aggression in the workplace: A

social-psychological perspective. In S. Fox & P. E. Spector (Eds.),

Counterproductive work behavior: Investigations of actors and targets

(pp. 13–40). Washington, DC: American Psychological Association.

[2] Goldstein, M., & Meier, B. (2014, March 15). As scandal unfolds, G.M.

calls in the lawyers. New York Times. Retrieved from

http://www.nytimes.com/2014/03/16/business/general-motors-calls-the-

lawyers.html?_r=0

[3] Rushe, D. (2014, March 31). General Motors executives to face

Congress over car recall scandal: House to push for answers on why GM

failed to recall cars despite knowledge of flaws ultimately linked to 13

deaths. The Guardian. Retrieved from

http://www.theguardian.com/business/2014/mar/31/general-motors-

executives-congress-recall-scandal

[4] Klayman, B., & Beech, E. (2014, April 2). U.S. senator accuses GM of

“culture of cover-up” in recalls. Reuters. Retrieved from

http://www.reuters.com/article/2014/04/02/us-gm-recall-congress-senate-

idUSBREA3118S20140402

13.1 Aggression in the Workplace

LEARNING OBJECTIVES

1. Define the term aggression.

2. Explain the three dimensions of Arnold Buss’s typology of

aggressive acts.

3. Differentiate between verbal aggression and argumentativeness.

4. Describe Charlotte Rayner and Loraleigh Keashly’s five common

characteristics of workplace bullying definitions.

5. Differentiate among the four types of violence proposed by Mary

Bruce and William Nolan.

6. Understand the recommendations from the Occupational Safety

and Health Administration (OSHA) for alleviating workplace

violence.

Aggression can be defined as an offensive act, practice, or attack targeted at

another person(s) with the intention of harming or injuring that person, who is

motivated to avoid such treatment. [1] First, aggression can come in the form of

offensive acts, or acts that are designed to demean or belittle another person

(e.g., racist, sexist, or ageist language; display or transmission of inappropriate

workplace material). Practices are habitual performances designed to demean,

belittle, or subjugate others (e.g., workplace discrimination, sexual harassment,

organizational shunning). Attacks are overt or covert actions taken toward

another person(s) with hostile or violent intent. Some attacks are overt, meaning

it’s clear that one individual is actively attacking another person (e.g., yelling at

someone in the workplace, workplace violence). Other attacks are covert, done

behind the scenes away from the person who is being attacked, and are generally

designed to attack one’s reputation (e.g., rumors, gossip, slander, workplace

sabotage).

Joel Neuman and Robert Baron [2] proposed utilizing Arnold Buss’s [3]

framework for understanding workplace aggression. According to Buss,

aggression can be captured by examining three dichotomies: (1) physical verbal,

(2) active passive, and (3) direct indirect. Physical-verbal aggression examines

the extent to which a person’s aggression comes out in physical forms (e.g.,

assault, defacing property, pushing, slapping) or in verbal forms (e.g., gossip,

yelling, racist or sexist remarks). Active-passive aggression denotes whether or

not an individual specifically engages in aggressive behavior (active) or

withholds something the victim needs or values (passive). Direct-indirect

aggression examines whether or not the aggressor harms the target himself or

herself (direct), or the aggressor targets someone or something peripheral to the

victim in a way to inflict pain (passive). Ultimately, when you combine the three

categories, the result is eight different possible types of aggressive workplace

behavior (Table 13.2).

Table 13.2 Buss's Typology Applied in the Workplace

Physical/Verbal Active/Passive Direct Indirect

Verbal

Active

Yelling

Unfair criticism

Racist/sexist/ageist

comments

Spreading rumors

Taking credit for target’s work

Recruiting others against target

Passive

Not returning phone calls

Showing little/no

sympathy

Refusing to speak to

target

Denying target information

Not providing target feedback

Organizational shunning

Physical

Active

Violence

Hostile gestures/posturing

Sabotaging target’s work

Stealing target’s property

Defacing target’s property

Hiding needed resources

Passive

Leaving when target

enters

Refusing target resources

Social ostracism from

group

Not protecting target’s welfare

Delaying action on important issues

Denying a raise/promotion without valid

reasons

To help us further understand the different types of aggression commonly seen in

the modern workplace, we will examine separately verbal aggression, workplace

bullying, organizational shunning, and physical aggression/violence.

Verbal Aggression

Starting in the mid-1980s, Dominic Infante and Charles Wigley defined verbal

aggression as “the tendency to attack the self-concept of individuals instead of,

or in addition to, their positions on topics of communication.” [4] Notice that this

definition specifically focuses on attacking someone’s self-concept, or an

individual’s attitudes, opinions, and cognitions about his or her competence,

character, strengths, and weaknesses. For example, if someone perceives herself

or himself as a good worker, then a verbally aggressive attack would undermine

that person’s quality of work or ability to do future quality work. Terry Kinney

found that self-concept attacks happen on three basic fronts: group membership

(e.g., “Your whole division is a bunch of idiots!”), personal failings (e.g., “No

wonder you keep getting passed up for a promotion”), and relational failings

(e.g., “No wonder your spouse left you”). [5]

Now that we’ve discussed what verbal aggression is, we should clearly delineate

verbal aggression from another closely related term—argumentativeness.

According to Dominic Infante and Andrew Rancer, argumentativeness is a

communication trait that “predisposes the individual in communication

situations to advocate positions on controversial issues, and to attack verbally

the positions which other people take on these issues.” [6] You’ll notice that

argumentativeness occurs when an individual attacks another person’s positions

on various issues; by contrast, verbal aggression occurs when an individual

attacks another person’s self-concept. Argumentativeness is seen as a

constructive communication trait, while verbal aggression is destructive.

Although both verbal aggression and argumentativeness were originally

discussed as communication traits affecting interpersonal relationships, a wealth

of research has been conducted on how both traits impact communication in the

workplace. The bulk of the research examining how verbal aggression and

argumentativeness affect leader-follower relationships has been conducted by

William Gorden and Dominic Infante. To examine leader-follower relationships,

we’ll first examine the impact of leader verbal aggressiveness and

argumentativeness, and then we’ll examine follower aggressiveness and

argumentativeness.

Leader Verbal Aggressiveness and Argumentativeness

Infante and Gorden’s first study was conducted in 1985. [7] Their goal was to see

whether a leader’s use of verbal aggression and argumentativeness impacted four

important variables: perceptions of employee rights, satisfaction with the leader,

career satisfaction, and satisfaction with upward communication. They surveyed

individuals from a variety of organizations and asked them to rate their leaders

on both verbal aggression and argumentativeness, along with the four variables

listed. The results were not too surprising. Gorden and Infante found that

individuals who perceived their superiors as high in verbal aggression and low in

argumentativeness believed that the organization did not protect employee

rights; further, these followers were not satisfied with their leader, their careers,

or their upward communication within the organization. The basic results from

this study have been replicated a number of times over the years. [8]

In a later study, John Cole and James McCroskey examined how follower

perceptions of leader verbal aggression impacted the follower’s perception of the

leader’s credibility. [9] To examine the concept of credibility, Cole and

McCroskey examined the three dimensions of credibility previously defined:

competence, caring/goodwill, and trustworthiness. [10] This model of source

credibility suggests that a leader’s credibility depends on follower perceptions of

the leader’s competence (is the leader knowledgeable or perceived as an expert),

caring/goodwill (does a leader care about the employee and the organization’s

best interests), and trustworthiness (is the leader perceived as honest).

Overall, verbal aggression by a leader negatively affects followers, while

argumentativeness can be a positive boost to followers and the overall

organizational environment.

Follower Verbal Aggressiveness and Argumentativeness

Some of the early research also looked at verbal aggression from the perspective

of leaders. William Gorden, Dominic Infante, and John Izzo examined how

follower verbal aggression and argumentativeness impacted leader perceptions

of followers’ quality of work, dependability, and interpersonal skills. [11]

Individuals who were highly argumentative were seen as producing better work,

being more dependable, and having better interpersonal skills. Followers who

were verbally aggressive, on the other hand, were perceived by their leaders as

producing lower quality work, being less dependable, and possessing fewer

interpersonal skills. Furthermore, individuals who were highly argumentative

were also shown to use more prosocial forms of dissent when communicating

with their leaders than those who were highly verbally aggressive.

A later study by Jeffrey Kassing and Ted Avtgis examined the relationship

between employees’ perceived levels of their own aggressive communication

(i.e., verbal aggression and argumentativeness) and organizational dissent (latent,

articulated, and displaced; for more on this subject, see Chapter 5). Although this

study specifically looked at employees’ aggressive communication, the impact

that the aggression had on dissent was quite interesting. Highly argumentative

individuals were more likely to articulate their dissent to their leaders.

Conversely, highly verbally aggressive individuals were more likely to use latent

dissent. However, neither a subordinate’s verbal aggressiveness nor

argumentativeness related to displaced dissent. The study clearly showed that

subordinates’ communication traits (specifically, verbal aggression and

argumentativeness) impact how they engage in dissent with their leaders.

In the last study we discuss in this section, Timothy Coombs and Sherry

Holladay examined the relationship between verbal aggression and tolerance for

workplace aggression. [12] The researchers examined undergraduate students

who had jobs, their levels of verbal aggression, and whether or not they had

higher tolerances for a range of aggressive activities in the workplace (e.g.,

failing to return phone calls, using obscene gestures, stealing from work,

threatening a coworker verbally). Not surprisingly, those who themselves were

more verbally aggressive had greater tolerance for others’ aggressive workplace

acts.

Ultimately, one of the most important questions is this: how does verbal

aggression in the workplace affect the organization itself? Theresa Glomb found

that individuals who had been the victim of specific aggressive incidents tended

to have lower perceptions of both their supervisors and their coworkers.

Furthermore, victims reported feeling increased stress at work accompanied by

decreases in their overall productivity. [13] Similarly, Christine Pearson, Lynne

Anderson, and Christine Porath also demonstrated how workplace incivility can

decrease one’s work efforts. [14]

Workplace Bullying

The thought of bullying generally brings to mind the schoolyard bully who uses

physical aggression and intimidation to steal a smaller kid’s milk money. What

English speakers call bullying is often called “mobbing” in many European

countries. [15] In Sweden, for example, the word mob describes animal

aggression and herd behavior that is commonly likened to schoolyard bullying.

In the 1980s, Swedish researcher Heinz Leymann began a series of studies that

applied the concept of mobbing to the workplace. [16] In the paragraphs that

follow, we examine what bullying is and some of the research on workplace

bullying from around the globe.

Defining Workplace Bullying

As with most of the terms we’ve discussed in this book, there is hardly a

universal definition for the term workplace bullying. In 2005, Charlotte Rayner

and Loraleigh Keashly examined the available definitions for “workplace

bullying” and derived five specific characteristics:

1. The experience of negative behavior

2. Behaviors experienced persistently

3. Targets experiencing damage

4. Targets labeling themselves as bullied

5. Targets with less power and difficulty defending themselves [17]

Let’s look at each five of these characteristics separately.

The Experience of Negative Behavior

As we discussed earlier in this section, there are quite a few different ways that

negative behavior can be expressed in the workplace. Ultimately, bullying is

about experiencing counterproductive workplace behaviors. Loraleigh Keashly

and Karen Jagatic [18] examined the commonality of the various types of

aggression described by Arnold Buss. [19] They found that workplace bullying

tends to come in the form of nonphysical, passive, and indirect forms of

aggression (e.g., failing to give someone information they need to complete a

task, failing to deny false rumors in the workplace, failing to warn a target of a

possible problem, not providing the target with necessary feedback). As Keashly

and Jagatic noted, “In bullying at work, it is that which is not done that can be

undermining, which can take away trust or create humiliation.” [20]

Behaviors Experienced Persistently

Although most people will eventually experience some kind of

counterproductive workplace behavior, there is a difference between

experiencing it once or twice and experiencing it persistently. By persistently, we

mean that an individual or group of individuals targets a victim over a period of

time. Instead of considering this as a single hostile event, Keashly and Jagatic

recommended a switch in focus from negative acts to negative relationships that

exist within the workplace. It’s this accumulated aggression over a period of

time that makes workplace bullying distinct from issues like workplace violence,

because workplace violence tends to occur in isolated events rather than

persistent ones.

Targets Experiencing Damage

In the legal system, when you say that someone has been the victim of bullying,

you must be able to demonstrate that there was some type of damage imposed on

the victim. Although the research links workplace bullying to a variety of

negative health outcomes (e.g., stress, heightened anxiety, sleeplessness,

hypertension, autoimmune disorder, posttraumatic stress disorder, prolonged-

duress stress disorder), protection for victims is often a problem because of the

lack of current laws covering workplace bullying. The Workplace Bullying

Institute [21] has been working tirelessly since the mid-2000s to promote the

adoption of the Healthy Workplace Bill, [22] which would provide legal

protection for victims of workplace bullying. According to Gary Namie and

Ruth Namie, founders of the Workplace Bullying Institute, 80 percent of what

victims of workplace bullying face is perfectly legal in the United States. [23] As

of August 2014, bills had been put forward in twenty-six states and two US

territories, but not one has been passed. In July 2014, a bill passed by lawmakers

in New Hampshire was vetoed by the governor. Thus far, New York has

proposed more versions of the Healthy Workplace Bill than any other state

(http://www.nyhwa.org/), but the debate still rages on in New York and across

the United States.

Targets Labeling Themselves as Bullied

One of the more interesting and communicative acts associated with bullying is

the act of labeling oneself as a victim. Most people don’t want to admit that

they’ve been victimized. So coming to terms with what is happening in the

workplace and then admitting to being a victim is a powerful communicative act.

One problem with some definitions of bullying is that they don’t cover those

who are clearly victims of bullying but either refuse to acknowledge victim

status or—because bullying has become so “normal” at their work—simply

don’t know they are actually being victimized.

Targets with Less Power and Difficulty Defending Themselves

The last common characteristic found in definitions of workplace bullying

involves victims who are in positions of less power and have little recourse to

defend themselves against a bully. Research has tried to separate conflicts

between people with equal power from workplace bullying. Yet as Rainer and

Keashly point out, this perspective seems inconsistent with findings on

workplace bullying, at least in the United States. A 2007 study by the Waitt

Institute for Violence Prevention, sponsored by the Workplace Bullying Institute

and Zogby International, found that while 72 percent of bullying victims were

bullied by individuals higher in the organization, 18 percent were bullied by

coworkers and 9 percent by someone lower in the hierarchy. [24] These results

indicate that, while most victims are in a power-imbalance relationship, a large

number are being bullied by coworkers and subordinates.

Research on Workplace Bullying

As discussed earlier, workplace-bullying research has been conducted around the

globe since the mid-1980s. During this time, there has been a preponderance of

research attempting to understand the prevalence of workplace bullying, what

types of bullying occur, who are typical targets, and who are perpetrators. We

will end this discussion with a brief overview of some of the new research on

cyberbullying.

Prevalence Research

In a large study examining 148 international corporations through both

qualitative and quantitative methods, Randy Hodson, Vincent Roscigno, and

Steven Lopez reported that 49 percent of the organizations they investigated had

routine patterns of workplace bullying. [25] The 2007 Workplace Bullying Survey

found that almost 37 percent of US workers—an estimated fifty-four million

people—had been victims of workplace bullying at some point in their work

careers (13 percent current victim, 24 percent previous victim). An additional 12

percent may not have been targeted victims but witnessed workplace bullying

happening to others. [26]

Types of Bullying

As we’ve discussed earlier, bullies can use a range of tactics. The 2007

Workplace Bullying Survey found the two most common tactics, each reported

by 53 percent of targets, were verbal aggression and behaving toward the target

in a hostile, threatening, intimidating, or offensive manner, whether in public or

private. [27] Close behind, and reported by 47 percent of targets, were abuses of

authority such as “underserved evaluations, denial of advancement, stealing

credit, tarnished reputation, arbitrary instructions, unsafe assignments, etc.” [28]

Forty-five percent of victims reported a bully had interfered with their work,

perhaps by withholding information, sabotage, or undermining a project. Thirty

percent reported that bullies sought to destroy workplace relationships with their

peers, coworkers, and leaders. Physically aggressive bullying occurred in 12

percent of cases and property damage in 2 percent. Although bullying tactics

vary widely, most are clearly communicative, either verbally or nonverbally.

Target Research

Unfortunately, the research on who is most likely to become a target is anything

but consistent. Pamela Lutgen-Sandvik, Gary Namie, and Ruth Namie examined

the literature on the subject of targets and did not find a consistent pattern. [29]

Research has found no differences between female and male employees and their

likelihood of being bullied. One characteristic, however, that appears linked to

the likelihood of victimization is hierarchical status. The higher one’s position

within an organization’s hierarchy, the less likely he or she will be the victim of

bullying. However, we noted earlier that 7 percent of victims reported being

bullied by their subordinates. So being a boss or manager isn’t a guarantee

against bullying. Some research has suggested that targets are more likely to be

anxious, weak, and nonassertive. But other research shows that targets may be

highly skilled, well-liked hard workers. In reality, there isn’t a single profile

when it comes to workplace bully victimization.

Bully Research

Since research on the targets of workplace bullying is a little convoluted, what

about the research on who the bullies are? Once again, there is not a single bully

profile. Even the cast of the television show Criminal Minds (a show about

criminal profiling) would have a problem creating an accurate profile for who

could potentially become a bully. In fact, research has shown a number of

different personality traits and other variables related to the likelihood of

someone becoming a workplace bully.

However, these are just correlations and not really causes of workplace bullying.

For example, the 2007 Workplace Bullying Survey reported that 70 percent of

victims were bullied by people in a position located higher in the organizational

hierarchy. [30] Does this mean 70 percent of people in senior positions are

bullies? Obviously not. Instead, the research suggests that everything from lack

of self-control and narcissism, to alcohol or drug abuse and Theory X beliefs

(see Chapter 3), to being a victim of childhood abuse are possible causes of

workplace bullying. Unfortunately, we can’t take a pinch of narcissism, a dollop

of Theory X, add in some drug abuse, and blend them together to create a profile

of the workplace bully.

Cyberbullying Research

The Internet, e-mail, and social networking have become more and more part of

everyday organizational life. Thus—as in society at large—the incidence of

harassment and bullying through the Internet has become an issue that many

organization members face. Cyberharassment generally refers to harassment

based on age, race, religion or sex; yet workplace cyberbullying is also

becoming widespread. [31] According to Carmel Privitera and Marilyn Campbell,

cyberbullying is a set of “techniques [that] use modern communication

technology to send derogatory or threatening messages directly to the victim or

indirectly to others, to forward personal and confidential communication or

images of the victim for others to see, and to publicly post denigrating

messages.” [32] Their research found that withholding information, spreading

gossip, subjecting a target to allegations made by e-mail, and exposing a target to

an unmanageable workload by e-mail are the most common forms of

cyberbullying at work.

One recent study from the United Kingdom examined the impact of

cyberbullying on targets. [33] Researchers found that targets felt unfairly treated

by their peers and, in general, felt more negative emotions at work. All three

factors—exposure to cyberbullying, perceptions of unfairness, negative

emotions—negatively impacted targets’ job satisfaction and even their general

well-being outside of work. Furthermore, 80 percent of the 320 people

participating in the research had experienced cyberbullying at least once in the

previous six months. The results further indicated 14 to 20 percent experienced

cyberbullying on a weekly basis, which is a rate similar to face-to-face

workplace bullying.

Although cyberbullying is a relatively recent phenomenon, the effects of

cyberbullying are clearly in line with other research on face-to-face workplace

bullying. There is, however, still relatively little research on workplace

cyberbullying. As cyberbullying becomes an increasingly recognized problem in

the workplace, research on the subject will likely increase.

Workplace Violence

Unfortunately, aggression can sometimes turn from verbal tactics or bullying to

physical aggression. According to the Occupational Safety and Health

Administration, each year more than two million employees in the United States

are victims of workplace violence. [34] Even homicides, though not common,

occur each year. To help us understand physical aggression at work, we will

explore types of workplace violence, current data on homicides, and strategies

for preventing violence.

Types of Workplace Violence

Mary Bruce and William Nolan categorized four basic types of workplace

violence: (1) criminal intent, (2) customer/client, (3) worker on worker, and (4)

personal relationship. [35]

The first type of workplace violence, criminal intent, occurs when an individual

or group of individuals not related to an organization decides to perpetrate a

crime, and an employee is victimized during the crime. For example, if someone

is beaten during a robbery, this would fall into the category of criminal intent.

The second type of violence in the workplace is a result of a customer or client.

In this case, you have an individual with a legitimate connection to an

organization who perpetrates violence while receiving services. For example, if a

customer gets upset at the complaint desk and strikes the employee on duty, this

form of violence would fall into this category. Some occupations are clearly

more susceptible to this form of violence than others.

The third form of violence is worker-on-worker violence, which occurs when

one coworker physically assaults another. In some literature, this form of

violence has been called “desk rage” or “going postal.”

The last form of violence commonly seen in the workplace occurs when

someone with whom an employee has a personal relationship (e.g., spouse,

domestic partner, family member) enters the workplace and harms that

employee.

Homicides in the Workplace

Roughly 10 percent of workplace deaths reported in 2011 to the US Department

of Labor, or 458 out of 4,609 fatalities, were homicides. [36] Males committed 83

percent, or 381, of these crimes. Among males who died at work, 9 percent were

homicide victims. Among females who died, fully 21 percent were homicide

victims. In fact, homicide is the number-one cause of female deaths in the

workplace. Figure 13.1 provides a percentile breakdown of the type of assailant

for both females and males in the workplace. Males were most likely to die at

the hand of a robber (36 percent), while females were more likely to die at the

hands of a relative or domestic partner (39 percent).

Figure 13.1 Work-Related Homicides, 2011

Preventing Violence in the Workplace

Now that we’ve explored the types of violent acts committed in the workplace

and the actual number of homicides at work in the United States, you’re

probably wondering how violence might be prevented. According to the

Occupational Safety and Health Administration, there are seven steps

organizations can take to alleviate some concerns about workplace violence. [37]

Establish Organizational Policies

OSHA recommends establishing a zero-tolerance policy for workplace violence

that covers all organizational stakeholders (clients/customers, employees,

visitors). Although violence can strike anytime and anywhere, having a zero-

tolerance policy establishes that the organization takes workplace violence

seriously and can help with firing individuals who initiate low-level forms of

aggression before they get out of control.

Establish Employee Reporting Mechanisms

An organization needs to establish a reporting mechanism for all employees who

think someone may perpetrate an act of violence. Employees need to have the

ability to anonymously report coworker behavior that may be problematic before

it turns violent.

Prevent Blowback on Whistleblowers

Although establishing reporting mechanisms is important, organizations also

need to ensure that those who report possible violence are not harmed for doing

so. We often refer to reporting organizational problems (such as violence) as

whistle-blowing. So organizations need to protect whistle-blowers from possible

reprisals. Nothing will prevent future whistle-blowing faster than if coworkers

see a whistle-blower harmed for reporting something within an organization.

Create a Security Plan for the Workplace

Organizations need to have a clearly spelled-out security plan and make all

employees aware of it. Organizations need to think through possible worst-case

scenarios and how the organization would respond. Not only is this good

practice for quickly dealing with violence that occurs, but it also is one of the

most important parts of both crisis management and crisis communication. An

organization that doesn’t have a clear plan in place likely will make mistakes if

an actual crisis occurs.

Establish a Violence Prevention Program

In addition to creating a security plan, an organization should establish a

violence prevention program run by a group of employees with authority to

make changes. If a group is tasked with evaluating potential flaws in the security

plan, they need the authority to fix these flaws. If not, then the violence

prevention program becomes all talk without any ability to take action.

Affirm Management’s Support

All levels of management should clearly express their support for the violence

prevention efforts of the organization. If senior management is viewed as not

really caring about the plan, then this lack of support will trickle down to lower

levels within the organization. Again, it’s one thing to say that violence

prevention is important and a completely different thing to actually attempt to

alleviate violence within the workplace.

Training

Organizations should ensure that all members of the organization are not only

aware of but trained in the violence prevention program. The obvious way to do

this is through training activities. But the training activities shouldn’t stop at

simple information. Training should also prepare individuals to react in case of

an actual incident of violence. For example, the City of Houston Office of Public

Safety and Homeland Security created a very informative video on what should

happen in the case of a shooter on the premises of an organization. [38] This

video helps employees understand what to do and how to respond in case

someone starts shooting in the workplace. In fact, this video is played in training

sessions all over the country because of its effectiveness in calling attention to

how people should respond in this specific violence scenario.

KEY TAKEAWAY

The term aggression refers to an offensive act, practice, or attack

targeted at another person(s) with the intention of harming or

injuring that person, who is motivated to avoid such treatment.

Aggression manifests itself in one of three ways: offensive acts

(acts that are designed to demean or belittle another person),

practices (habitual performances designed to demean, belittle, or

subjugate others), and attacks (overt or covert actions taken

toward another person with hostile or violent intent).

Arnold Buss’s typology of aggression consists of three

dichotomies: (1) physical verbal, (2) active passive, and (3) direct

indirect. Physical-verbal aggression examines the extent to which

a person’s aggression comes out in physical-verbal forms. Active-

passive aggression denotes whether or not an individual

specifically engages in aggressive behavior (active) or withholds

something the victim needs or values (passive). Lastly, direct-

indirect aggression examines whether or not the aggressor harms

the target directly (direct aggression), or the aggressor targets

someone or something peripheral to the victim in a way to inflict

pain (passive).

Verbal aggression is the attacking of an individual’s self-concept

instead of her or his ideas. Argumentativeness, on the other hand,

is a communication trait in which an individual actively defends

her or his ideas while clearly proposing counterarguments toward

another. In the workplace, verbal aggression is generally

perceived as a negative trait; argumentativeness is generally

seen as a positive trait.

Although there is not a common definition for the term workplace

bullying, Charlotte Rayner and Loraleigh Keashly noticed that

most definitions generally include five common themes: (1) the

experience of a negative behavior, (2) the negative behaviors are

persistent, (3) the targets of the behavior experience damage, (4)

targets label themselves as bullied, and (5) targets are not in a

position to defend themselves against their bullies.

Mary Bruce and William Nolan proposed that violence in the

workplace generally happens in four ways: criminal intent

(individual or group of individuals not related to an organization

decide to perpetrate a crime, and an employee is victimized

during the crime), customer/client (an individual who has a

legitimate connection to an organization [as a customer or client]

perpetrates violence while receiving services from the

organization), worker on worker (when one coworker physically

assaults another coworker), and personal relationship (when

violence is perpetrated on a target by someone with whom the

target has a personal relationship outside the workplace).

The Occupational Safety and Health Administration has

recommended seven common ways to help alleviate workplace

violence: (1) zero-tolerance policies for workplace violence that

cover all organizational stakeholders (clients/customers,

employees, visitors, etc.), (2) establishing a reporting mechanism

for all employees who think someone may perpetrate an act of

violence,(3) ensuring that employees who report possible violence

are not harmed for doing so, (4) having a clearly spelled-out

security plan and ensuring all employees are aware of the plan,

(5) establishing a violence-prevention program run by a group of

employees with authority to make changes, (6) ensuring that all

levels of management clearly express their support for the

violence-prevention efforts of the organization, and (7) training all

members of the organization in the security plan and making all

members aware of the violence-prevention program.

EXERCISES

1. Go to the Workplace Bullying Institute’s

website (http://www.workplacebullying.org/wbiresearch/wbistudies)

and check out some of their research. What findings did you

discover that were not discussed in this chapter? What facts

Active-Passive Aggression:

Aggression :

Attacks :

Direct-Indirect Aggression:

about workplace bullying surprise you the most?

2. Listen to Jason Wrench’s

interview (http://www.communicast.info/wpbully.mp3) with Pamela

Lutgen-Sandvick about bullying in the workplace. What strikes

you the most from this interview? How do you think organizations

should use this information to improve the workplace?

3. Listen to Jason Wrench’s

interview (http://www.communicast.info/rancer.mp3) with Andrew

Rancer about verbal aggression. How can you apply Dr. Rancer’s

ideas to aggression in the workplace? Should workplace policies

have clearly articulated sections on verbal aggression in the

workplace? Why or why not?

KEY TERMS AND DEFINITIONS

Aspect of Buss’s typology of aggressive types focused on whether or not an individual specifically engages in aggressive behavior (active) or withholds something the victim needs or values (passive).

An offensive act, practice, or attack targeted at another person(s) with the intention of harming or injuring that person, who is motivated to avoid such treatment.

Forms of aggression consisting of overt and/or covert actions taken toward another person(s) with hostile or violent intent.

Aspect of Buss’s typology of aggressive types focused on whether or not the aggressor harms the target directly (direct aggression), or the aggressor targets someone or something peripheral to the victim in a way to inflict pain (passive).

Physical-Verbal Aggression:

Practices :

Argumentativeness:

Criminal Intent:

Customer Or Client:

Cyberbullying :

Offensive Acts:

Personal Relationship:

Self-Concept:

Worker-On-Worker Violence:

Aspect of Buss’s typology of aggressive types focused on the extent to which a person’s inapropriate behavior comes out in physical forms (e.g., assault, defacing property, pushing, slapping) or in verbal forms (e.g., gossip, yelling, racist/sexist remarks).

Forms of aggression consisting of habitual performances designed to demean, belittle, or subjugate others.

Communication trait where an individual actively defends her or his ideas while clearly proposing counterarguments toward another.

Form of workplace violence described by Mary Bruce and William Nolan in which an individual or group of individuals not related to an organization decides to perpetrate a crime, and an employee is victimized during the crime.

Form of workplace violence described by Mary Bruce and William Nolan in which an individual who has a legitimate connection to an organization (as a customer or client) perpetrates violence while receiving services from the organization.

The use of computer-mediated communication designed to harass a victim with the intent of causing harm.

Forms of aggression designed to demean or belittle another person.

Form of workplace violence described by Mary Bruce and William Nolan in which violence is perpetrated on a target by someone with whom the target has a personal relationship outside of the workplace (e.g., spouse, family member, friend).

An individual’s attitudes, opinions, and cognitions about his or her competence, character, strengths, and weaknesses.

Form of workplace violence described by Mary Bruce and William Nolan in which one coworker physically assaults another coworker.

[1] Baron, R. A. (1977). Human aggression. New York, NY: Plenum

Press.

[2] Neuman, J. H., & Baron, R. A. (1997). Aggression in the workplace. In

R. A. Giacalone & J. Greenberg (Eds.), Antisocial behavior in

organizations (pp. 37–67). Thousand Oaks, CA: Sage.

[3] Buss, A. H. (1961). The psychology of aggression. New York, NY:

Wiley.

[4] Infante, D. A., & Wigley, C. J. (1986). Verbal aggressiveness: An

interpersonal model and measure. Communication Monographs, 53, 61–

69, p. 61.

[5] Kinney, T. A. (1994). An inductively derived typology of verbal

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[6] Infante, D. A., & Rancer, A. S. (1982). A conceptualization and

measure of argumentativeness. Journal of Personality Assessment, 46,

72–80, p. 72.

[7] Infante, D. A., & Gorden, W. I. (1985). Superiors’ argumentativeness

and verbal aggressiveness as predictors of subordinates’ satisfaction.

Human Communication Research, 12, 117–125. doi:10.1111/j.1468-

2958.1985.tb00069.x

[8] Gorden, W. I., & Infante, D. A. (1987). Employee rights: Context

argumentativeness, verbal aggressiveness, and career satisfaction. In C.

A. B. Osigweh (Ed.), Communicating employee responsibilities and rights

(pp. 149–163). Westport, CT: Quorum; Infante, D. A., Anderson, C. M.,

Martin, M. M., Herrington, A. D., & Kim, J. (1993). Subordinates’

satisfaction and perceptions of superiors’ compliance gaining tactics,

argumentativeness, and verbal aggression. Management Communication

Quarterly, 6, 307–326.

[9] Cole, J. G., & McCroskey, J. C. (2003). The association of perceived

communication apprehension, shyness, and verbal aggression with

perceptions of source credibility and affect in organizational and

interpersonal contexts. Communication Quarterly, 51, 101–110.

[10] McCroskey, J. C., & Teven, J. J. (1999). Goodwill: A reexamination of

the construct and its measurement. Communication Monographs, 66,

90–103.

[11] Gorden, W. I., Infante, D. A., & Izzo, J. (1988). Variations in voice

pertaining to dissatisfaction/satisfaction with subordinates. Management

Communication Quarterly, 2, 6–22.

[12] Coombs, W. T., & Holladay, S. J. (2004). Understanding the

aggressive workplace: Development of the workplace aggression

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[13] Glomb, T. (2002). Workplace anger and aggression: Informing

conceptual models with data from specific encounters. Journal of

Occupational Health Psychology, 7, 20–36. doi:10.1037//1076-

8998.7.1.20

[14] Pearson, C. M., Anderson, L. M., & Porath, C. L. (2000). Assessing

and attacking workplace incivility. Organizational Dynamics, 29, 123–137.

doi:10.1016/S0090-2616(00)00019-X

[15] Roland, E., & Munthe, E. (Eds.). (1989). Bullying: An international

perspective. London, UK: D. Fulton.

[16] Leymann, H., & Gustavsson, B. (1984). Psykiskt vald I arbeitslivet.

Tva explorativa undersokningar (Psychological violence at workplace:

Two explorative studies). Undersokningsrapport 42, Stockholm, Sweden:

Arbetarskyddsstyrelsen (National Board of Occupational Safety and

Health); Leymann, H. (1986). Vuxenmobbning: Om psykiskt våld i

arbetslivet [Mobbing: Psychological violence in working life]. Lund,

Sweden: Studentlitteratur; Leymann, H. (2000). The mobbing

encyclopedia. Retrieved from http://www.leymann.se/English/frame.html

[17] Rayner, C., & Keashly, L. (2005). In S. Fox & P. E. Spector (Eds.),

Counterproductive work behavior: Investigations of actors and targets

(pp. 271–296). Washington, DC: American Psychological Association.

[18] Kashly, L., & Jagatic, K. (2003). By any other name: American

perspectives on workplace bullying. In S. Einarsen, H. Howel, D. Zapf, &

C. Cooper (Eds.), Bullying and emotional abuse in the workplace:

International research and practice perspectives (pp. 31–61). London,

UK: Taylor & Francis.

[19] Buss, A. H. (1961). The psychology of aggression. New York, NY:

Wiley.

[20] Kashly, L., & Jagatic, K. (2003). By any other name: American

perspectives on workplace bullying. In S. Einarsen, H. Howel, D. Zapf, &

C. Cooper (Eds.), Bullying and emotional abuse in the workplace:

International research and practice perspectives (pp. 31–61). London,

UK: Taylor & Francis, p. 273.

[21] See Workplace Bullying Institute, http://www.workplacebullying.org

[22] See Healthy Workplace Bill, http://www.healthyworkplacebill.org

[23] Namie, G., & Namie, R. (2009). The bully at work: What you can do

to stop the hurt and reclaim your dignity on the job (2nd ed.). Naperville,

IL: Sourcebooks.

[24] Namie, G. (2007). U.S. workplace bullying survey September, 2007

[Research report]. Workplace Bullying Institute & Zogby International.

Retrieved from http://workplacebullying.org/multi/pdf/WBIsurvey2007.pdf

[25] Hodson, R., Roscigno, V. J., & Lopez, S. H. (2006). Chaos and the

abuse of power: Workplace bullying in organizational and interactional

context. Work and Occupations, 33, 382–416.

[26] Namie, G. (2007). U.S. workplace bullying survey September, 2007

[Research report]. Workplace Bullying Institute & Zogby International.

Retrieved from http://workplacebullying.org/multi/pdf/WBIsurvey2007.pdf

[27] Namie, G. (2007). U.S. workplace bullying survey September, 2007

[Research report]. Workplace Bullying Institute & Zogby International.

Retrieved from http://workplacebullying.org/multi/pdf/WBIsurvey2007.pdf

[28] Namie, G., & Namie, R. (2009). The bully at work: What you can do

to stop the hurt and reclaim your dignity on the job (2nd ed.). Naperville,

IL: Sourcebooks.

[29] Lutgen-Sandvik, P., Namie, G., & Namie, R. (2009). Workplace

bullying: Causes, consequences, and corrections. In P. Lutgen-Sandvik &

B. D. Sypher (Eds.), Destructive organizational communication:

Processes, consequences, & constructive ways of organizing (pp. 27–

52). New York, NY: Routledge.

[30] Namie, G. (2007). U.S. workplace bullying survey September, 2007

[Research report]. Workplace Bullying Institute & Zogby International.

Retrieved from http://workplacebullying.org/multi/pdf/WBIsurvey2007.pdf

[31] Lipton, J. D. (2011). Combating cyber-victimization. Berkeley

Technology Law Journal, 26, 1103–1155.

[32] Privitera, C., & Campbell, M. (2009). Cyberbullying: The new face of

workplace bullying? Cyberpsychology & Behavior, 12, 395–400, p. 396.

doi:10.1089/cpb.2009.0025

[33] Sprigg, C., Axtell, C., Coyne, I., & Farley, S. (2012, November 7).

Punched from the screen: Cyberbullying in the workplace. Presented as

part of the ESRC Festival of Social Science. Sheffield, UK.

[34] Occupational Safety & Health Administration. (2012). Workplace

violence. Retrieved from http://www.osha.gov/SLTC/workplaceviolence/

[35] Bruce, M. D., & Nowlin, W. A. (2011). Workplace violence:

Awareness, prevention, and response. Public Personnel Management,

40, 293–308.

[36] United States Department of Labor. (2012). Census of fatal

occupational injuries (CFOI)—current and revised data. [Government

report]. Retrieved from http://www.bls.gov/iif/oshwc/cfoi/cfch0010.pdf

[37] Ocupational Safety & Health Administration. (2004). Guidelines for

preventing workplace violence for health care & social service workers.

Retrieved from http://www.osha.gov/Publications/osha3148.pdf

[38] See City of Houston. (2012). RUN. HIDE. FIGHT.® Surviving an

active shooter event—English. YouTube video, 5:55, posted July 23,

2012 by “Ready Houston,” https://www.youtube.com/watch?

v=5VcSwejU2D0

13.2 Dysfunctional Organizational Behaviors

LEARNING OBJECTIVES

1. Understand what leads to a McDermott employee-abusive

organization.

2. Reproduce and evaluate Michell Gelfand, Jana Raver, Lisa Nishii,

and Benjamin Schneider’s model of organizational discrimination.

3. Explain Alice Eagly and Linda Carly’s concept of the labyrinth in

comparison to the more common notions of the “glass ceiling.”

4. Summarize heterosexism and how it impacts modern

organizational practices of discrimination.

5. Identify multiple forms of physical-appearance discrimination and

how such discrimination impacts the workplace.

Although many think of counterproductive workplace behaviors as a few bad

employees targeting other employees, research shows that organizations

themselves can actually be perpetrators of counterproductive workplace

behavior. Organizations can create communication patterns and processes that

actually encourage counterproductive workplace behavior. For example, imagine

you’re a target of workplace bullying and report the behavior to your supervisor.

If your supervisor looks at you and says, “Ah, what’s wrong with a little hazing

in the workplace?” then your supervisor has consented to the bully’s behavior.

When these patterns are perpetuated over time, the organization develops a

number of problematic patterns. To help us understand dysfunctional

organizational behaviors, we are first going to look at the employee-abusive

organization theory, which will be followed by a discussion of discrimination in

the workplace.

Employee Abusive Organizations

In the previous sections of this chapter, we looked at the various ways aggression

manifests itself in the modern workplace. Pamela Lutgen-Sandvik and Virginia

McDermott have proposed a theory that helps explain why some of this

aggression manifests itself in the workplace and ultimately becomes normalized

behavior. [1] The theory starts with the basic notion that communication is a

process that creates and reproduces shared meaning among those involved in the

process. When you think about the inherent nature of organizations as systems of

relationships, you can quickly see that organizations are constantly in a process

of creating and reproducing meaning among their various stakeholders. As such,

Lutgen-Sandvik and McDermott argue that much of the aggression that takes

place in an organization is not just individualistic behavior; rather, aggression is

often a systematic process created and perpetuated by various organizational

systems. From this perspective, Lutgen-Sandvik and McDermott then argue that

specific communication processes perpetuate employee abusive organizations

(EAOs): “EAOs are hostile work environments in which employees experience

persistent harassment and fear at work because of the offensive, intimidating, or

oppressive atmosphere. In EAOs, workers are the object of persistent targeting

for abuse, which can include work obstruction, verbal abuse, social ostracism,

personal criticism, and, at times, physical aggression. This abuse can occur in a

variety of situations and communicative events and target multiple employees.

Aggressive and highly escalated conflict between two organizational members,

absent mistreatment of others, would not constitute an abusive organization.” [2]

From this definition, we can see that EAOs perpetuate a wide range of different

types of counterproductive workplace behaviors. To help explain why EAOs

help foster counterproductive workplace behavior, Lutgen-Sandvik and

McDermott made seven theoretical propositions (Table 13.3). A theory is a

logical set of propositions that offer researchers an explanation for some

phenomenon or set of phenomena. In this context, a “proposition” is a

relationship that is proposed to exist among concepts, such that the proposition

explains the link between the concepts. Thus EAO theory is a set of propositions

that link the relationship between how communication functions within an

organization and the likelihood that the organization affirms and reinforces

structures that create employee abusive organizations. In time, researchers can

take these propositions and turn them into testable hypotheses, which are formal

statements of an unproven theoretical proposition. Let’s examine each EAO

proposition in turn.

Table 13.3 Employee Abusive Organization (EAO) Propositions

Propositions Proposition Description

1 EAOs are likely to develop when abusive, employee-antagonistic discourse is evident in

two or more message flows.

2 EAOs are likely to develop when organization leadership enacts or condones abusive

and/or hostile discourse.

3 EAOs are more likely to develop when numerous organizational members breach the norm

of civil discourse.

4 EAOs are likely to develop when the syncretic superstructure is marked by cultural norms

of competition, individualism, and aggression.

5 EAOs are likely to worsen when abusive, hostile interactions persist over time.

6 EAOs always result in harm and negative outcomes for a variety of stakeholder groups.

7 EAOs can be altered but generally require concerted, collective efforts and the

commitment of upper management.

Proposition 1

The first proposition offered by Lutgen-Sandvik and McDermott states, “EAOs

are likely to develop when abusive, employee-antagonistic discourse is evident in

two or more message flows.” [3] From this perspective, individual negative

interactions in the workplace would not constitute an EAO. However, when

multiple lines of communication (e.g., coworker, leader-follower, employee rules

and policies) all reaffirm the negative behavior, the organization is helping to

perpetuate the negative behavior. Imagine that you are the victim of workplace

bullying from a coworker (one message flow). If you report the behavior to your

boss, who basically tells you to “buck up” and get back to work, the negative

behavior is being reaffirmed (second message flow). If, over time, other

coworkers watch you getting bullied and talk about the bullying but do nothing

to intervene, then you have yet another set of messages that are perpetuating the

problem (third message flow). When you have multiple message flows all

allowing for or giving credence to the counterproductive workplace behavior,

then you have a larger, more systematic problem occurring within the

organization.

Proposition 2

The second proposition from Lutgen-Sandvik and McDermott states, “EAOs are

likely to develop when organization leadership enacts or condones abusive

and/or hostile discourse.” [4] This proposition is pretty straightforward. As we

saw in an earlier example, many individuals in leadership positions simply don’t

understand the negative consequences of counterproductive workplace

behaviors, so they ultimately condone the behavior (if they’re not perpetrators

themselves). When the leadership clearly communicates that this kind of

behavior is appropriate, it should be no surprise when various organizational

members feel as though they’ve been given the green light to abuse others in the

workplace.

Proposition 3

The third proposition from Lutgen-Sandvik and McDermott states, “EAOs are

more likely to develop when numerous organizational members breach the norm

of civil discourse.” [5] Most organizations do not start out as EAOs, but they

develop over time. During this period, when an EAO is developing, civil

discourse generally is first breached by one person. If that person is not chastised

or even rewarded for her or his behavior, others see that it is perfectly OK (if not

beneficial) to behave likewise. Counterproductive workplace behaviors are a

disease that quickly spreads throughout the entire system. When civil discourse

is breached and not corrected, employees will continue the behaviors, which

creates a larger, systemic organizational problem.

Proposition 4

The fourth proposition from Lutgen-Sandvik and McDermott states, “EAOs are

likely to develop when the syncretic superstructure is marked by cultural norms

of competition, individualism, and aggression.” [6] Basically, the authors are

arguing that the larger organizational culture can create and perpetuate specific

organizational norms of competition, individualism, and aggression.

Competition occurs when individual employees are pitted against one another

for scarce resources. Many organizational leaders think this competition is

actually good for the organization, though research generally suggests this form

of hypercompetitiveness actually destroys employee morale, motivation, and job

satisfaction.

Second, organizational cultures can promote a sense of individualism: that it’s

every man or woman for himself or herself. When individuals are encouraged to

individually compete and win, it’s no surprise that one common strategy is to

tear others down in the process. Some organizations even terminate the bottom

10 to 15 percent of performers each year. In those environments, individualism

trumps any desire to cooperate with coworkers. The same dynamic can occur as

well when work teams are forced to compete against other teams.

Lastly, some organizations flatly support aggressive behavior. Earlier in this

chapter, we examined a range of types of aggressive behavior that are common

in organizations. It should be no surprise that hypercompetitive or individualistic

organizational cultures also foster more aggression as a whole.

We should also mention that the syncretic superstructure that creates and

recreates meaning for an organization can be located outside the organization.

Lutgen-Sandvik and McDermott mention that many nationalistic cultures tend to

promote competitiveness, individualism, and aggression (United States, United

Kingdom), while other cultures tend to promote more egalitarianism

(Scandinavia). Also, some countries even pass specific legislation that helps

decrease the likelihood of counterproductive workplace behaviors (like

bullying), which is a larger cultural indicator of what is acceptable behavior

within those societies.

Proposition 5

The fifth proposition from Lutgen-Sandvik and McDermott states, “EAOs are

likely to worsen when abusive, hostile interactions persist over time.” [7]

Basically, if an organization does not actively attempt to correct

counterproductive workplace behavior when it starts occurring, the behavior will

typically escalate and become more abusive and hostile. EAOs may start out

with just a couple of rotten eggs in the employee mix. But over time, as these

behaviors are reaffirmed by the organization, the negative behaviors escalate as

the boundaries of appropriate workplace behaviors are tested.

Proposition 6

The sixth proposition from Lutgen-Sandvik and McDermott states, “EAOs

always result in harm and negative outcomes for a variety of stakeholder

groups.” [8] The authors argue (supported by a wealth of research) that EAOs are

simply detrimental to the organization’s wider community of stakeholders—

from investors to customers. Abusing employees—whether destroying their self-

esteem and ability to work or causing them actual physiological and

psychological health problems—goes beyond such individual impacts. Witnesses

to employee abuse are themselves victimized, fearing they could be next.

Another study by Lutgen-Sandvik found that witnesses of workplace bullying

experienced feelings of emotional exhaustion, fear, and guilt, so that they were

more likely to leave their organizations. [9] EAOs simply are not productive.

Proposition 7

The last proposition from Lutgen-Sandvik and McDermott states, “EAOs can be

altered but generally require concerted, collective efforts and the commitment of

upper management.” [10] This last proposition offers some hope. EAOs can start

fixing their problems if upper management commits itself to the effort, rather

than giving lip service and not following through. Sadly, many organizations will

outwardly condemn abusive behaviors but don’t take real steps to correct the

underlying problems—such as terminating employees who cannot or will not

correct their behavior.

Discrimination in the Workplace

As discussed in Chapter 8, the modern workplace is a very diverse environment,

but organizations still face many challenges with regard to handling workplace

diversity. Discrimination refers to any behavior that treats groups differently

within the workplace. Within the United States, the Equal Employment

Opportunity Commission (EEOC) is charged with investigating and litigating

charges of discrimination within the workplace. Current US law covers a wide

range of possible categories that are commonly discriminated against: age,

disability, genetic information, national origin, pregnancy, race/color, religion,

and sex (including cases involving sexual harassment). Based on 2011 statistics

from the EEOC, Figure 13.2 shows types of discrimination cases that were filed. [11] Most people are familiar, to some extent, with the types of discrimination

discussed in Figure 13.2. However, discrimination can have many different faces

within the workplace. To help us understand how discrimination functions, we’ll

first examine a model of organizational discrimination and then a number of

different discriminatory patterns common in organizations today.

Figure 13.2 Discrimination Cases with the EEOC

The Systemic Nature of Discrimination

As discussed in employee abusive organization theory, organizations can often

create patterns of employee abuse over a period of time. [12] One specific type of

abuse common in organizations is discriminatory behavior. Michell Gelfand,

Jana Raver, Lisa Nishii, and Benjamin Schneider argue that organizations often

contribute to or lessen discrimination through a number of practices. [13] Figure

13.3 provides a revised version of the model that Gelfand, Raver, Nishii, and

Schneider proposed but with specific attention given to organizational

communication processes.

When examining the basic model proposed here, notice that we break

organizational practices that lead to discriminatory behavior into five general

phases—(1) inputs, (2) individuals and groups, (3) the organizational level, (4)

communication, and (5) outputs—that reflect a systems approach to

understanding discrimination in the workplace. (For more on the systems

approach, see Chapter 4.) Phase 1 represents the inputs from the external

environment into the organization; phases 2, 3, and 4 represent throughputs

within the organization; and phase 5 represents the outputs (or ramifications) of

workplace discrimination. Let’s briefly examine each of these phases.

Figure 13.3 Model of Organizational Discrimination

Phase 1: Inputs

As discussed in the basic notion of systems theory, no organization exists on its

own. All organizations are dependent on a variety of inputs. Some of the inputs

are listed in Figure 13.3. All these inputs can have an impact on how people

enact discriminatory behaviors within an organization. For example, if a culture

does not expressly prohibit discriminatory practices within its legal system (or

actually enables discriminatory practices), those organizations that exist within

those cultures are more likely to engage in discriminatory practices. Another

important factor includes the nature of the labor market. If a specific culture has

clear in-groups and out-groups, those divisions are more likely to influence the

organization. Imagine you exist in a culture where you have both purple people

and green people. If that society says it’s perfectly OK to discriminate against

green people in the workplace, the likelihood of discriminatory hiring practices

will escalate. Furthermore, within that same culture, purple people with the

ability to hire are less likely to hire green people, because the discriminatory

practices are enabled. Overall, one cannot dismiss the effects that an

organization’s external environment will have on discriminatory workplace

practices.

Phase 2: Individuals and Groups

A range of both individual-level and group-level processes and behaviors can

add to a discriminatory environment in an organization. Sheryl Lindsley noted

that when individuals enter an organization they bring both intrapersonal

processes (e.g., perceptions, evaluations, attributions) and individual

characteristics (e.g., stereotypes, prejudices, previous contact). [14] Both

intrapersonal processes and individual characteristics will cloud an employee’s

perceptions of those he or she deems as “other” within the organization.

Although many organizations attempt to moderate some of the negative

perceptions of “other” through diversity training or diversity programs, research

has shown mixed results on the effectiveness of alleviating either intrapersonal

processes or individual characteristics. [15]

In addition to individuals within an organization, work groups and teams can

also be a cause of discrimination within the workplace. Kecia Thomas and

Donna Chrobot-Mason argue that groups can often be a reason for workplace

discrimination. [16] According to social-identity theory—which we encountered

in Chapter 8—individuals are inherently driven to feel positive about

themselves. One way people acquire a positive sense of self is by valuing their

group membership (in-group) while disparaging individuals who belong to other

groups (out-groups). [17] Thomas and Chrobot-Mason argue that as individuals

who belong to a majority group within an organization see their majority

slipping and their status quo threatened, they are more likely to become

dissatisfied and to protect their own groups. Conversely, as minority members

within an organization see their numbers escalate, they actually become more

satisfied and productive.

One of our coauthors worked in an organization where there were two very clear

groups within the same division. When our coauthor started working for this

organization, both groups were roughly the same size and were responsible for

the same amount of work. Over time, due to voluntary and involuntary turnover,

one of the groups kept getting more resources and personnel. The other group

felt slighted and threatened as their numbers and power seemed to dwindle.

Decision making tended to always side with the majority, which caused the

minority group to feel anxiety and anger. As you can imagine, this led to

conflict. To rectify this disparity and relieve the tensions, senior management

appointed a member from the minority group to run the whole division and a

member from the majority to be second-in-command.

Phase 3: Organizational Level

The second part of the throughput process within an organization involves what

is deemed as organizational-level discriminatory processes. These processes tend

to be beyond individuals or groups and affect the larger organization. The first

major organizational-level factor is leadership. If an organization’s leadership

allows discrimination to occur, it will be no surprise when discriminatory

behavior is seen at all levels of the organization. For this reason, leaders and

human resources professionals in the organization must clearly tell everyone that

discriminatory behavior is simply not tolerated. If leadership on this issue starts

at the top, it will trickle down to the organization as a whole.

The next factor is organizational culture and climate and whether these support

or diminish discriminatory behavior within the organization. If an organization’s

culture and climate perpetuate discriminatory behavior, that behavior will be

seen across all levels. (See Chapter 6 for a review of organizational culture and

climate.) Organizations can promote diversity initiatives to alleviate

discriminatory behavior. But these larger cultural shifts will take time, energy,

and buy-in throughout the organization. Some organizations try to promote

diversity and eliminate discriminatory practices through annual training sessions.

Although these can be beneficial, they are not a magic Band-Aid that heals an

organization’s larger culture of discriminatory practices.

Lastly, organizations must look at their own corporate structures—starting with

the makeup of their boards, through senior management, and down to the bottom

of the hierarchy. If an organization purports to be inclusive and

nondiscriminatory, but all senior executives and board members are middle-aged

white men, this lack of diversity sends a clear message about how the

organization actually sees diversity. Furthermore, some organizations have

unwittingly or purposely put stumbling blocks to promotion in the paths of

minority employees. The most common metaphor, generally discussed in sexual

discrimination, is the glass ceiling. The glass ceiling refers to an unbreachable

barrier that prevents members of various out-groups (e.g., women, members of

different races) from rising to upper levels of organizational leadership. Alice

Eagly and Linda Carly argue that this glass ceiling is more like a labyrinth. [18]

The labyrinth metaphor “captures the varied challenges confronting women as

they travel, often on indirect paths, sometimes through alien territory, on their

way to leadership.” [19] Although Eagly and Carly use the labyrinth metaphor

specifically to refer to women in the workplace, we believe this metaphor can be

equally applied to all organizational members who belong to a clear out-group.

Phase 4: Communication

The third part of the throughput process in the discrimination model involves

communication. Sheryl Lindsley explains that organization members often

communicate discrimination in three basic ways: social isolation, intolerance for

group norms, and negating individual identity. [20] First, out-group members in

organizations are often left out of important social interactions within the

workplace. These informal gatherings will often include discussions of job-

related topics to which these out-group members simply are not privy. Although

in-group members may not think that hashing out an important decision over

lunch is a problem, out-group members who are not invited to these lunches are

often left out of the decision-making process.

Second, in-group members may communicate in very clear patterns that out-

group members do not understand. Ultimately, in-group members expect that

out-group members will just conform to the communication patterns of the in-

group. Imagine that you’ve been hired to work in a Middle Eastern culture.

Unless you are from this culture, you would experience a number of

communicative differences that will impact how you interpret communicative

behaviors. To prevent this type of misunderstanding, Lindsley recommends that

recognizing diverse communication styles is important for eliminating these

misunderstandings and decreasing discriminatory behavior.

Lastly, in-group members may stereotype out-group members and their

behaviors based solely on group membership. Yet there is more difference

generally within groups than there is between groups. These misunderstandings

can go both ways. Many out-group members will assume that in-group members

have special access, relationships, and power as a result of being a member of

the in-group. However, many people who may technically fall into an in-group

can feel just as powerless as those in an out-group.

In addition to the basic forms of discrimination that are communicated within an

organization, organizations can also promote employee voice or silence. (See

Chapter 5 for discussion of employee voice and silence.) In organizations that

actively promote inclusivity, out-group members are more likely to communicate

openly with both coworkers and leaders. However, if out-group members are

constantly told to shut up and conform, eventually out-group members will stop

expressing ideas altogether, even when clear problems are on the horizon.

Organizations need to foster organizational environments that promote employee

voice for all members.

Phase 5: Outputs

The last phase in our model of organizational discrimination involves the outputs

that occur if an organization actively discriminates against people. One output is

the possibility that individuals in legally protected classes will file a lawsuit.

Look again at Figure 13.2. Every year, thousands of claims of discrimination are

filed with the EEOC. Answering allegations of discrimination can cost an

organization a great deal of time and money.

Although lawsuits are clear outcomes of discrimination, there are other subtle

ways that various stakeholders may react to cases of organizational

discrimination. Individuals in the external environment—consumers, clients,

investors, government officials, the public at large—may adopt negative views

of organizations. Internally, discriminated employees often experience a loss of

job satisfaction, morale, and motivation—which can have a direct impact on the

quality of the goods and services an organization is able to produce through

these workers. Furthermore, these workers often get fed up with the

organization’s discriminatory practices and start looking for jobs elsewhere. As

we discussed in Chapter 10, organizational turnover can be very costly.

Non-EEOC Protected Discrimination

Most people in the United States are pretty familiar with the hiring and firing

practices related to discrimination in employment law. However, there are

classes of people within the United States that are not protected under current

laws. To help us further understand discrimination today, let’s look at two forms

of discrimination that are still largely legal within the United States.

Heterosexism

The first category of discrimination still largely legal within the United States is

called heterosexism. Patricia Jung and Ralph Smith provided one of the most

commonly cited definitions of heterosexism: “Heterosexism is a reasoned

system of bias regarding sexual orientation. It denotes prejudice in favor of

heterosexual people and connotes prejudice against bisexual, and especially,

homosexual people…Heterosexism is not grounded primarily in emotional fears,

hatreds, or other visceral response to homosexuality. Instead it is rooted in a

largely cognitive constellation of beliefs about human sexuality.” [21]

You may have noticed that the list of categories currently covered under federal

law does not cover lesbian, gay, bisexual, and transgendered/transsexual

individuals (LGBT). Many states have passed laws that do cover LGBT

workplace discrimination, but as of this writing, no federal legislation has been

approved by the US Congress. Figure 13.4 is a list from the Human Rights

Commission of states that currently have laws on the books to prevent

discrimination against LGBT individuals. [22]

Figure 13.4 State Protection Laws for LGBT Persons

Liz Winfeld estimates that an inequitable workplace can lead to approximately

10 percent loss in productivity. [23] Using the commonly ascribed notion that 10

percent [24] of the population is LGBT, she estimates that an organization with

five thousand people could suffer an annual loss of $2 million because of

discriminatory practices. Ultimately, equality in the workplace is a bottom-line

issue for businesses. Peng Wang and Joshua Schwarz found that, even using

conservative estimates, organizations that implemented a LGBT

nondiscrimination policy saw an almost immediate increase in their stock values. [25]

Although nondiscrimination is good for an organization’s bottom line, subtle

discrimination remains. In one study, András Tilcsik sent résumés to 1,769 job

postings in seven states; three states had LGBT protection laws and four did not.

In one résumé, Tilcsik clearly identified the applicant as someone who had

participated in a LGBT group as an undergraduate, while a second version listed

only a generic student group. Altogether, the résumés garnered 331 interview

invitations. Tilcsik discovered that employers in states with LGBT protections

were statistically more likely to invite the applicant with the LGBT group listed

on the résumé, as compared to employers in states without legal protections.

Although not a perfect study, it does demonstrate the importance that legal

protections can have for preventing workplace discrimination. [26]

Physical Appearance Discrimination

People often say that everyone has something beautiful about them. But the

harsh reality is that physical appearance discrimination is pervasive in the

modern work world. Let’s take a case study to start this discussion.

In a series of studies, Allan Mazur and various associates sought to determine if

an individual’s facial traits (e.g., symmetry, attractiveness, youthfulness) could

predict rise through military ranks. [27] The findings were striking. Faces

perceived as more physically attractive and dominant were strong predictors of

the rank that a military cadet would achieve even forty years later. Simply put,

attractive cadets were statistically more likely to make the rank of general than

their less attractive counterparts.

Catherine Hakim calls this phenomenon one’s “erotic capital.” [28] Whether we

like to admit it or not, people who are attractive really do have an easier life in

many ways. In one study, Thomas Cash, Barry Gillen, and Steven Burns

submitted fake résumés with an attached image of either an attractive applicant

or an unattractive applicant. [29] All things being equal, hiring managers

consistently recommended the attractive applicant. When asked why, hiring

managers found the attractive applicant was more likely to succeed on the job. In

another study, Cynthia Marlowe, Sandra Schneider, and Carnot Nelson wanted

to determine if less experienced managers were more likely—and more

experienced managers less likely—to go by looks. [30] Yet not even experience

mitigated the impact of attractiveness on hiring recommendations. Women

perceived as “below average” in attractiveness fared the worst. Like it or not,

from hiring to promotions, physical attraction matters in the workplace.

Another group of individuals who face discrimination in the workplace not

covered by the EEOC involves weight-based discrimination. Natasha Randle,

Christopher Mathis, and Dewaynna Cates recently sought to examine the impact

that perceived weight-based discrimination had on one’s career. [31] The study

marginally supported the basic idea that individuals who perceive weight-based

discrimination believed that the discrimination impacted their career success.

Research has shown that obese people on average earn less than their average-

weight counterparts. [32] According to research by Susan Averett, these findings

are hardly unique to the United States. In all countries where wage gaps between

obese and average counterparts have been studied, discriminatory practices in

earnings were found. Dan-Olof Rooth sent 1,970 applications to 985 employers

via e-mail in Stockholm and Gothenburg, Sweden. The applications were the

same, but the image that was attached to the application varied from average

weight to overweight. [33] Not surprisingly, obese applicants were less likely to

receive callbacks for interviews than their average counterparts. Although all the

applications indicated a job candidate who was clearly qualified, employers were

more likely to interview thin or average applicants.

Kayla Von Braunsberg and Daniel Olsen set out to examine how antifat attitudes

and dislike of fat people affect beliefs of the appropriateness of discrimination

against overweight people. [34] Using a revised version of the Antifat Attitudes

Scale, [35] their study revealed that individuals who had high antifat attitudes and

high dislike of fat people were more likely to believe it is appropriate to

discriminate in the workplace on the basis of weight. We should mention that

some research indicates that using the word “fat” versus the word “overweight”

predisposes individuals to more prejudicial outlooks. [36]

In summary, what does discrimination have to do with organizational

communication? First, discrimination is fundamentally unethical based on the

National Communication Association’s Credo for Ethical Communication. (See

Chapter 2 for more information.) As communicators, we should treat all people

with respect and without prejudice. Second, discrimination is a communicative

process. As suggested by employee-abusive organization theory, when

discrimination is communicated either actively or passively within an

organization it becomes normalized behavior.

Lastly, discrimination simply isn’t in an organization’s best interest. Barbara

Martin, Amin Rajah, and Jenny Latham set out to determine the impact that

prodiversity policies and practices have on the modern organization. [37] The

study found organizations that actively promote diversity policies and practices

can reduce recruitment costs, increase employee motivation, increase employee

retention, increase innovative ideas, and improve the organization’s image.

These are just a handful of benefits that come when organizations actively

prevent discrimination and promote diversity in the workplace.

KEY TAKEAWAY

Employee-abusive organization theory posits that organizations

can help facilitate working environments where counterproductive

workplace behaviors are part of the ingrained fabric of the

organization. As organizations either perpetrate or do not

discourage counterproductive workplace behaviors, these

behaviors become normalized, leading to an increase in the

behaviors themselves.

Michell Gelfand, Jana Raver, Lisa Nishii, and Benjamin

Schneider’s basic model of organizational discrimination takes a

systems approach for understanding how discrimination works in

the workplace. First, various organizational inputs (stakeholder

interests, culture, industry, etc.) can impact whether discrimination

is normalized behavior. Second, when individuals enter an

organization, they bring both intrapersonal processes (e.g.,

perceptions, evaluations, attributions) and individual

characteristics (e.g., stereotypes, prejudices, previous contact),

both of which can impact perceptions of appropriateness of

discrimination. Third, organizations themselves can encourage or

discourage discriminatory practices through leadership,

culture/climate, and structure of senior management/board of

directors. Fourth, Sheryl Lindsley explains that organization

members often communicate discrimination in three basic ways:

social isolation, intolerance for group norms, and negating

individual identity. Lastly, organizations then have a number of

outputs that can occur: EEOC complaints; negative organizational

reputation; decreased job satisfaction, employee morale,

employee motivation, and employee productivity; and increased

employee-turnover intentions.

Alice Eagly and Linda Carly argue that the glass ceiling metaphor

for discriminatory practices in the workplace makes it sound as if

it’s impossible to break through. Instead, they proposed that it is

more of a labyrinth, because women and other minorities do

make it to the upper echelons of corporate America, but they

often take nontraditional paths to get there.

Heterosexism is a system of attitudes, beliefs, and biases against

bisexual, gay, lesbian, transgender, transsexual, and queer-

identifying individuals in favor of opposite-sex relationships and

sexuality. In the modern corporate environment, it is still legal to

discriminate against BGLTQ individuals in the workplace because

there are no federal protections. Research has shown that while

being nondiscriminatory is good for an organization’s bottom line,

many organizations either overtly or covertly discriminate against

BGLTQ employees.

Physical appearance discrimination is based on some physical

quality of the person (attractiveness, weight, etc.). Research

clearly shows that one’s physical appearance is a good predictor

of being hired and promoted within an organization. One form of

discriminatory practice that is rarely discussed involves

discrimination against overweight individuals. Research has

demonstrated that discrimination against such individuals is

common and leads to economic disparities.

EXERCISES

Discrimination :

Employee Abusive Organizations :

Glass Ceiling:

1. Looking at the seven propositions proposed in employee abusive

organization theory, do you agree with the basic theory? Why or

why not? Do you think the theory is missing a critical element? If

so, what? If not, why?

2. Check out this infographic

(http://infographiccommons.com/view/equal_education_unequal_pay.html

wage disparity between females and males. Why do you think

wage disparities still exist in the twenty-first century? Do you think

the wage disparity will ever shrink between females and males in

the United States?

3. Listen to the podcast with Dr. Gordon Patzer (author of the book

Looks) from the American Management Association

(http://www.amanet.org/training/podcasts/Gordon-Patzer-on-Why-

Looks-Matter-More-than-You-Think-08-03.aspx). After listening to

the podcast, what do you think of the general findings from Dr.

Patzer? Should there be better protection against lookism in the

workplace?

KEY TERMS AND DEFINITIONS

Any behavior that treats groups differently within the workplace.

Where counterproductive workplace behaviors are systematically a part of the normal communicative practices that result from the structures within the organization itself.

An unbreachable barrier that prevents members of various

Heterosexism:

out-groups (e.g., women, members of different races) from rising to upper levels of organizational leadership.

A system of attitudes, beliefs, and biases against bisexual, gay, lesbian, transgender, transsexual, and queer-identifying individuals in favor of opposite-sex relationships and sexuality.

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[36] Brochu, P. M., & Esses, V. M. (2011). What’s in a name? The effects

of the labels “fat” versus “overweight” on weight bias. Journal of Applied

Social Psychology, 41(8), 1981–2008. doi:10.1111/j.1559-

1816.2011.00786.x

[37] Martin, B., Rajah, A., & Latham, J. (2003). Harnessing workforce

diversity to raise the bottom line. Tunbridge Wells, UK: Centre for

Research in Employment & Technology in Europe.

13.3 Employee Deviance

LEARNING OBJECTIVES

1. Define the term employee deviance.

2. Understand how belief, affect, and behaviors lead to

organizational cynicism.

3. Explain the term Machiavellianism and its relationship to

organizational communication.

4. Describe Virginia Bratton and Michele Kacmar’s model of extreme

careerism.

Although organizations may create environments where counterproductive

workplace behavior is the norm, we cannot discount the fact that people may

come into an organization with problematic attitudes, values, and beliefs.

Rebecca Bennett and Sandra Robinson defined employee deviance as

“voluntary behavior of organizational members that violates significant

organizational norms and, in doing so threatens the well-being of the

organization and its members.” [1] The counterproductive workplace behavior

already discussed in this chapter can clearly constitute employee deviance. But

employees can manifest organizationally deviant behaviors that, in essence, they

bring with them into the office. In this section, we examine three specific types

of employee deviance: organizational cynicism, Machiavellianism, and extreme

careerism.

Figure 13.5

Organizational

Cynicism

Organizational Cynicism

Although previous researchers had examined employee cynicism toward

organizational change, James Dean, Pamela Brandes, and Ravi Dharwadkar

retooled the concept for a broader understanding of organizational cynicism. [2]

They defined organizational cynicism as “a negative attitude toward one’s

employing organization, comprising three dimensions: (1) a belief that the

organization lacks integrity; (2) negative affect toward the organization; and (3)

tendencies to disparaging and critical behaviors toward the organization that

are consistent with these beliefs and affect.” [3] Under this definition,

organizational cynicism lies at the intersection of three different phenomena:

belief, affect, and behaviors (Figure 13.5).

Belief

The first dimension of organizational cynicism, belief,

arises when an employee concludes the organization is

lacking in truth, fairness, honesty, or sincerity. Maybe the

company is an employee-abusive organization. Perhaps it

engages in unethical business or communication practices.

(See Chapter 2 for more on business ethics.) Or perhaps it

regularly cuts corners to get products or services to market

faster. Employees who witness this behavior for a period of

time will begin to see this organizational behavior as the norm, and many

employees may come to believe the organization lacks integrity.

Affect

The word affect means “emotion.” Carroll Izard identified nine basic emotions

that people can experience: (1) interest-excitement, (2) enjoyment-joy, (3)

surprise-startle, (4) distress-anguish, (5) anger-rage, (6) disgust-revulsion, (7)

contempt-scorn, (8) fear-terror, and (9) shame-humiliation. [4] Any of these

emotions can be at play in organizational settings. For example, individuals who

are targets of workplace bullying could experience fear-terror or shame-

humiliation. Someone who just got an unexpected promotion could experience

enjoyment-joy or surprise-startle emotions. Organizational cynics tend to view

their organizations through more negative emotional responses. (Dean, Brandes,

and Dharwadkar note, however, that individuals who perceive their

organizations as immoral or unscrupulous can also derive enjoyment from

feeling they are superior. [5])

Behaviors

Negative beliefs about and affect toward an organization can engender certain

behaviors often manifested by organizational cynics. Dean, Brandes, and

Dharwadkar argue that as organization members become more cynical, they

become increasingly vocal in their criticisms. [6] Cynical verbal behaviors may

include expressing discontent (“I really hate this place!”), using sarcastic humor

to devalue the organization (“The only difference between this place and a prison

is that eventually prisoners get paroled.”), adding cynical interpretations to

organizational behaviors (“That sexual harassment training was purely to avoid a

lawsuit.”), and pessimistic predictions of the future (“I’ll be surprised if this

place even exists in five years.”). Cynical behaviors can also take the form of

nonverbal communication: rolling one’s eyes, smirking, sneering, exaggerated

sighing, laughing, and so on. In fact, all the cynical behaviors postulated by

Dean, Brandes, and Dharwadkar are communicative behaviors. Thus

organizational cynicism becomes an important communicative outcome of

counterproductive workplace behaviors. Each of the communicative behaviors

described can exist on its own. But when all three categories—belief, affect,

behavior—are combined, the result is a person who is clearly cynical about the

organization.

Machiavellianism

In 1513, Niccolò Machiavelli (Figure 13.6) wrote a text called The Prince. [7]

Although the book was dedicated to Lorenzo di Piero de’ Medici, who was a

member of the Medici family that ruled the Italian city-state of Florence, the

book was originally scribed for Lorenzo’s uncle. In The Prince, Machiavelli

unabashedly describes how he believes leaders should keep power. First, he

notes that traditional leadership virtues like decency, honor, and trust should be

discarded for a more calculating approach to leadership. Machiavelli believed

that, since humans are easily manipulated, princes can either take charge of their

people or expect that someone else will fill the leadership void.

Figure 13.6 Niccolò

Machiavelli

Source:

http://upload.wikimedia.org/wikipedia/commons/1/1e/Santi_di_Tito_-

_Niccolo_Machiavelli's_portrait.jpg

In 1970, social psychologists Richard Christie and Florence

Geis decided to see if Machiavelli’s ideas were still

practiced in the twentieth century. [8] The model that

Christie and Geis proposed consisted of four basic

Machiavellian characteristics: (1) lack of emotion in

interpersonal relationships, since relationships are a means

to an end; (2) lack of concern with conventional morality,

since people are tools to be used in the best way possible;

(3) a rational view of others, not based on psychopathology,

since leaders who manipulate others must themselves be

logical and rational; and (4) a focus on short-term tasks

rather than long-range ramifications of behavior, since

Machiavellian leaders have little ideological or organizational commitment.

(Imagine working with, or being led by, such a person!) For their research,

Christie and Geis created a questionnaire to measure one’s tendency toward

Machiavellianism. The questionnaire has undergone a number of revisions, but

the most common one is called the Mach IV. [9]

In the field of communication, a number of researchers have examined how

Machiavellianism relates to various communication behaviors and traits in the

workplace. Jason Teven, James McCroskey, and Virginia Richmond first

examined perceived managerial Machiavellianism and its relationship to various

organizational outcomes. [10] They observed that when subordinates perceived

their supervisors as Machiavellian, these subordinates held more negative views

about the supervisors’ assertiveness, responsiveness, trustworthiness,

caring/goodwill, and competence. At the same time, subordinates’ job

satisfaction and motivation declined. From this study, we can see that when

subordinates view a supervisor as highly manipulative, negative consequences

ensue for the organization.

Another study by Jason Teven, this time with Julie Winters, examined the

Machiavellianism of pharmaceutical sales representatives. [11] The

pharmaceutical industry relies heavily on sales reps to interact with prescribing

physicians. One of our coauthors worked for a medical school to oversee

medical education in a hospital. Part of his job was being the gatekeeper between

pharmaceutical sales representatives and the medical residents and students. He

interacted every day with at least two or three representatives, who often brought

drinks, snacks, and other tokens of appreciation. Indeed, though pharmaceutical

sales representatives cannot technically do anything that is not “educational,”

elaborate parties or retreats can be justified if, say, a one-hour mandatory lecture

is thrown in. Ordinarily though, pharmaceutical sales representatives often have

only a few minutes to make an impression, educate a physician, and convince

the physician to prescribe the company’s product. And since pharmaceutical

sales is a highly competitive business that depends on face-to-face selling,

Machiavellian sales reps tend to be quite successful. In the Teven and Winters

study, highly Machiavellian pharmaceutical representatives tended to be

physically attractive and use humor in their sales interactions but also saw

themselves as less caring and less responsive in their interactions with

physicians. Overall, Machiavellians reported higher sales numbers than people

with low Machiavellian scores.

Jennifer Becker and Dan O’Hair examined how Machiavellianism related to

organizational citizenship behaviors and impression management. [12]

Organizational citizenship behavior (OCB) can be defined as “acts of

cooperation, helpfulness, suggestions, gestures of goodwill, altruism, and other

instances” of prosocial behavior in the workplace. [13] OCBs can be divided into

two basic types: individual and organization. OCB-Individual refers to behaviors

that facilitate harmonious relationships with organizational stakeholders. OCB-

Organizational comprises behaviors that benefit the organization. [14] As

discussed in Chapter 10, impression management is the process (either conscious

or unconscious) in which an individual deliberately attempts to influence the

perceptions and opinions of others. In the Becker and O’Hair study, high

Machiavellians engaged in fewer OCBs and were more likely to use impression

management with coworkers, followers, and leaders. In essence, although high

Machiavellians may pretend to care about the organization when necessary

(through impression management), they are really more self-focused and do not

demonstrate specific organizational-involvement behaviors unless there is a clear

direct benefit.

Extreme Careerism

Daniel Feldman [15] introduced the term new careerism to explain the

“propensity to pursue career advancement through nonperformance-based

means.” [16]

Feldman and Weitz ultimately argued that promotions and advancement within

an organization have less to do with competence and integrity than with an

individual’s careerist orientation and ability to “manage” the system.

Virginia Bratton and Michele Kacmar took the notion of a careerist orientation

one step further when they called for research on “extreme careerism.” [17] Both

“new careerism” and “extreme careerism” are strongly built on the foundation of

impression management. (For more on impression management, see Chapter

10.) Extreme careerism tends to promote use of negative impression-

management tactics to help one get ahead in the workplace. Figure 13.7

illustrates the basic model proposed by Bratton and Kacmar.

Figure 13.7 Extreme Careerism

The top row of this model reflects the basic ideas of extreme careerism, and the

bottom box represents the various outcomes, positive or negative, that could

occur as a result of extreme careerism. Let’s look at each of these boxes

separately.

Negative Impression Management Tactics

Bratton and Kacmar discuss five specific communicative behaviors involved in

negative impression management: (1) blaming, (2) taking credit for someone

else’s work, (3) discrediting, (4) intimidation, and (5) negative projection. [18]

Blaming

The first negative impression management tactic that extreme careerists employ

is blaming. Blaming is generally the result of a negative predicament, or “event

that causes others to doubt the background, personality, behavior, ability, or

intentions of the actor.” [19] So if a project goes off the rails in an organization,

the first tactic an extreme careerist will use is to admit the project has gone off

the rails and point the finger at someone else as the cause. Blaming others not

only helps protect the extreme careerist’s reputation but also harms the

reputation of a coworker.

Taking Credit for Someone Else’s Work

The second negative impression management tactic an extreme careerist can

employ is taking credit for someone else’s work. Generally speaking, this form

of negative impression management comes after a project is a success. The

extreme careerist will exaggerate her or his involvement in the project’s success

to bolster her or his reputation in the eyes of upper management. When an

extreme careerist puts her or his name on a project early, it can prevent others

from taking credit for their own work.

Discrediting

Discrediting someone is not an act in and of itself; rather, it is the effect that

happens after a specific communication act. According to Francesca D’Errico,

Isabella Poggi, and Laura Vincze, discrediting can be defined as “the spoiling of

a person B’s image before other people C, caused, either deliberately or not, by

another person A through performing communicative acts that mention or point

at actions or qualities of B that are considered negative by the third party C.” [20] Thus discrediting occurs when an extreme careerist goes out of the way to

injure a coworker’s reputation by downplaying the latter’s positive qualities.

Although an extreme careerist may discredit a coworker, a leader can discredit a

follower if he or she feels that the follower is a potential rival.

D’Errico, Poggi, and Vinzce posited three common communication tactics used

to discredit: (1) criticism, (2) accusation, and (3) insult. First, criticism is

defined as a communicative act whereby an extreme careerist purposely casts

another as having done something wrong or bad. When a misspelling occurs in a

PowerPoint presentation, an extreme careerist will make sure to point it out to

everyone. Second, an accusation is defined as a communicative act whereby an

extreme careerist claims that someone has acted wrongly or badly. Notice that

accusations are not corrections but are statements of wrongdoing. A supervisor

sees someone take supplies from the supply cabinet and publicly confronts the

person, saying that he or she is taking the supplies for their personal or home use

(with or without any evidence of the intent of the action). Lastly, an insult is a

communicative act whereby an extreme careerist claims that someone belongs to

a group of people who are subject to negative evaluations. The insult may not

actually say that the target belongs to the group; rather, the insult may suggest

the target possesses characteristics of people who belong to the disfavored

group. During a meeting, an extreme careerist points out that a coworker grew

up in foster care, and “you know how challenged those people are as adults.” Or

maybe the extreme careerist would state it more indirectly, “With the way he

acts, you would think he was raised by a cult.” In both cases, the extreme

careerist is attempting to deride the coworker. “Moreover, the insulter has the

goal not only to communicate to others how bad or dangerous the other person

is, but also to communicate his intention of offending him, that is, to publicly

spoil his image, and even, to spoil his self-image: to let him feel disgusted of

himself.” [21]

Intimidation

Bratton and Kacmar discuss two different roles that people can adopt to get what

they want. Ingratiators seek to gain influence by using rewards, expertise, or

others’ desire to be like them. Intimidators, on the other hand, are more likely to

use punishment, fear, threats, and the authority of their hierarchical positions to

get what they want. More often than not, intimidators focus their pressure

downward within the hierarchy. Of course, some intimidators may be

subordinates who, for example, threaten to quit or file a lawsuit—though such

tactics can be risky, result in negative consequences, and not achieve the original

desire. According to Bratton and Kacmar, intimidation impression-management

tactics are used for four reasons: to (1) obtain agreement from others, (2) protect

or defend one’s reputation, (3) get social rewards, and (4) fulfill interpersonal

objectives (when a positive image won’t work).

Negative Projection

The final form of negative impression management, negative projection, occurs

when the extreme careerist exaggerates obstacles he or she has overcome to

complete a project or otherwise seeks to avoid negative consequences. An

extreme careerist would talk about all the personal and organizational problems

that interfered with completion of a task, so that getting it completed (even if it’s

late) is a great accomplishment and a testament to the careerist. If an extreme

careerist has to deliver a sales pitch and falls flat on her face, the careerist will

try to explain it away because she was sick, didn’t get the right materials in time,

or was too tired because her flight came in late. Other extreme careerists will

even sabotage themselves to get out of doing an unwanted assignment—for

example, by claiming a horrible cold to avoid having to recruit new clients. This

self-handicapping helps extreme careerists avoid tasks for which their skills are

weak and thus helps maintain their golden image within an organization.

Contextual Variables

Individuals find themselves in a variety of organizational contexts that can

influence behavior. Bratton and Kacmar proposed three basic contextual

variables: (1) ambiguity/uncertainty, (2) accountability, and (3) nature of

previous outcomes.

Ambiguity/Uncertainty

Ambiguity and uncertainty stem from a lack of clarity in an organization. When

an organization has vague policies that seem to change depending on who is

interpreting them, employees experience ambiguity. Employees in a chaotic

organization experience uncertainty when they cannot predict from day to day

how leaders, coworkers, and followers will behave. The more ambiguity and

uncertainty that exist in an organization—especially with performance appraisals

or promotions—the more likely people will look for alternative methods of

getting ahead. Bratton and Kacmar believe the most likely outcome is that

individuals in these organizations will turn to negative impression management

behaviors, such as discrediting coworkers to make themselves seem more

competent and productive by comparison.

Accountability

Being held accountable for one’s actions at work can be a powerful motivator.

But there could be a downside as well. If workers feel threatened by

accountability, they could engage in impression management tactics that are

defensive or protective because they want to ensure that their superiors see them

in a positive light. Thus an extremely careerist office manager might intimidate

those under him to work faster and better—or else. Of course, if you’re the

person working under this extreme careerist, your life at work could be full of

counterproductive work behaviors designed to make you and others fear for your

jobs.

Nature of Outcomes

When a project seems likely to turn out badly, the extreme careerist will

probably employ negative impression management tactics to avoid being tainted

by the outcome. Thus if an extreme careerist sees a project heading over a cliff,

he or she will distance herself or himself as far from the project as humanly

possible. In essence, the extreme careerist will use negative impression

management to ensure that everyone who can listen knows that he or she is not

responsible for the negative result. On the other hand, if the result of a work

project is positive, the extreme careerist is right there to tell everyone who will

listen how vital he or she was to the project’s success.

Individual Variables

The final set of variables is labeled individual variables, or the reasons people

use negative impression management. Bratton and Kacmar proposed three

common variables: (1) propensity for political behavior, (2) career ambition, and

(3) job attitudes.

Propensity for Political Behavior

The first individual variable discussed by Bratton and Kacmar involves what

they label “propensity for political behavior.” Some people in an organization

are always driven to engage in political behavior. Gerald Ferris and Darren

Treadway argue that politics is inherently about creating, maintaining, or

changing shared meanings in an effort to produce a desired outcome that is self-

serving. [22] A number of personality traits have been shown to impact an

individual’s propensity for political behavior, including trait cynicism, [23]

Machiavellianism, [24] self-monitoring, [25] and external locus of control. [26] Not

surprisingly, all these traits are also associated with the use of negative

impression management tactics.

Career Ambition

Bratton and Kacmar argue that career ambition is ultimately the result of three

factors: (1) the desire to get ahead, (2) the proclivity to change jobs, and (3)

short-term orientations in job behaviors. First, extreme careerists have an

inherent desire to get ahead in the workplace. This drive to further one’s career is

inherent within the framework of an extreme careerist. However, the second

factor of career ambition is the proclivity to change jobs. Extreme careerists are

often looking for the next, best job they can land. As such, they tend to change

jobs frequently. Of course, this proclivity for changing jobs also establishes the

third factor: short-term orientations in job behaviors. If an extreme careerist will

be in a specific job for a limited amount of time, it should be no wonder that he

or she doesn’t settle in and create roots. Along with this career ambition is the

use of negative impression management behaviors, because the person doesn’t

expect to be in a specific job for very long.

Job Attitudes

The last individualistic factor involves a range of job attitudes. Bratton and

Kacmar predicted that individuals who are dissatisfied, unmotivated, show little

job involvement, and have low levels of organizational commitment are more

likely to use negative image-management techniques in the workplace. If

someone is not happy with the working environment and yet still has a desire to

climb the corporate ladder, he or she will turn to negative impression

management in an effort to paint a more promotable picture of herself or

himself.

Outcomes of Extreme Careerism

Now that we’ve examined the core of Bratton and Kacmar’s conceptualization of

extreme careerism, let’s briefly discuss some of the outcomes of these negative

impression management behaviors. Ultimately, the use of impression

management will affect all individuals within an organization. Even if the person

who uses negative impression management tactics actually gets ahead, others

will resent the extreme careerist. If this resentment festers too long, upper

management may soon become aware of what is actually happening, and the

negative impression management tactics may start to be less effective. Of course,

it’s quite possible that the extreme careerist will simply find a new

organizational home before this happens.

Negative impression management can also hurt work groups and teams in an

organization. If an extreme careerist is always taking credit for others’ work, the

latter may become less satisfied and motivated and show less organizational

commitment and productivity over time. Similarly, if an extreme careerist is

always blaming others for problems on projects, those targeted for criticism,

accusations, and insults will suffer psychologically from such bullying and,

again, become less satisfied, motivated, and committed to the organization.

Lastly, there are detrimental effects for the organization as well. If someone who

doesn’t have the skills or qualifications gets promoted over those who do, an

organization could be in for a disaster. When an extreme careerist ends up in a

leadership position, he or she may use a range of negative impression

management tactics on subordinates to create an employee abusive organization.

KEY TAKEAWAY

Employee deviance refers to behavior that violates organizational

norms and rules in a way that threatens the organization and its

members.

Organizational cynicism is the belief that an organization lacks

integrity, coupled with negative affect toward the organization,

which leads to critical and disparaging behavior. There are three

characteristics that commonly make up organizational cynicism:

belief, affect, and behaviors. Although individuals may possess

one or two of these characteristics, it’s the combination of the

three that ultimately comprises organizational cynicism.

Machiavellianism is a personality trait posed by Richard Christie

and Florence Geis based on Niccolò Machiavelli’s The Prince, in

which cunning and deceit are exalted as a means of attaining

and/or maintaining power to accomplish specific self-centered

goals. Research in organizational communication has found that

subordinate perceptions of supervisor Machiavellianism lead to a

number of negative outcomes (e.g., decreased perceptions of

supervisor credibility, decreased affect toward supervisor, and

decreased job satisfaction/employee motivation). Employee levels

of Machiavellianism have been shown to increase sales in the

pharmaceutical industry but are negatively linked to organizational

citizenship behavior.

Extreme careerism is the promotion of negative impression

management tactics to help one get ahead in the workplace.

Virginia Bratton and Michele Kacmar believe that extreme

careerism occurs as a result of both contextual

(ambiguity/uncertainty, accountability, and nature of previous

outcomes) and individual (propensity for political behavior, career

ambition, and job attitudes) variables. These two factors ultimately

determine if an individual will utilize negative impression

management tactics (blaming, taking credit for someone else’s

Extreme Careerism:

Ingratiators :

work, discrediting, intimidation, and negative projection) in an

attempt to get ahead within the organization. Ultimately, extreme

careerism has negative effects on all levels of an organization.

EXERCISES

1. Describe a time when you’ve witnessed employee deviance in

your workplace. How did you respond? How did others respond?

2. Complete Christie and Geis’s Mach IV (http://personality-

testing.info/tests/MACH-IV.php). Why did you respond the way

you did to the various items on the measure? What does your

score on the Mach IV say about your propensity toward employee

deviance in the workplace?

3. Think of a time you’ve witnessed someone being discredited in

the workplace. What communicative tactics (criticism, accusation,

and/or insult) were used? Why did you think the person doing the

discrediting used those specific communicative strategies? Were

they effective? Why or why not?

KEY TERMS AND DEFINITIONS

The promotion of negative impression-management tactics to help one get ahead in the workplace.

Individuals who seek to gain influence by using rewards, expertise, or others’ desire to be like them.

Intimidators:

Machiavellianism:

Accusation :

Criticism :

Employee Deviance:

Insult :

Negative Projection:

Organizational Cynicism:

Individuals who seek to gain influence through the use of punishment and the authority of one’s hierarchical position.

Personality trait posed by Richard Christie and Florence Geis based on the work of Niccolò Machiavelli’s The Prince, in which cunning and deceit are exalted as means of attaining and/or maintaining power to accomplish specific self-centered goals.

A communicative act used to discredit another in which an extreme careerist claims that someone has done something (an action) that is wrong or bad.

A communicative act used to discredit another in which an extreme careerist purposely casts another as having done something wrong or bad.

Employee behavior that violates organizational norms and rules in a way that threatens the organization and its members.

A communicative act used to discredit another in which an extreme careerist claims that someone belongs to a group of people who are subject to negative evaluations.

When someone exaggerates the obstacles he or she had to overcome to complete a specific project or employs a specific behavior in an effort to avoid negative consequences.

The belief that an organization lacks integrity coupled with negative affect toward the organization, which leads to critical and disparaging behavior.

[1] Robinson, S. L., & Bennett, R. J. (1997). Workplace deviance: Its

definition, its manifestations, and its causes. In R. J. Lewicki, B. H.

Sheppard, & R. Bies (Eds.), Research on negotiation in organizations

(Vol. 6, pp. 3–27). Greenwich, CT: JAI Press, p. 7.

[2] Dean, J. W., Jr., Brandes, P., & Dharwadkar, R. (1998). Organizational

cynicism. Academy of Management Review, 23, 341–352.

doi:10.5465/AMR.1998.533230

[3] Dean, J. W., Jr., Brandes, P., & Dharwadkar, R. (1998). Organizational

cynicism. Academy of Management Review, 23, 341–352, p. 345.

doi:10.5465/AMR.1998.533230

[4] Izard, C. E. (1977). Human emotions. New York, NY: Plenum Press.

[5] Dean, J. W., Jr., Brandes, P., & Dharwadkar, R. (1998). Organizational

cynicism. Academy of Management Review, 23, 341–352.

doi:10.5465/AMR.1998.533230

[6] Dean, J. W., Jr., Brandes, P., & Dharwadkar, R. (1998). Organizational

cynicism. The Academy of Management Review, 23, 341-352.

[7] A free download of The Prince may be accessed from Project

Gutenberg at http://www.gutenberg.org/files/1232/1232-h/1232-h.htm

[8] Christie, R., & Geis, F. L. (1970). Studies in Machiavellianism. New

York, NY: Academic Press.

[9] See Personality Tests, MACH-IV test of Machiavellianism,

http://personality-testing.info/tests/MACH-IV.php

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Communication correlates of perceived Machiavellianism of supervisors:

Communication orientations and outcomes. Communication Quarterly,

54, 127–142.

[11] Teven, J. J., & Winters, J. L. (2007). Pharmaceutical representatives’

social influence behaviors and communication orientations: Relationships

with adaptive selling and sales performance. Human Communication, 10,

465–486.

[12] Becker, J. H., & O’Hair, H. (2007). Machiavellians’ motives in

organizational citizenship behavior. Journal of Applied Communication

Research, 35, 246–267. doi:10.1080/00909880701434232

[13] Smith, C. A., Organ, D. W., & Near, J. P. (1983). Organizational

citizenship behavior: Its nature and antecedents. Journal of Applied

Psychology, 68, 653–663.

[14] Van Dyne, L., Graham, J. W., & Dienesch, R. M. (1994).

Organizational citizenship behavior: Construct redefinition, measurement,

and validation. Academy of Management Journal, 37, 765–802.

[15] Feldman, D. (1985). The new careerism: Origins, tenets, and

consequences. The Industrial Psychologist, 22, 39–44.

[16] Feldman, D. C., & Weitz, B. A. (1991). From the invisible hand to the

gladhand: Understanding a careerist orientation to work. Human

Resource Management, 30, 237–257.

[17] Bratton, V. K., & Kacmar, K. M. (2004). Extreme careerism: The dark

side of impression management. In R. W. Griffin & A. M. O’Leary-Kelly

(Eds.), The dark side of organizational behavior (pp. 291–308). San

Francisco, CA: Jossey-Bass, p. 296.

[18] Bratton, V. K., & Kacmar, K. M. (2004). Extreme careerism: The dark

side of impression management. In R. W. Griffin & A. M. O’Leary-Kelly

(Eds.), The dark side of organizational behavior (pp. 291–308). San

Francisco, CA: Jossey-Bass, p. 296.

[19] Bratton, V. K., & Kacmar, K. M. (2004). Extreme careerism: The dark

side of impression management. In R. W. Griffin & A. M. O’Leary-Kelly

(Eds.), The dark side of organizational behavior (pp. 291–308). San

Francisco, CA: Jossey-Bass, p. 296.

[20] D’Errico, F., Poggi, I., & Vincze, L. (2012). Discrediting signals: A

model of social evaluation to study discrediting moves in political

debates. Journal of Multimodal User Interfaces, 6, 163–178, p. 166.

doi:10.1007/s12193-012-0098-4

[21] D’Errico, F., Poggi, I., & Vincze, L. (2012). Discrediting signals: A

model of social evaluation to study discrediting moves in political

debates. Journal of Multimodal User Interfaces, 6, 163–178, p. 166.

doi:10.1007/s12193-012-0098-4

[22] Ferris, G. R., & Treadway, D. C. (Eds.). (2012). Politics in

organizations: History, construct specification, and research dimensions.

In Politics in organizations: Theory and research considerations (pp. 3–

26). New York, NY: Routledge.

[23] Hochwater, W. A., James, M., Johnson, D., & Ferris, G. R. (2004).

The interactive effects of politics perceptions and trait cynicism on work

outcomes. Journal of Leadership and Organizational Studies, 10, 44–57.

[24] Adams, G. L., Treadway, D. C., & Stepina, L. P. (2008). The role of

dispositions in politics perception formation: The predictive capacity of

negative and positive affectivity, equity sensitivity, and self-efficacy.

Journal of Managerial Issues, 20, 545–563.

[25] Ferris, G. R., Russ, G. S., & Fandt, P. M. (1990). Politics in

organizations. In R. A. Giacalone, & P. L. E. Rosendfeld (Eds.),

Impression management in the organization (pp. 143–170). Hillsdale, NJ:

Lawrence Erlbaum.

[26] Ferris, G. R., Brand, J. F., Brand, S., Rowland, K. M., Gilmore, D. C.,

King, T. R.,…& Burton, C. A. (1993). Politics and control in organizations.

Advances in Group Processes, 10, 83–111.

13.4 Outcomes of the Dark Side

LEARNING OBJECTIVES

1. Explain the relationship between social exchange theory and

organizational justice.

2. Differentiate among the three types of organizational justice and

their relationships to counterproductive workplace behavior.

3. Define workplace retaliatory behavior

4. Describe workplace alienation and its importance in retaliation.

5. Differentiate between workplace alienation and organizational

shunning.

Thus far, this chapter has discussed an array of counterproductive workplace

behaviors. This final section examines two major outcomes of these behaviors.

Specifically, we will examine issues of organizational injustice and retaliation.

Organizational Injustice

The notion of justice in the workplace was introduced in a 1949 article in the

military publication The American Soldier. [1] In this monograph, researchers

asked soldiers returning home from World War II, “In general, have you gotten a

square deal from the Army?” [2] The results indicated that the rate in which

soldiers were promoted through the army impacted how they perceived the army

itself. Those who had been more slowly promoted through the ranks (compared

to others of equal tenure within the army) were the most critical of their

experience. To help us further explore the concept, we’ll examine the three types

of organizational justice, the relationship between organizational communication

and justice, and the basic outcomes when employees perceive their organizations

as either just or unjust.

Three Types of Organizational Justice

Although the 1949 article in The American Soldier was important in starting the

discussion, the first real theorist in the area of organizational justice was George

Homans. In 1958, he suggested a new way of understanding why people behave

the way they do. His theory is now commonly referred to as social exchange

theory. [3] The premise of social exchange theory consists of four basic parts:

1. In any given situation, individuals have multiple actions they could choose.

2. Each action inherently comes with a set of costs and rewards.

3. Homans argued that humans are inherently hedonistic or selfish and will

attempt to maximize rewards while minimizing costs.

4. People will do their best to maximize profits through the behaviors they

choose (profits = rewards – costs).

Let’s look at a brief example. Imagine you’re in a job where you are getting

bullied. You have basically two options: leave or stay. If you leave, you could

get rewards (e.g., no more bullying), but there are inherent costs (e.g.,

unemployment, fear of the unknown). If you stay, there are rewards (e.g., job

stability, income) but also costs (e.g., keep getting bullied, stress, physiological

effects of bullying). Social exchange theory holds that you will look at the

potential rewards for staying in your job and subtract the costs. If you believe

that the rewards of staying are greater, then you’ll suck it up and keep your job.

Based on social exchange theory, Homans believed that justice in the workplace

was ultimately about this exchange relationship. Now that we’ve examined the

theoretical basis of organizational justice in its original conceptualization, let’s

examine the three types of organizational justice: distributive, procedural, and

interactional.

Distributive Justice

Homans was the first to truly articulate the notion of distributive justice. [4] He

applied social exchange theory to the workplace and noted that individuals are in

an exchange relationship with their employers. Within the workplace, individual

members look at one another: Is one group of people getting more from the

exchange relationship than others? Are organization leaders clearly favoring one

group? Are these favors outside established organizational norms? Imagine that

you’re working for an airline as ground crew. You’re constantly working around

heavy machinery (planes), and you feel a real sense of danger by being on the

tarmac all day (a cost). If you find out that the ticket agents inside the nice air-

conditioned terminal are making more money than you do (reward), then you

may perceive this as unjust, because as a member of the ground crew, you

clearly have the greater potential of costs than someone working in an air-

conditioned environment devoid of serious risk. If you feel you are taking on

more risk (cost) and yet receiving less pay (reward), you may start to see the

airline as unjust in its salary procedures.

Injustice occurs when individuals perceive they are putting more into their jobs

than they are getting back. Imagine now that you work for a customer service

call center. If your quota is twenty calls per hour and the person next to you is

taking only five, you would expect to make more than that other person. If you

two are receiving the same salary, even though you’re doing considerably more

work, you’ll start to see the organization as unjust. Homans argued that people

who perceive an organization as unjust will either forgo the exchange

relationship (voluntarily quit) or attempt to negotiate a more profitable bargain. [5]

Procedural Justice

John Thibaut and Laurens Walker expanded the notion of justice in the

workplace by introducing the concept of procedural justice. [6] The original

monograph published by Thibaut and Walker reported five years of research on

the fairness of legal-dispute resolutions. Comparing different types of legal

proceedings, they concluded that the supposed “fairness” of the system is

governed by what people perceive to be fair. Gerald Leventhal took Thibaut and

Walker’s research one step further and argued that procedural justice is a second

category in the justice world. [7] He defined procedural justice as “an individual’s

belief that allocative procedures which satisfy certain criteria are fair and

appropriate.” [8] Leventhal’s greatest contribution is probably his six rules of fair

procedures:

1. Consistency. Procedures should not vary across time and across persons.

2. Bias suppression. Procedures should be followed without thoughts of self-

interest or preexisting perceptions.

3. Accuracy. Procedures should be based on timely and current information to

form an accurate opinion with little chance for error.

4. Correctability. Procedures should have an appeal process when grievances

arise to modify and change decisions when appropriate.

5. Representativeness. Procedures should include a range of stakeholder input,

especially when allocation procedures involve specific individuals and

groups.

6. Ethicality. Procedures should be created in a manner that is consistent with

business ethics (e.g., truthfulness, clarity, transparency). [9]

Procedural justice is applied to organizational settings because of the notion of

allocation. In any organization, there are processes for allocating resources and

reviewing those allocations. One area of research in procedural justice is

performance appraisals, which occur when a senior organization member

provides feedback to a follower about job performance. In many organizations,

leaders may have followers they always favor with glowing performance

appraisals that lack any kind of critique. On the other hand, other followers may

be constantly criticized for every little thing they do. This lack of consistency

and clear favoritism is an example of a procedure (performance appraisal) not

being handled in a fair manner. Clearly, Leventhal’s notions of both consistency

and bias suppression would have been violated in this case.

Interactional Justice

The third form of justice identified by researchers is interactional justice. This

is the form of justice most interesting to communication scholars because of its

inherently communicative nature. Robert Bies and Joseph Moag first introduced

the notion of interactional justice because of conversations Bies was hearing

among students while working on his PhD. [10] As the story goes, Bies kept

hearing students complain that faculty were rude or misleading when discussing

course expectations. Although these statements sounded procedural in

orientation, most were clearly coupled with perceptions of interpersonal

interactions in the classroom. In their first piece on the subject of interactional

justice, Bies and Moag introduced the concept thus: “Concerns about the fairness

of interpersonal communication are representative of a set of issues dealing with

what we refer to as interactional justice. By interactional justice we mean that

people are sensitive to the quality of interpersonal treatment they receive during

the enactment of organizational procedures.” [11] Drawing on an unpublished

study by Bies, [12] Bies and Moag identified four rules for interactional justice:

1. Truthfulness. Leaders should be candid, honest, and open about the

decision-making process and procedures to avoid any perception of

deception.

2. Justification. Leaders should clearly explain how decision making is done

and how the process led to specific outcomes.

3. Respect. Leaders should treat all followers with dignity and genuineness

while avoiding any hostile communicative choices (e.g., verbal aggression,

rudeness).

4. Propriety. Leaders should avoid any forms of prejudicial or discriminatory

comments or asking questions that are inappropriate in the workplace. [13]

In subsequent research, Bies added timely feedback and consideration of

employee views to his list of behaviors that constitute interactional justice. [14]

Communication and Justice

A number of studies have explored how organizational communication variables

relate to perceptions of organizational justice. Rebecca Chory and Anne Hubbell,

for example, looked at the relationship between organizational justice and

employee trust of management. Their study examined whether or not employees

felt their most recent performance appraisals were just and how this perception

of justice impacted employee perceptions of managerial and organizational trust.

The results indicated that, yes, all three forms of justice—distributive,

procedural, and interactional—were related to both managerial and

organizational trust. Thus if you believe that performance appraisals and

resulting raises are biased, the process of your appraisal was unfair, and your

supervisor communicated with you in an unfair manner, then you aren’t going to

feel that your organization or manager is trustworthy. As discussed in multiple

places in this book, trustworthiness of a manager and organization is important

to employee morale, job satisfaction, and productivity.

In a second study, Rebecca Chory and Katherine Kingsley-Westerman wanted to

further clarify the impact of performance appraisals on perceptions of justice. [15]

To aid in this deeper analysis, they used the four dimensions of employer

feedback proposed by Deanna Geddes and Frank Linnehan—namely, clarity

(explicit versus ambiguous), constructiveness (constructive versus destructive

criticism), cognizance (informed versus uninformed feedback), and consistency

(clear versus inconsistent standards). [16] Chory and Kingsley-Westerman’s study

indicated that individuals who were provided with clear, constructive, informed,

consistent feedback (even when negative) perceived higher levels of

organizational justice. By contrast, individuals who received ambiguous,

destructive criticism that was clearly uninformed and inconsistently evaluated

perceived that the feedback provider was unjust.

Jeffrey Kassing and Zachary McDowell examined the relationship between

organizational justice and organizational dissent. [17] (For more on organizational

justice, see Chapter 4.) Their study compared managers with nonmanagers and

looked at how each group expressed dissent. Individuals in management

positions who perceived the organization as procedurally and interactionally just

were more likely to use upward dissent and less likely to use displaced dissent.

On the other hand, individuals in nonmanagerial positions who perceived their

organizations as just were not more likely to express upward dissent, but they

were less likely to express both latent and displaced dissent. In essence, this

study shows that perceptions of organizational justice have differing results

depending on whether an individual is in a management or nonmanagement

position.

Outcomes of Injustice

Much research has been conducted on the importance of organizational justice in

an organization. Table 13.4 lists just some of the major findings.

Table 13.4 Organizational Justice Outcomes

Organizational Justice Organizational Injustice

Job performance

Major counterproductive work behaviors:

• theft

• white-collar crimes

• tardiness

• sexual harassment

• verbal and physical abuse

Minor counterproductive work behaviors:

Trust in one's supervisor • taking office supplies for personal use

• using sick leave when healthy

Trust in one's organization Occupational stress

Subordinate decision acceptance Posttermination (firing or laid off) claim filing

Organizational commitment Turnover intentions

Productivity Employee absenteeism

Organizational citizenship behaviors Negative emotional displays at work

Perceptions of ethical leadership Consumer complaint behavior

Employee ethical behavior

Physiological problems

• depression

• emotional exhaustion

• negative perceptions of one’s own health

• minor psychiatric disorders

Pay-level satisfaction Workplace deviance

Social capital

Workplace bullyingEmployee empowerment

Organizational identification

When analyzing these two lists, remember that most of these results come from

studies based on questionnaires. The results are generally correlative and not

causal in nature—in other words, perceptions that an organization is just or

unjust are related to, but not necessarily the cause of, certain organizational

outcomes. Thus although we can say that there is a relationship between

perceptions of organizational injustice and workplace bullying, we cannot

conclude that the injustice causes the bullying or vice versa. Hopefully, by this

point, you can recognize that most counterproductive workplace behaviors

described earlier in this chapter will negatively impact people’s perceptions of

justice in the organization.

Retaliatory Behavior

When an individual in an organization violates rules or norms, it’s not

uncommon for others to feel that person should be punished. If someone

knowingly or unknowingly violates expectations for how organization members

should behave and communicate, that person may be subjected to what is called

retaliatory behavior. According to Daniel Skarlicki and Robert Folger,

“Retaliation refers to a person’s orientation and motivation to ‘make the

wrongdoer pay’ that is targeted toward a social actor called a transgressor. A

transgressor is someone who is accountably associated with a transgression—an

event that harms or jeopardizes a victim in some sense meaningful to the

perceiver.” [18]

In the organizational world, transgressors can resemble any of the basic

stakeholders in an organization: coworkers, leaders, boards, even entire

industries. Now, not all retaliatory behavior is negative. For example, when the

public learns an organization is knowingly polluting local water supplies, you

can be sure there will be retaliation in the form of lawsuits and protests.

Skarlicki and Folger defined organizational retaliatory behavior as “adverse

reactions to perceived unfairness by disgruntled employees toward their

employer.” [19] Their research suggests that many forms of organizational

retaliatory behavior commonly occur in the workplace:

Purposefully damaging equipment or work processes

Taking supplies home without permission

Wasting company materials

Calling in sick when not ill

Speaking poorly about the company to others

Refusing to work weekends or overtime when asked

Failing to clean up and leaving an unnecessary mess

Disobeying supervisory instructions

Talking back to a boss

Gossiping about the boss

Spreading rumors about coworkers

Giving a coworker the “silent treatment”

Withholding required information from coworkers

Trying to look busy while wasting time

Taking an extended coffee or lunch break

Intentionally working slower

Spending time on personal matters while at work [20]

According to Sharlicki and Folger, such retaliatory actions serve five functions: [21] (1) Retaliatory behavior can help restore a material balance between

individuals; if a coworker feels wronged, retaliation balances out the scorecard.

(2) Retaliation can help educate offenders who have been caught breaking

organizational norms or rules. (3) Retaliation can help restore perceived justice;

if an employee is yelled at unjustly by a manager, he or she may engage in

retaliatory behavior as a way to make up for the perceived injustice. (4) If

someone’s counterproductive workplace behavior threatens organizational

resources (e.g., embezzling, stealing, inappropriate time management),

coworkers may be outraged and feel a need to retaliate against that individual.

(5) If a coworker threatens the larger organizational culture or social values of an

organization or the larger society, individuals may feel it necessary to retaliate in

an effort to ensure that the rules and norms are not further violated.

When workplace retaliation gets too problematic, however, it can lead to a range

of other behaviors designed to isolate and ostracize the individual from the larger

collective. Let’s examine two types of ostracizing behaviors commonly found in

organizations: workplace alienation and organizational shunning.

Workplace Alienation

Robert Blauner was the first scholar to really take up the notion of workplace

alienation. [22] Jeffrey Leiter expanded on Blauner’s research by noting four

ways that alienation can happen in the workplace: powerlessness,

meaninglessness, social isolation, and self-estrangement. [23]

First, Blauner noticed that some employees experience a sense of powerlessness

as a result of workplace alienation. Powerlessness generally manifests in two

forms: rhythm of work and quality/technique of work. Rhythm of work refers

to the speed at which one is expected to work and one’s physical movements

while at work. Quality/technique of work generally refers to someone being

ordered to perform work a certain way and to a certain level of quality (you can

think of this as micromanagement).

Second, Blauner demonstrated that workers can become alienated as they

perceive the work to be meaningless. By meaningless, Blauner referred to the

extent an individual feels connected to an organization, its processes, and its

products or services. Workers who feel they aren’t being given new and

challenging tasks may perceive the working environment as taxing and mind

numbing. One of our coauthors had a student who was hired to work for a

company that made the plastic lids that go on the top of soda products. Her job

was to look for defects as the lids came off the line and then stack them in a box.

Can you imagine stacking plastic lids in a box for eight hours with only two

twenty-minute breaks? The student lasted a week.

Third, individuals can feel alienated from an organization when they feel

socially ostracized from other organization members. Such ostracism, Blauner

posited, can happen on two fronts. Bureaucratic structures may prevent social

interaction or punish individuals who interact “too much” with coworkers. One

of our coauthors was working in a hospital setting when the CEO informed the

staff that he didn’t like them gathering in the morning around the coffeepot. It

looked to him as though they didn’t have enough work to do. From that moment

on, the workers became increasingly hostile toward the CEO. In addition,

however, workers themselves can socially ostracize those with whom they have

a problem.

Ostracism is the exclusion of someone from a group. In the case of

organizations, social ostracism can be passive or active. Passive ostracism occurs

when individuals are simply left out of group social interactions with no

malicious intent; active ostracism occurs when coworkers purposely isolate

someone from social interactions. Thus, for example, all the employees decide to

go out together for lunch but neglect to invite a new employee (passive

ostracism) and pointedly snub the extreme careerist in their midst (active

ostracism).

Patricia Sias and Tara Perry [24] proposed three categories for active ostracism:

depersonalization, state-of-the-relationship talk, and cost escalation.

Depersonalization is the “tactics an individual uses to avoid interaction regarding

personal issues with a coworker and socializing with a coworker outside of

work.” [25] Examples might include decreasing the amount of casual

communication with a coworker, increasing distance at work, and not “hanging

out” with the coworker after work. State-of-the-relationship talk is the “tactics an

individual uses to directly discuss the nature of the relationship and its

impending transformation to something else.” [26] Examples might include

telling the coworker the relationship is over, explaining the changing nature of

the relationship to the coworker, and discussing the relationship directly with the

coworker. Lastly, cost escalation is the “tactics an individual uses when behaving

in an intentionally negative way toward a relationship partner.” [27] Examples

might include talking to the coworker in a condescending tone, criticizing the

coworker, and talking about the coworker behind her or his back.

The final form of workplace alienation is self-estrangement, which occurs when

individuals mentally alienate themselves from their work and their coworkers.

Blauner explained that when a job doesn’t allow someone to express her or his

“unique abilities, potentialities, or personality of the coworker,” she or he won’t

be satisfied. [28] Ultimately, these workers see work as a means of making a

living (similar to the organizational orientation of indifference discussed in

Chapter 10).

Organizational Shunning

More recently, “organizational shunning” has been identified as an outcome of

counterproductive workplace behaviors. Howard Zimmerle coined the term to

describe what occurs when an employee or group of employees purposely cuts

off a coworker from all forms of communication. [29] Quite often, the shunning

starts with one individual who then encourages others to join the shunning

bandwagon. Obviously, a shunned coworker is cut off from both social

interactions and the information that is necessary to do her or his job. Zimmerle

argued that shunning should fall under Title VII of the Civil Rights Act of 1964,

which prohibits employment discrimination based on race, color, religion, sex,

and national origin. However, case law on this subject has been mixed.

Janice Anderson, on the other hand, sees organizational shunning as something

more inherently problematic and the outcome of employee abusive

organizations. [30] According to Anderson, “Organizational shunning, this

analysis indicates, is not a passive process marked only by the absence of

tangible rewards, recognition, or interaction. Instead, shunning is marked by the

presence of specific symbolic constructions which systematically distort

communication, creating ‘morality tales’ that vividly illustrate the consequences

of questioning the deep structure of power relationships within a discourse

community.” [31]

From this perspective, organizational shunning occurs slowly over time. In fact,

from the interviews that Anderson conducted, most shunned coworkers could

not point to a single defining moment that initiated the shunning process.

Instead, the shunning happened over a period of time until, suddenly, the

individual clearly realized that he or she was an outsider looking in. The basic

process of shunning is an interesting one and highly tied to critical perspectives

on organizational communication. In essence, an organization member violates

rules or norms, typically in the form of questioning the deep structures that exist

within the organization (see the discussion of critical theory in Chapter 4).

Obviously, organizations and their members like equilibrium. When someone

dares to question the prevailing, dominant views of the structures in the

organization, that individual is seen as a threat to the organization itself.

Consider an example we used in Chapter 4. If someone complains that the

annual employee awards luncheon is really a sham that only celebrates values

that perpetuate management interests, coworkers who look forward to the event

may ask why the “malcontent” can’t just relax and join in the fun (plus the free

food and time off from work). Over time, the “outliers” who question the

organization’s basic assumptions become ostracized and eventually shunned.

The shunning part is less about the person being shunned and more about acting

out a morality tale for others. Think of the example in The Scarlet Letter by

Nathaniel Hawthorne. In the novel, Hester Prynne has a child out of wedlock.

Because Hester was not married, she was forced to wear a scarlet letter “A” on

her chest indicating that she was an adulteress. The scarlet letter is less a

reminder for Hester Prynne than it is a reminder for all those around Hester

about the ramifications of adultery within Puritan society. In the same way,

shunned members in an organization become highly symbolic tales of what

happens to someone who dares violate the sanctity of deep organizational

structures. In this way, older organization members can socialize new and

younger members by pointing to the shunned member as a case study of what

happens if they “get out of line.”

KEY TAKEAWAY

George Homans proposed social exchange theory as a way to

understand why people make specific choices. The theory

consists of four basic tenets: (1) in any given situation, individuals

have multiple actions they could choose, (2) action inherently

comes with a set of costs and rewards, (3) humans are inherently

selfish and want to maximize rewards while minimizing costs, and

(4) humans try to maximize profits (profits = rewards – costs).

From this notion, Homans argued that when individuals work, they

expect the rewards from their work to be greater than the

perceived costs. Furthermore, people expected to receive greater

rewards for harder (or more dangerous) work.

There are three basic forms of organizational justice: (1)

distributive, (2) procedural, and (3) interactional. Distributive

justice refers to Homans’s original idea that individuals in a work

environment expect their rewards to be greater than their costs.

Procedural justice refers to worker perceptions of whether or not

organizational policies and procedures are applied in consistent,

unbiased ways. Interactional justice refers to the degree to which

someone is treated with dignity, sensitivity, and respect during the

decision-making process. Organizations perceived as unjust lead

to a number of negative outcomes for the organization (e.g.,

counterproductive workplace behavior, absenteeism, turnover,

workplace bullying). Organizations perceived as just lead to a

number of positive outcomes for the organization (e.g., ethical

behavior, productivity, organizational citizenship behaviors, trust).

Organizational retaliatory behavior refers to adverse reactions

taken by disgruntled employees in response to a perceived injury

or wrongdoing to an organization and/or its members by another

organization member.

Workplace alienation refers to an individual’s perception of

powerlessness or separation from the organization and its

members. There are four common forms of workplace alienation:

powerlessness (rhythm of work and quality of work),

meaninglessness (connection to work and products/services),

social isolation (ostracism), and self-estrangement (personal

decision to isolate oneself).

Organizational shunning occurs when an organization member

violates rules or norms, typically in the form of questioning the

deep structures that exist within the organization. Shunned

members within an organization become highly symbolic morality

tales of what happens to someone who dares violate the sanctity

of organizational deep structures. Shunning differs from

workplace alienation because of the morality-tale function of the

shunning.

Quality/Technique Of Work:

Rhythm Of Work:

Distributive Justice:

Interactional Justice:

Meaningless:

Organizational Retaliatory Behavior:

EXERCISES

1. Listen to the podcast interview with Joel

Brockner (http://tinyurl.com/mqxdvoq) as he discusses his

research on procedural fairness (justice). After listening to the

podcast, how can you apply Dr. Brockner’s research to your

organization? Why do you think some organizations have a

problem understanding the importance of procedural justice?

2. Do you agree with the differentiation between the concepts of

workplace alienation and shunning? Why or why not? How would

you reframe this difference?

KEY TERMS AND DEFINITIONS

The degree to which someone is clearly dictated how work should be completed and to what level of quality.

The speed at which one is expected to work and one’s physical movements while at work.

The apportionment of rewards is maximized in comparison to the perceived costs.

The degree to which someone is treated with dignity, sensitivity, and respect during the decision-making process.

Factor leading to workplace alienation based on the extent to which an individual feels connected with organizational products/services and processes along with general identification with the organization.

Adverse reactions of disgruntled employees in response to a perceived injury or wrongdoing to an

Ostracism:

Procedural Justice:

Self-Estrangement:

Social Isolation:

Stress:

Workplace Alienation:

organization and/or its members by another organization member.

Exclusion of an organization member by other members from social acceptance, which occurs as a result of organizational structures or perceived wrongdoing of the organization member.

The idea that the processes and decision making involved in resolving disputes and allocating resources is fair.

Factor leading to workplace alienation in which someone mentally alienates herself or himself from the work at hand and from coworkers.

Factor leading to workplace alienation in which an individual is separated from the rest of the organization members.

The cognitive, affective, or physical strain or tension producing mental tension or physiological reactions that disturb the body’s normal state of functioning.

Perception of powerlessness or separation from one’s organization and its members.

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pp. 43–55). Greenwich, CT: JAI Press, p. 44. Emphasis in original.

[12] Bies, R. J. (1986). Individual reactions to corporate recruiting

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(Eds.), Research on negotiations in organizations (Vol. 1, pp. 43–55).

Greenwich, CT: JAI Press.

[13] Bies, R. J., & Moag, J. S. (1986). Interactional justice:

Communication criteria of fairness. In R. J. Lewicki, B. H. Sheppard, & M.

G. Bazerman (Eds.), Research on negotiations in organizations (Vol. 1,

pp. 43–55). Greenwich, CT: JAI Press.

[14] Folger, R., & Bies, R. J. (1989). Managerial responsibilities and

procedural justice. Responsibilities and Rights Journal, 2, 79–89.

[15] Chory, R. M., & Kingsley-Westerman, C. Y. (2009). Feedback and

fairness: The relationship between negative performance feedback and

organizational justice. Western Journal of Communication, 73, 157–181.

doi:10.1080/10570310902856055

[16] Geddes, D., & Linnehan, F. (1996). Exploring the dimensionality of

positive and negative performance feedback. Communication Quarterly,

44, 326–344.

[17] Kassing, J. W., & McDowell, Z. J. (2008). Disagreeing about what’s

fair: Exploring the relationship between perceptions of justice and

employee dissent. Communication Research Reports, 25, 34–43.

doi:10.1080/08824090701831784

[18] Skarlicki, D. P., & Folger, R. (2004). Broadening or understanding of

organizational retaliatory behavior. In R. W. Griffin & A. M. O’Leary-Kelly

(Eds.), The dark side of organizational behavior (pp. 373–402). San

Francisco, CA: Jossey-Bass.

[19] Skarlicki, D. P., & Folger, R. (1997). Retaliation in the workplace: The

roles of distributive, procedural, and interactional justice. Journal of

Applied Psychology, 82, 434–443, p. 376. doi:10.1037/0021-

9010.82.3.434

[20] Skarlicki, D. P., & Folger, R. (1997). Retaliation in the workplace: The

roles of distributive, procedural, and interactional justice. Journal of

Applied Psychology, 82, 434–443, p. 438. doi:10.1037/0021-

9010.82.3.434

[21] Skarlicki, D. P., & Folger, R. (2004). Broadening or understanding of

organizational retaliatory behavior. In R. W. Griffin & A. M. O’Leary-Kelly

(Eds.), The dark side of organizational behavior (pp. 373–402). San

Francisco, CA: Jossey-Bass.

[22] Blauner, R. (1964). Alienation and freedom: The factory worker and

his industry. Chicago, IL: University of Chicago Press.

[23] Leiter, J. (1985). Work alienation in the textile industry: Reassessing

Blauner. Work and Occupations, 12, 479–498.

[24] Sias, P. M., & Perry, T. (2004). Disengaging from workplace

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589–602.

[25] Sias, P. M., & Perry, T. (2004). Disengaging from workplace

relationships: A research note. Human Communication Research, 30,

589–602, p. 596.

[26] Sias, P. M., & Perry, T. (2004). Disengaging from workplace

relationships: A research note. Human Communication Research, 30,

589–602, p. 596.

[27] Sias, P. M., & Perry, T. (2004). Disengaging from workplace

relationships: A research note. Human Communication Research, 30,

589–602, p. 596.

[28] Blauner, R. (1964). Alienation and freedom: The factory worker and

his industry. Chicago, IL: University of Chicago Press, p. 26.

[29] Zimmerle, H. (2005). Common sense v. the EEOC: Co-worker

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doi:10.1080/15456870802506140

[31] Anderson, J. W. (2009). Organizational shunning: The disciplinary

functions of “non-sense.” Atlantic Journal of Communication, 17, 36–50,

p. 37. doi:10.1080/15456870802506140

13.5 Chapter Exercises

REAL-WORLD CASE STUDY

The following case of bullying in the workplace is based on a series

of real incidents. A few of the details have been altered to protect

the identity of the individual involved.

Candice was a top lawyer at a prestigious law firm. Although her

husband was considered the top litigator in their area of

specialization, Candice was consistently ranked in the top five and

was definitely the top female litigator. In the mid-1990s, she went to

another law firm for a brief period to try to right that ship, but the

environment was so toxic she came back to her previous firm. Even

while she had left the state to work at the other law firm, she

remained a full partner with voting rights at the previous firm.

Dan was a junior lawyer who started work at the law firm in 1999

and quickly became fast friends with Candice and her husband,

Paul. Although Dan was only a junior associate, he was quickly

asked to take on more and more cases and started working very

closely with both Candice and Paul.

The other partners in the firm were a bunch of highly driven,

testosterone-riddled men, who were second-tier litigators slowly but

surely making a name for themselves in the legal community. The

bullying started simply. When the senior leadership within the firm

underwent a change, Harold (a long-standing partner) took over the

enterprise and started assigning duties and cases. First, Harold took

Candice off cases and gave them to lawyers who weren’t even

named partners. Unfortunately, Candice had no recourse because

her and Paul’s votes in the partner meetings were outnumbered by

the younger partners. Harold even took away the day-to-day

operations of the firm’s pro bono legal office, which had been

Candice’s idea and “baby” for more than twenty years. Harold gave

the pro bono legal work to one of his underlings who had only been

with the firm for about two years, telling Candice, “We just need a

change.”

Shortly thereafter, Dan was sitting in the conference room with a

variety of male partners and nonpartners and the subject of Candice

arose. Harold was the most vicious of the group, at one point

commenting that he kept waiting to see when Candice would have a

nervous breakdown. Another lawyer proposed that the group start

placing bets and recommend they create a “crack pot” with bets

predicting when Candice would finally “crack up.”

Dan found himself later that afternoon in a meeting with Candice

and had to tell her what he’d overheard. Obviously, she was mad,

but her reaction surprised Dan. “Dan, that behavior has been going

on for years. I’m just glad they’re targeting me and not my husband.

He still thinks those jerks are his friends.”

1. Would you consider this case workplace bullying? Why or why

not?

2. What type of counterproductive work behaviors can you identify in

this case?

3. Are you surprised that this type of behavior happens in a

professional environment?

REAL-WORLD CASE STUDY

The following case of bullying in the workplace is based on a series

of real incidents. A few of the details have been altered to protect

the identity of the individual involved.

Paula was a first-year emergency medical resident working at Mercy

Hospital. She’d dreamed of becoming a physician and had gone

through medical school with an A average in addition to being

married and having two children.

On the start of her first surgical rotation, she was in for a rude

awakening. Dr. Phillys Mae was known to be cutthroat and didn’t

have much of a personality. She had no problem belittling medical

students, residents, other physicians, nurses, or her patients.

Although Dr. Mae’s personality and temperament were notoriously

problematic, she was an amazing surgeon, so pretty much everyone

just looked the other way when her people skills were called into

question.

On the first day Paula worked with Dr. Mae, Dr. Mae asked her to

present the case. Paula took the medical chart from the bed and

quickly started summarizing the case, “Donna Biech…presented

with…”

Dr. Mae cut her off, saying, “I really don’t need her name, just the

case.”

Paula continued, “The patient presented with pain behind her belly

button last night around 4:30 in the morning. She was brought into

the emergency room and was quickly diagnosed with appendicitis,

which was when they called you and the OR team to prep for

surgery.”

Paula was about to continue when Dr. Mae cut her off. “Dear God,

woman, your voice is utterly annoying. Just stop talking.” Dr. Mae

grabbed the chart and gave it to the other medical resident on duty

and told him to pick up where Paula had left off.

Paula was humiliated, but she’d been warned about Dr. Mae’s

temper, so it really didn’t surprise her that she was getting a little

hazing from the woman on her first day. She kept it together and

followed Dr. Mae out of the room when she abruptly left, refusing to

answer the patient’s questions.

After scrubbing for surgery, Dr. Mae seemed in better spirits. All of

the rumors about Dr. Mae were right…she was a brilliant surgeon.

She turned a simple appendectomy into a masterpiece. At one point

during the surgery, Paula noticed Dr. Mae doing a technique she’d

never seen in medical school. Without thinking she spoke, “Dr. Mae,

what are you doing exactly? I’ve never seen that technique before.”

Dr. Mae peered at Paula from behind her glasses. In one quick

movement, she picked up a scalpel from a nearby tray and threw it

over Paula’s head. “I said no talking! Out of my OR. I don’t ever

want to hear or see you again on my service.”

Paula just stood frozen, but the other resident gave her a quick look

that said “Run!” and the surgical team averted their gazes, though

the anesthesiologist gave her a shrug. “I said OUT!” Paula didn’t

even look at Dr. Mae, she just turned and ran.

1. Do you think it’s appropriate for an organization to turn a blind eye

to workplace bullying when it’s a top performer who perpetrates

the bullying?

2. Are there are ever times when workplace bullying should be

allowed?

3. If you were Paula, what would you do?

4. If you were the head of human resources and this story was

communicated to you, how would you proceed?

END-OF-CHAPTER ASSESSMENT

1. During the middle of a heated discussion at work, Darlene finally looks at Joe and says, “I can’t believe you’re such an idiot on this topic! Anyone with half a brain could easily see that my way of finishing the project would get us done in half the time!” What form of counterproductive workplace behavior is Darlene exhibiting?

a. bullying b. verbal aggression c. argumentativeness d. harassment e. retaliation

2. According to Michell Gelfand, Jana Raver, Lisa Nishii, and Benjamin Schneider’s basic model of organizational discrimination, at what point does leadership impact discriminatory practices in the workplace?

a. inputs b. individuals and groups c. organization level d. communication e. outputs

3. Which of the following categories is not protected under

current federal discrimination law in the United States?

a. genetic information b. age c. disability d. sexual orientation e. pregnancy

4. In a meeting about taking on a potential new client, Tommy leans over to Darla and says, “I wouldn’t pay attention to anything Lindsay has to say on this topic. That woman’s completely certifiable. I mean, come on, she’s been locked up in a mental institution before.” What form of discrediting is Tommy using?

a. accusation b. criticism c. insult d. verbal aggression e. intimidation

5. During a performance appraisal, Robert felt his supervisor was belittling and not sympathetic at all. What type of injustice is Robert experiencing?

a. distributive b. affect c. process oriented d. procedural e. interactional

Answer Key

1. b

2. c

3. d

4. c

5. e

Chapter 14

Corporate Communications: Communicating with External Stakeholders

A Systems Perspective

Theories of organization have, as we saw in Chapter 3 and Chapter 4, moved

from classical conceptions of the organization as a closed system to modern

conceptions of the organization as situated in—and dynamically interacting with

—the larger environment. A century ago, theorists likened the organization to a

machine: by controlling inputs, you can control the outputs. Then half a century

ago, as systems theory was first applied to organizations, a new metaphor was

proposed: an organization is like a biological organism with permeable

boundaries that permit resources and information to be exchanged with the

environment.

But when an organization is boosting its public image, advocating public

policies, dealing with crises, or launching new products, managers and staff are

not thinking about theory. They are thinking about public relations, marketing,

and advertising—terms that we will define in a moment. Today, with the rise of

social media and the 24/7 news cycle, organizations are communicating with—

or as systems theory would have it, exchanging information with—their

environments as never before. Mary Hoffman and Debra Ford broke down

organizational rhetoric aimed at external audiences into four categories: (1)

identity rhetoric to create and sustain the organization’s public image, (2) issues

rhetoric to manage opinion on issues that affect the organization, (3) risk

rhetoric to persuade the public that risks posed by organization actions or

decisions are acceptable or promise greater benefits, and (4) crisis rhetoric to

deal with unexpected events that threaten the organization. [1]

When you think of an organization as an open system that exchanges resources

with its environment to survive, resource dependency theory provides a good

framework for understanding why organizations engage in public relations,

marketing, and advertising. [2] In applying the theory to public relations, Grunig,

Grunig, and Ehling contended that an organization engages in external

communication because (1) it needs various resources, but (2) some are not

under its control, so that (3) the organization must cultivate beneficial relations

with those who control the resources. [3] These resources may range from raw

materials and industrial technologies to expansion capital (controlled by

investors), business-friendly regulations (controlled by government agencies),

parts and supplies (controlled by vendors and distributors), retail spending

(controlled by consumers), and goodwill (controlled by the public at large).

Think of the college or university you attend. What resources does it need?

Which resources are not under its control? Who, then, controls the resources?

External communications designed to secure those resources take numerous

forms: student recruitment (to secure tuition dollars), faculty recruitment (to

secure knowledge and expertise), grant applications (to secure research funding),

lobbying (to secure state budget allocations), advocacy (to secure public support

for higher education spending), community engagement (to secure goodwill

from local officials and residents), and much more.

These external outreaches are often lumped under names such as “corporate

communications” and “strategic communication.” An approach that has gained

ground since the 1990s is called integrated marketing communication (IMC) and

has “become standard for marketing organizations, agencies, and the academic

community.” [4] The idea behind IMC is simple. All external organizational

communications can draw on the same databases to target specific consumer

categories, to craft focused messages, to identify appropriate channels, and to

send the messages through various approaches—that is, a combination of public

relations, marketing, and advertising. Nevertheless, practitioners and scholars

increasingly realize that each type of outreach is its own discipline, with its own

challenges and own set of skills needed to succeed. This chapter will be guided

by the shorthand definitions shown in Table 14.1.

Table 14.1 Public Relations, Marketing, and Advertising

Activity Purpose Target Channel

Public

Relations

Manage relationships with the publics

of the organization

Potentially all publics and not

just consumers

Primarily

uncontrolled

media*

Marketing Promote a product or service to

targeted consumers Primarily consumers

Primarily

controlled media†

Advertising Influence the behavior of targeted

consumers Primarily consumers

Primarily

controlled media†

*Media in which the organization does not control the content, placement, and

frequency of the message

†Media in which the organization pays to control the content, placement, and

frequency of the message

In the remainder of this chapter, we explore public relations in Section 1, and

then marketing and advertising—since both primarily target consumers and both

use controlled media—in Section 2. Because this is a textbook on organizational

communication and not on IMC, we will skip much of the theory (e.g., consumer

psychology) and the nitty-gritty (e.g., statistical modeling). Instead, the chapter

will focus on certain basics about public relations, marketing, and advertising

that you should know to grasp at least the outlines of external organizational

communications. And though we have defined public relations, marketing, and

advertising as different disciplines, they do have something important in

common. Each is practiced through a four-step process of research, planning,

communication, and evaluation. Thus these four steps provide a productive way

to organize each of the following sections.

KEY TERMS AND DEFINITIONS

Advertising:

Marketing:

Public Relations:

Communications, primarily through controlled media, aimed at influencing the behavior of targeted consumers.

Communications, primarily through controlled media, that promote a product or service to targeted consumers.

Communications, primarily through uncontrolled media, aimed at managing relationships with an organization’s publics.

[1] Hoffman, M. F., & Ford, D. J. (2010). Organizational rhetoric:

Situations and strategies. Thousand Oaks, CA: Sage.

[2] Pfeffer, J., & Salancik, G. (1978). The external control of

organizations: A resource dependence perspective. New York, NY:

Harper & Row.

[3] Grunig, L. A., Grunig, J. E., & Ehling, W. P. (1992). What is an

effective organization? In J. E. Grunig (Ed.), Excellence in public relations

and communication management (pp. 65–90). Hillsdale, NJ: Erlbaum.

[4] Kitchen, P. J., Kim, I., & Schultz, D. E. (2008). Integration marketing

communications: Practice leads theory. Journal of Advertising Research,

48, 531–546, p. 531.

Public Relations

LEARNING OBJECTIVES

Understand how public relations begins with research to ascertain

who are the organization’s stakeholders, what is currently being

done to manage relations with them, what needs to be done, and

how they can be reached.

Delineate the steps of writing a public relations plan, from

situation analysis to formulating goals, objectives, strategies, and

Identify major theories of mass communication, persuasion, and

public opinion formation and change.

Understand how evaluation of public relations not only occurs at

the end of a campaign but is ongoing through every phase.

What is public relations? Even forty years ago, one scholar surveyed the

literature and catalogued nearly five hundred definitions. [1] Scott Cutlip has

traced the antecedents of modern public relations as far back as the colonial era.

Yet as Cutlip chronicled, modern milestones include the founding in 1900 of

the first public relations agency, the federal government’s formation of a

committee to coordinate US propaganda during World War I (1914–18), and the

Crystallizing Public Opinion in which author Edward Bernays for the

first time used the term public relations to describe the profession in its modern

By the postwar years of the 1950s, public relations was not only a

recognized career field but also firmly entrenched in popular culture. Even then,

major motion pictures such as The Man in the Gray Flannel Suit and Sweet

explored the practice of public relations and the ethics of using

the media to make or break the image of a company or public figure. More than

fifty years later, public relations continues to be a hot topic at the movies with

Thank You for Smoking and Hancock.

The Public Relations Society of America (PRSA) puts the start of the profession

in the pre-1900 era and charts it through successive eras: the Progressive Era

(1900–1916) and then the First World War (1917–18), the boom times of the

1920s, the Roosevelt era (1930–45) of the Depression and Second World War

when mass media became a force, the postwar years (1946–64) when public

relations practice became professionalized, the era of social protest and power to

the people (1965–85), and the present era of globalization and digitization. [4] As

public relations grew to become a fact of modern life, so have scholars sought to

understand it. One long-standing paradigm looks at public relations as “strategic

communication,” an approach that emphasizes the goal-oriented nature of the

discipline and thus facilitates research and planning. The leading paradigm

today, however, is the relationship management approach. [5] This perspective

emphasizes the aspect that public relations is a two-way conversation among

equals, a means for organizations to dialogue with their publics and together

resolve issues in ways that address the interests of all. PRSA usefully combines

the two concepts in its widely accepted definition: “Public relations is a strategic

communication process that builds mutually beneficial relationships between

organizations and their publics.” [6] One influential model of public relations,

summarized in Table 14.2, draws on systems theory and distinguishes

“symmetrical” communications between an organization and its public from

“asymmetrical” communications. [7]

Grunig and Grunig's Four Models of Public Relations

Focus Historical

Era(s) Developments

Gain publicity and

media coverage for

the organization

Pre-1900

Heroes (Andrew Jackson, Daniel Boone) and

showmen (P. T. Barnum, Buffalo Bill) hired

agents to get them press coverage.

Disseminate

information about

the organization

Progressive

Era (1900-

1916)

To answer charges from muckraking

journalists, leaders hired their own

journalists-in-residence.

Persuade publics to

accept the

organization’s view

From World

War (1917-

18)

Booming

Twenties

(1919-29)

Roosevelt Era

Some practitioners began basing public

relations on behavioral science, seeking

information from the public to better persuade

them.

(1930-45)

Resolve conflicts

between the

organization and its

publics

Postwar Era

(1946-64)

Social Protest

Era (1965-85)

Global/Digital

Era (1986-

present)

Some academics began to question the

asymmetry inherent in prevailing public

relations practice and argued for more

balance.

Note: All four models continue to be practiced, but, Grunig and Grunig argue,

two-way symmetry should be normative.

Step 1: Research

Recall that public relations communication is a four-step process: research

planning, communication, evaluation. Thus the public relations practitioner

begins by researching needs, planning how they may be addressed, executing the

communication tactics chosen, and evaluating results. Research must take up

these questions: What are the publics of the organization? What is the

organization currently doing to manage relations with those publics? What

messages can foster productive relations with those publics? What channels are

available to convey those messages? Let us explore each of these questions in

Who Are Our Publics?

Earlier we encountered resource dependency theory, or the idea that

organizations need resources, some of these resources are not controlled by the

organization, hence the organization must productively manage its relations with

those who control the resources it needs. So one way to determine the publics

that an organization should reach is to ask the following: Who controls resources

—from materials and technologies, to capital and labor, to tax policies and

general goodwill—that the organization needs? Another common approach—

found in the title of this chapter—is to cast an organization’s publics as its

, or those who have a stake in the organization. And as we have

done in this textbook, stakeholders can be broadly divided into internal

external stakeholders. (There is more information on

stakeholders in Chapter 5.) Figure 14.1 depicts how an organization might take

stock of resources it needs and lists key publics with whom it must productively

The Publics of an Organization

Of course, crafting an effective public relations campaign requires more than

simply identifying the target publics. The organization must do research to learn

each stakeholder group. David Guth and Charles Marsh [8] suggest this

research boils down to seven questions:

organization’s dependence on a given public?

What is that public’s stake in the organization?

Who shapes opinions and makes decisions for that public?

demographics (age, gender, income, education, family status,

ethnic background, education level, etc.) of that public?

psychographics (lifestyle, political preferences, religious

preferences, etc.) of that public?

What is that public’s opinion of the organization?

What is that public’s opinion of the issue under discussion?

Answers to these questions provide a baseline for evaluating the results of a

public relations campaign and gauging how stakeholders’ views have changed.

Finding the answers can be pursued through numerous research strategies. You

are likely familiar with secondary research, or consulting secondhand sources

such as books, articles and studies, or government census reports and labor

statistics, which furnish data about the stakeholder group in question. Much of

an organization’s work, however, will require primary research from original

sources. This may include reviewing feedback from stakeholders—letters and e-

mails the organization has received, comments on its Facebook page and in other

social media, visits to its websites, customer satisfaction surveys, and more. New

data about the stakeholder group can be generated through scientific surveys

(whether in person, online, or by phone, mail, or e-mail), one-on-one interviews,

and focus groups. In the latter method, the organization brings together a small

group of eight to twelve people with a moderator, who asks general questions

and allows participants to respond freely. Survey research, then, generates

quantitative data about stakeholders’ behaviors and attitudes, while focus groups

generate qualitative data that can delve more deeply into stakeholders’

underlying beliefs and values. While scientifically conducted surveys can poll a

large number of respondents and yield data that can be statistically confirmed,

focus groups offer the opportunity to ask follow-up questions and to allow

participants to expand upon their responses.

What Are We Already Doing?

Just as the organization can survey members of its various publics, the

organization can survey itself through a communication audit that takes stock of

current public relations efforts. Such an audit can begin with a simple

spreadsheet that lists each public and the media currently being used to manage

relations with them. For example, a nonprofit organization concerned about

donations might make a spreadsheet like this:

General website

Monthly e-mails

Monthly magazine

Quarterly newsletter

Insider newsletter

Feacebook messages

Appeal Letters

Gift offers

X X X

X X X X X X

X X X X X X X

X X X X X X X

X X X

Another self-diagnostic tool, around since the 1960s, is the SWOT analysis of an

organization’s strengths, weaknesses, opportunities, and threats. [9] The same

nonprofit that generated the preceding spreadsheet could also have constructed

the following SWOT analysis of its donor communications:

The organization has a well-defined,

multilevel approach to donor

Donors are segmented by level; some

donor communications are specifically

targeted to each level.

A scheduled rotation (monthly,

communications is well

Weaknesses

Communications (website, magazine, newsletter)

that go to all donor segments do not contain

messages customized to each.

The organization engages in no personalized or

face-to-face donor communication (e.g., phone

calls, personal e-mails, local events).

Use of social media is limited.

The website, magazine, and newsletter

can incorporate some content targeted to

the various donor segments.

Personalized and face-to-face

communications with donors can be

Threats

New donor communication strategies must be

paid for from anticipated increases in giving.

Other nonprofit groups’ increased use of social

media puts pressure on our organization to keep

up or else appear outdated.

The organization can become a leader

among similar nonprofits by using more

Social media is increasing the “clutter” of

messages that donors receive.

What Messages Are Needed?

William James, the American pragmatist philosopher (whose contemporaries,

Charles Horton Cooley and George Herbert Mead, we met in Chapter 4), is

reputed to have said: “Whenever two people meet, there are really six people

present. There is each man [sic] as he sees himself, each man as the other person

sees him, and each man as he really is.” [10] Various scholars have updated this

aphorism for public relations practitioners by describing coorientation as a

productive framework for aligning an organization’s messages with its

stakeholders’ concerns. [11] The coorientation process starts by addressing four

questions for a given issue:

What is the view of the organization?

What is the view of the stakeholder group?

What does the organization think that the stakeholders think?

What do stakeholders think that the organization thinks?

The coorientation theory of public relations posits four variables:

If the organization and stakeholder group share similar evaluations of an

issue, they have attained agreement.

If they share similar conceptualizations of the issue, they have attained

understanding.

If each believes it has interests similar to the other, they have attained

If their perceptions of each other are correct, they have attained accuracy.

These four variables can aid an organization in gauging how close, or how far

apart, its perceptions are from a given public. The coorientation model is

represented in Figure 14.2.

The Coorientation Model

As we saw in Chapter 6, when reviewing organizational rhetoric, organizations

rhetorical situations—four external and one internal—or situations that

call for a rhetorical response. According to the typology of Mary Hoffman and

Debra Ford, these situations are the organization’s needs to create and maintain

its identity, manage issues, manage risks, manage crises, and (internally) manage

its members, which was originally discussed in Chapter 6. [12] In the research

phase of a public relations campaign, an organization that applied the

coorientation model to each of these five rhetorical situations might be guided by

a series of coorientating questions in crafting its messages. Examples of these

questions are suggested in Table 14.3, where Hoffman and Ford’s typology of

organizational rhetoric is blended with the coorientation model long familiar to

public relations practitioners and scholars.

Rhetorical Situations and Coorientation

Organizational Goal Coorientation

Create a strong and positive identity distinct from

other organizations

• How does a given stakeholder group

evaluate our organizational identity? Is

their evaluation similar to ours?

• How do the stakeholders conceive of

our identity? Is their conception

similar to ours?

• Are our interests similar to those of

stakeholders? Are we correct in this

assessment?

• Are stakeholder interests similar to

ours? If so, do they see this correctly?

Define issues (e.g., proposed legislation or

regulation) in ways that are favorable to the

organization

• How does a given stakeholder group

evaluate the issue in question? Is their

evaluation similar to ours?

• How do the stakeholders conceive of

the issue? Is their conception similar to

ours?

• Are our interests in this issue similar

to those of stakeholders? Are we

correct in this assessment?

• Are stakeholder interests in this issue

similar to ours? If so, do they see this

correctly?

Persuade audiences that a given risk is acceptably

low or that the benefits of action outweigh the costs

• How does a given stakeholder group

evaluate the risk in question? Is their

evaluation similar to ours?

• How do the stakeholders conceive of

the risk? Is their conception similar to

ours?

• Are our interests in managing this

risk similar to those of stakeholders?

Are we correct in this assessment?

• Are stakeholders’ interests regarding

the risk similar to ours? If so, do they

see this correctly?

Deal favorably with unexpected events that create

uncertainty and threaten organizational goals

• How does a given stakeholder group

evaluate the crisis? Is their evaluation

similar to ours?

• How do the stakeholders conceive of

the crisis? Is their conception similar

to ours?

• Are our interests in the outcome of

this crisis similar to those of

stakeholders? Are we correct in this

assessment?

• Are stakeholders’ interests in the

outcome of this crisis similar to ours?

If so, do they see this correctly?

Recruit and socialize members so that they uphold

the values of the organization, are motivated to work

and represent the organization, and are willing to

deal with change

• How do members evaluate the

organizational identity that

management wishes to project? Is their

evaluation similar to ours?

• How do members conceive of the

organization’s identity? Is their

conception similar to that of

management?

• Are management interests similar to

those of members? Are we correct in

this assessment?

• Are members’ interests similar to

those of management? If so, do they

see this correctly?

What Channels Are Available?

Earlier we noted that public relations communication is primarily carried by

uncontrolled media. Sometimes called free media, these are channels for which

the organization does not pay. But neither does the organization control the

content, placement, or frequency of its message. When a company buys an

advertisement in the local newspaper, it determines the text and design of the ad,

its size and in what section of the paper it appears, and how often it runs. But

when the same company sends out a press release, it has no idea if the local

paper will pick it up and—if the paper does run it—whether or not the content

will be edited, the accompanying photo printed, and the story placed on the front

page or buried in the business section. Of course, public relations (as the IMC

perspective suggests) will overlap with an organization’s advertising and

marketing efforts. So public relations messages will inevitably be carried by

media the organization does control—its website and Facebook page, for

example, or a series of paid advertisements to get across a certain message. After

Deepwater Horizon oil rig exploded in 2010 and spewed oil into the Gulf of

Mexico for three months from a drill site owned by BP, the company bought—

and continues to buy—time on national television for public relations messages

to repair its image.

But for the most part, the job of public relations practitioners involves media

relations. As the term implies, practitioners must cultivate productive relations

with the gatekeepers—the reporters, journalists, writers, editors, producers, and

directors—who provide access to media coverage. As you might guess, media

relations begin with identifying potential outlets for an organization’s public

relations messages. This process is called a media audit. It is a “survey of

reporters, editors, and other media professionals that asks about their preferences

for stories and how they perceive the [organization].” [13] As such, the media

audit is a natural complement to a communication audit. In a communication

audit, the organization surveys what it is currently doing on its own to get its

messages out; in a media audit, the organization surveys what channels are

offered by others to get out those messages. When you start to make a list of

potential media outlets, as in Figure 14.3, the size of the list may surprise you.

Print, Broadcast, Interactive

Naturally, the gatekeepers at each outlet have their own preferences about the

formats in which they receive possible stories. The article-length news release

that suits the editor of a national trade publication must likely be rewritten as

straight news for a national paper, as a feature story for the local paper, and as a

human interest story to pique the interest of a television or radio talk-show

producer. Even in the same media category, one gatekeeper’s preference will be

different from another’s. On top of that, gatekeepers constantly change—as do

the outlets themselves. Keeping abreast of it all is the essence of media relations.

And if it seems overwhelming, that is why many organizations hire full-time

public relations managers and staffs (which may include a full-time media

relations specialist) or simply hire a public relations agency.

Step 2: Planning

Through its public relations research, an organization identifies its publics and

its own current efforts at managing relations with those publics, takes stock of its

own views of those of its publics on the questions at hand (i.e., managing

identity, issues, risk, or crises), and considers what channels are available for

messages that might coorient the organization and its publics. Translating these

abstract considerations into a concrete plan with specific actions and timetables

is no easy matter. The Public Relations Society of America recommends [14] that

an organization (such as the hypothetical example shown here) start with a

situation analysis that might be written into a simple grid:

Alpha Beta Chi Sorority

Not enough members are volunteering for sorority committees, so committees

work slowly and the quality of activities they plan is diminished.

Analysis: Members are busy college students, and most see committee service as

a detrimental drag on their time.

More members need to become actively involved in serving on committees.

Next, PRSA advises organizations and practitioners to distinguish between

strategies, and tactics for reaching a given audience. The

process works like this:

Begin by stating in broad terms the long-term goal or outcome to be

in the organization’s relations with a given public. Example: More

sorority members will become actively involved.

Move from the general goal to a specific, shorter-term objective whose

attainment can be measured by quantity and time. Example: Twenty percent

of members will volunteer to serve on a committee over the next school

Further refine the plan by describing strategies that will attain the

Example: Show members how active involvement provides

personal benefits through increased networking and leadership skills.

Finally, list specific tactics for implementing the strategy. Examples: Hold a

special meeting on opportunities for involvement, revise the orientation

program for new pledges, spotlight involvement opportunities at all general

meetings by giving recognition to volunteers and asking some to speak

about the benefits, print feature articles on volunteers in the newsletter,

provide an in-service training program for volunteers, institute an annual

awards program for volunteers.

In today’s media universe, possible tactics for conveying public relations

messages are nearly endless. A partial list could include the following:

News Media

media kits

Online

websites

videoconferences

brochures/handbills

direct-mail letters

fact sheets

backgrounders

news releases

video news releases

press conferences

media advisories

media tours

conference calls

interviews

sound bites

photo opportunities

pitching stories

writing stories

guest editorials

guest columns

letters to the editor

blogs/vlogs

wikis

texts

e-mails

Facebook

Twitter

YouTube

news feeds

mobile apps

webcasts

podcasts

webinars

chat forum

listserv

instant messaging

Second Life

To facilitate public relations planning, the five elements—audience, goal,

objective, strategies, tactics—can be rendered as a simple grid:

Alpha Beta Chi Sorority

Objective Strategies Tactics

members

become

actively

involved.

Twenty percent

of members will

actively serve on

a sorority

committee

during this

school year.

Show members how

active involvement

provides personal

benefits through

increased networking

and leadership skills.

1. Hold a special meeting

on opportunities for

involvement.

2. Revise the orientation

program for new pledges.

3. Have committee chairs,

personally and face to

face, ask members to serve

who have not been

involved before.

4. Spotlight involvement

opportunities at all general

meetings by recognizing

individual volunteers and

asking some to speak

about the benefits.

5. Print feature articles on

volunteers in the

newsletter.

6. Provide in-service

training for committee

volunteers.

7. Institute an annual

awards program for

volunteers.

Putting an actual public relations plan into action, however, will be easier and

more effective if some columns are added to the grid: what is budgeted, who is

responsible, what is the timeline for implementation, and how it will be

Alpha Beta Chi Sorority

Tactics Budget Responsibility Timeline Evaluation

Members

Goal: More members

will become actively

involved

Objective: Twenty percent

of members will actively

serve on a sorority

committee this school year

1. Special meeting

on involvement

opportunities.

2. Revise

orientation for

new pledges.

3. Have chairs

personally ask

members to serve

who have not

been involved

before.

4. Spotlight

involvement at all

general meetings

by recognizing

volunteers and

asking some to

talk about the

benefits.

5. Print articles on

volunteers in

newsletter.

6. Provide in-

service training

for volunteers.

7. Institute annual

award program

for volunteers.

$500

for

annual

award

banquet

and

plaques

Membership

director

All tactics

implemented

no later than

September,

with

objective

attained by

May

Compare

list of

actively

serving

committee

members as

a

percentage

of total

sorority

membership

Repeat the grid for each of the organization’s audiences—and for each goal with

each audience—and you have the gist of a public relations plan, whether you

retain the grid format or render the information in paragraph form.

Step 3: Communication

We touched on messages—and the channels to communicate them—in the

research phase of public relations. Then we reviewed the planning phase for

identifying tactics to convey the messages and thus achieve the organization’s

goals. But before discussing specific tactical forms—which in today’s media

environment span the traditional press release to the latest social networking

sites—we need to see the forest before the trees. That is, we must appreciate how

the media impacts public opinion; otherwise, an organization can simply keep

churning out press releases and pitching stories with little notion of their ultimate

In Chapter 4, we reviewed the evolution of linear, interactional, and transactional

models for communication. The well-known source-message-channel-receiver

(SMCR) model is one way to conceive of how an organization’s public relations

messages impact its public. The organization transmits a message through a

channel to its publics; the publics offer feedback on the message; the

organization adjusts the message until the organization and its publics are

(see Figure 14.2). But while helpful, this model is too simple. As we

saw in Chapter 11, when reviewing the interplay between organizations and

media technologies, some theorists take a social interaction approach to the

media—that is, they evaluate each medium by how close it comes to the ideal

medium of face-to-face communication. In essence, each medium is seen as a

projection, writ large, of the original sender/receiver dyad. Again, this approach

has its uses and has inspired much productive theorizing and research. But for

our purposes here, in understanding the dynamic between public relations and

public opinion, the SMCR model is too limited. Why? Because an organization’s

various publics are not analogous to a single individual. Each public has its

opinion leaders and decision makers, while the individuals within each public

are differently engaged with the issues and with the various channels through

which public relations messages are transmitted.

Theories of Mass Communication

Mass communication theory has evolved over the past century. With the advent

of radio in the 1920s and 1930s, many public relations practitioners—and many

world leaders, from Winston Churchill to Adolf Hitler—saw a direct connection

between mass media and the public. Messages need only be broadly

communicated to weak-willed masses to have their desired effects. This theory,

often called the hypodermic needle theory or the magic bullet theory, has long

been abandoned by scholars. Then, in the years after the Second World War,

mass communication theorists recognized the role of opinion leaders. The fascist

dictators of that generation had come to power by first bringing the elites and

experts to their sides. This suggested the idea that swaying the public begins

with swaying those who run the institutions of society, from government and

industry to education and religion. But when the rise of television in the 1950s

and 1960s put information directly into the hands of the public, theorists made a

new proposal: the public does not have the same opinion leaders on all matters

opinion leaders on different issues. Finally, we come to two

mass communication theories that, says the Public Relations Society of America,

guide practitioners today.

Where the hypodermic needle theory held that mass communicators influence

the public—and where later theories held that opinion leaders influence the

diffusion theory holds that the public influences the public. In other

words, as messages are diffused throughout a public, people are swayed by their

peers through what is commonly called word of mouth. Everett Rogers

developed the theory after noticing, as a graduate student in Iowa during the

1950s, how farmers who learned an effective new agriculture technique would

pass it along to other farmers. Rogers, who spent decades refining his theory,

posits five stages of diffusion: awareness, interest, evaluation, trial, and

adoption. Moreover, people who are not themselves the innovators will respond

to new information by adopting it first, adopting it when a new majority forms,

adopting it when the majority is established, or not adopting it at all. [15]

The task of the public relations professional is to “design campaigns to target the

five categories of people and motivate them at each stage of the diffusion

process using channels appropriate to that stage.” [16] In turn, success at this task

can be informed by a second theory—namely, agenda-setting theory. In the late

1960s, when people read newspapers and (before cable television) watched only

the three major television networks, media researchers Maxwell McCombs and

Donald Shaw conducted a study of voters in their North Carolina city. They

discovered that the issues these voters prioritized tracked closely with issues that

received the most coverage in the daily papers, national news magazines, and

nightly network news. This finding led McCombs and Shaw to conclude that

mass media do not tell people so much what to think but what to think about. [17]

In simpler terms, where diffusion theory describes the dynamics of word of

mouth, agenda-setting theory explores what is commonly called “top of mind.”

The organization whose tactics secure positive and frequent coverage can shape

the media agenda, put its public relations message at the top of the public mind,

and thus foster favorable word of mouth.

Nevertheless, the media universe is quite different than it was when Everett

studied Iowa farmers and when McCombs and Shaw surveyed North Carolina

voters. Most people no longer depend on papers for their daily news; they can

choose from hundreds of TV channels, not just three; and the digital revolution

has brought everything from the personal computer, to the Internet, to the

smartphone. The same media content can now be watched on television,

streamed over the Internet, and downloaded to a handheld device. For this

reason, another mass communication theory around since the 1970s—and whose

antecedents date to studies conducted during the 1940s—is getting attention

from public relations practitioners. [18] Uses and gratifications theory holds that

media consumers are not passive receptors but are actively engaged in choosing

the communication channels that gratify their wants and needs. At your college

or university, for example, administration and faculty face a conundrum:

working in offices, they favor e-mail, but students are mobile all day and

increasingly prefer texting. How best, then, to disseminate messages to the

student body? In the same way, public relations practitioners must strive not only

to secure positive coverage by “the media” but also to take into account the

communication channels most likely to reach a given public.

Theories of Persuasion

While diffusion theory offers a useful framework for understanding how new

information spreads and individuals respond, researchers for decades have

collective sentiment—that is, public opinion—is formed. One

thing is for sure: gauging public opinions is not as simple as counting votes and

declaring who has a majority. Public opinion is best conceived not as points on a

line but as a series of bands that may range from strong or moderate agreement

to strong or moderate disagreement. Then, too, public mood is a different sort of

phenomenon, a vague feeling rather than an articulated proposition—whether

consumers are confident in the economy, for example, or citizens believe a war

is going well for their country. To construct theories of public opinion formation,

scholars begin with inexact concepts such as belief, attitude, value, and

. Traditional conceptions [19] of the terms often include these elements:

Definition Psychology

confidence that a given thing exists or is true cognition: what you know

predisposition to respond a given way toward a thing affective: what you feel

conviction that a given mode of doing or being is best

behavioral: how you act

behavioral inclination that is expressed to others

These phenomena, many suggest, work in progression: (1) firsthand experience

or credible testimony produces belief, which can (2) strengthen into an attitude

that drives a person’s responses to the thing in question, and (3) prompts

formation of associated values that provide a basis for deeds and opinions that

furnish a basis for words. (Some scholars, however, challenge the traditional

of attitudes as stable mental structures that guide perceptions and

evaluations of objects. Against this “file drawer” approach, which views

attitudes as things people pull out when asked, Timothy Wilson and Sara Hodges

argued that attitudes are temporary and often constructed ad hoc according to the

context of a situation or how an issue is presented. [21])

Because theories of public opinion formation and change are often extensions of

models for interpersonal persuasion, we begin with three established approaches

to the latter. Leon Festinger’s cognitive issonance theory [22] contends that

people are “aversively driven” to reconcile contradictory attitudes they may hold

—for example, a person who enjoys smoking but knows the habit causes ill

health. Muzafer Sherif’s social judgment theory [23] holds that people’s attitudes

are best seen as broad zones of what they can accept or reject—for example, a

person who is against abortion but may accept it in cases of rape or incest. And

Richard Petty and John Cacioppo’s elaboration likelihood model [24] suggests

that people who hear a persuasive message will actually think about the

argument if able and motivated to do so, but will “jump to conclusions” if their

attention is drawn to peripherals—for example, a person who can afford a

product buys it based on need rather than the sales representative’s smile or the

promise of a prize drawing.

What these three theories have in common is a focus on attitude and how

persuasion is a function of attitude change. Thus cognitive dissonance theory

predicts that a speaker can persuade a listener either by arousing a dissonance

that forces the latter to make a choice or by lessening the dissonance so that one

attitude no longer fully contradicts or counterbalances another. On the other

hand, social judgment theory predicts that persuasion can occur when a speaker

pitches an argument at the edge of what the listener will accept, thus prompting a

change of attitude by expanding the listener’s “latitude of acceptance.” Finally,

the elaboration likelihood model predicts that a strong and lasting attitude

change is only possible when able and motivated listeners really think about (or

“centrally process”) a message; by contrast, listeners who jump to conclusions

(or “peripherally process”) based on externals will have at best only a weak and

temporary attitude change.

For public relations professionals, this means crafting messages that achieve

persuasion by changing stakeholder attitudes. Consider a company that may be

forced to close its local plant if denied a zoning variance to acquire adjacent land

and upgrade its production facilities. The land, however, abuts a city park and a

historic neighborhood, so citizens are reluctant to go along with the rezoning.

How might our three theories of attitude change and persuasion—cognitive

dissonance, social judgment, and elaboration likelihood—guide the company’s

public relations strategies?

Cognitive dissonance theory might suggest that the company can change citizen

attitudes by pointing out that scores of local residents may lose their jobs, and

everyone will be hurt by the economic loss to the city. This message arouses a

dissonance—between economics and land use—that forces citizens to rethink

the issue. On the other hand, the company could announce steps to mitigate the

visual and traffic impact of the plant expansion, thus lessening the dissonance

and allowing citizens to more easily resolve the dilemma.

Social judgment theory might prompt the company to craft messages that

describe how the expansion will be planned with citizen input and designed to

minimize any impacts on the surrounding area. By positioning its argument

toward the edge of what most residents might be willing to at least consider, the

company may be able to enlarge people’s latitudes of acceptance when it adds

that reasonable compromise will yield economic benefits for the city.

The elaboration likelihood model suggests that, because citizens are already

motivated and able to hear what the company has to say, people will closely

scrutinize—that is, they will elaborate—the arguments put forth in favor of the

proposed rezoning and plant expansion. Thus the strength of those arguments

will determine whether or not the company succeeds in persuading residents.

Everything from statistics about economic benefits, to pledges of cooperation

with citizen groups and city officials, to an artist’s mockup of the proposed

design will be needed to produce positive and lasting attitude change.

Yet public relations professionals must throw in one more variable: how is

persuasion affected when an organization’s messages are filtered through the

media? At the center of this question is “human information processing and the

triggering of these processes by media coverage.” [25] To explore these

processes, public-opinion researchers often begin with the attribution theory of

Fritz Heider, who held that “the linking with its underlying conditions involves a

kind of [mental] unit formation.” [26] For example, if everyone succeeds at a

certain task, then people attribute success to the easiness of the task; but if few

succeed, then success is attributed to the abilities of the person. As Mark

Martinko summarized, “Heider’s basic premise was that people have an innate

need to understand and control their environments,” and thus “individuals

function as ‘naïve psychologists,’ developing causal explanations for significant

Further, because people structure their cause-and-effect connections into mental

units, they judge reality holistically rather than considering each element in

isolation. One early scholar of public opinion, Walter Lippman, observed that we

have “pictures in our heads.” [28] Scholars today refer to these mental units or

schema or frames. “Schema theory and closely-related framing

theory are based on the assumption,” explained Hans Kepplinger, “that recipients

of media coverage do not take up individual pieces of information in the news

independent of one another, but interpret them according to a predetermined

[29] In turn, the mental frame by which audiences interpret the

news may itself have been influenced, as we saw earlier in the chapter, by the

media’s agenda-setting function.

priming theory holds that mental schemas or frames operate in chains.

Have you ever played a word-association game? Someone says a word and you

respond with the first word that pops into your mind; so your friend says “dog”

and you say “pet” (or maybe you say “bite”). In the same way, priming theory

predicts that when you encounter information in the media, which you then fit

into a given mental frame, that information will chain out as it activates a whole

network of related mental frames. Further, once this network of mental

associations is activated, you will become “primed,” or more sensitized, to

media coverage of the issue, more likely to seek out such coverage, and more

likely to give it careful consideration.

Agenda setting, framing, and priming can be seen in progression. Media

coverage emphasizes a certain issue so that audiences develop cause-effect

mental frames about it and are primed for further coverage. Dietram Scheufele’s

process model of framing posits three interrelated processes at work: frame

building as media professionals choose how to present an issue, frame setting as

audiences attribute causes and effects to the issue, and frame effects as

individuals act on their interpretations. [30]

Theories of Public Opinion

Moving from individual-level opinion formation to that of the public at large

introduces what Kurt Lang and Gertrude Lang called “collective dynamics” in

their important book of the same name. [31] Their model for public opinion

formation and change, shown in Figure 14.4, remains a standard in the field.

Lang and Lang envisioned the public opinion process as a cycle that constantly

reboots. The cycle begins when a new issue is injected into an already present

mass sentiment. People coalesce into “publics” around the various sides of the

issue; public and private debate ensues; and over time, a consensus called

“public opinion” forms. This consensus prompts social action—perhaps a new

law, policy, or legislative majority. As the consensus becomes institutionalized,

the new social values are incorporated into mass sentiment, and the cycle starts

over again. Think of the environmental movement that emerged in the 1960s

after researchers discovered that a widely used agricultural pesticide was killing

off the American bald eagle. Publics emerged on both sides of the pesticide

issue, debate ensued, public opinion swung in favor of banning the toxin, the

door was opened to a host of environmental legislation enacted in the 1970s,

environmentalism became an institutionalized social value, and mass sentiment

became more “green.”

Lang and Lang’s Public Opinion Formation Model

While Lang and Lang’s model depicts public opinion formation as an open

process of debate and consensus, another established model takes a different

approach. Elisabeth Noelle-Neumann, a German scholar who earned her

doctorate in the United States and lived in Berlin and Frankfurt during the Nazi

regime, argued that public opinion is sustained as more and more people keep

silent for fear of being isolated. Her spiral of silence [32] model begins with the

premise that human beings have an innate ability—what she called, only half-

jokingly, a “quasi-statistical organ”—to gauge which way the winds of public

opinion are blowing. Just as innately, people’s dislike of being ostracized makes

them hesitate to seem “different” from the majority. Thus people in the minority

hold back their opinions and publicly appear the weaker side, while the majority

confidently express themselves and appear the stronger. Nor did Noelle-

Neumann in her research ever find “a spiral of silence that goes against the tenor

of the media, for the willingness to speak out depends in part upon sensing that

there is support and legitimation from the media.” [33] So the spiral cycles

downward until at last the minority is largely silent. How, then, does public

opinion change at all? Every society has its hard-core idealists who are willing to

endure derision and its avant-garde nonconformists who believe time is on their

side. Only they, who are willing to speak against prevailing sentiment, can

change public opinion.

As with any theory, Noelle-Neumann’s spiral of silence model has been

subjected to critique and proposed refinement. [34] In particular, scholars have

questioned whether fear of isolation is the only determinant of an individual’s

willingness to speak out, whether this fear can stand up as a measurable

construct, and whether group norms exert more pressure on individuals than

opinion climate. Yet the theory remains a standard reference

point for public opinion scholarship. And for organizations and public relations

professionals, models of public opinion formation—whether Lang and Lang’s

collective dynamics or Noelle-Neumann’s spiral of silence—have practical

importance. According to Lang and Lang’s model, persuading a stakeholder

group means injecting a new perspective into that public’s existing sentiment,

participating in the debate that ultimately produces a consensus, and influencing

social actions (e.g., new laws and regulations) that institutionalize the new social

values around which stakeholders’ new sentiment forms. By the same token,

Noelle-Neumann’s model suggests that persuading stakeholders is a process of

either aligning with prevailing opinion or being willing to risk isolation and

Step 4: Evaluation

The evaluation phase of a public relations campaign should already seem

familiar to you since, as the Public Relations Society of America points out, this

step “can serve as research for the next…program.” [35] As such, the evaluation

can include surveys, focus groups, and interviews to learn how—compared to

the baseline research conducted before the campaign—an organization’s publics

interpreted the communications and, as a result, how their perceptions may have

changed about the organization’s identity or the issue, risk, or crisis that the

organization was attempting to manage.

Evaluation of public relations harks back to the prelaunch phases of a campaign

in other ways. First, the public relations plan should have included objectives

that are measurable (e.g., “X will increase by Y within Z months”). Second, the

plan should have listed the criteria and method for evaluating the outcome and

included a budget for doing so. In fact, evaluation should not only be conducted

at the end of a campaign but be ongoing through every phase—checking whether

the message is reaching the intended audience, gauging the effects of

communications while the campaign is under way, and assessing the results

when the campaign is done.

The Institute for Public Relations [36] suggests that evaluation can be built on the

“BASIC” model for communication objectives:

awareness

knowledge

relevance

action

advocacy

These five elements compose a cycle, shown in Figure 14.5, that begins by

making stakeholders aware of the organization’s desired identity or of its

position on an issue, risk, or crisis. The target public should then become more

knowledgeable, grasp why the organization’s arguments matter, take action, and

persuade others. In turn, as shown in Figure 14.6, this cycle forms a basis for

follow-up and evaluation after the campaign. Awareness is measured by finding

out through interviews, focus groups, and surveys what stakeholders remember

from the campaign. Knowledge is gauged by asking stakeholders their levels of

agreement or disagreement with a series of statements about the issue at hand.

Whether or not stakeholders find the information relevant is ascertained by

asking their levels of interest or disinterest. In turn, how stakeholders intend to

act on their beliefs is measured by their levels of agreement or disagreement

with statements such as “I will…” or “I plan to…” Finally, whether stakeholders

have been won over to the organization’s position can be gauged by asking if

they intend to tell family and friends or recommend the organization’s viewpoint

to others as a preference.

BASIC Cycle of Public Relations

Measuring the BASIC Cycle

One other type of evaluation is associated with public relations. As noted earlier,

advertising and marketing campaigns are primarily conducted through controlled

in which the organization determines the content, placement, and

frequency of the message. But public relations is often conducted via

uncontrolled media, as the organization attempts to get out its message through

editors, producers, directors, and others who determine content, placement, and

frequency. Thus organizations attempt—often by hiring research firms—to track

down all the mentions of their message that appear in the media. For example,

consider what might be gleaned about the effectiveness of a press release sent to

What publications, broadcasts, or websites picked up the release?

What types of stories appeared (straight news, editorial, feature article)?

How much exposure was given (column inches, airtime minutes)?

How much exposure was given to competing viewpoints?

Who was quoted? How extensively?

What prominence was given (front page, top news, brief item, etc.)?

Was the tone favorable or not? Was it balanced or not?

The evaluation can be taken a step further by assessing how many impressions

the news release generated; that is, how many readers, viewers, or online users

potentially saw the organization’s message. Three stories in a magazine with

fifty thousand readers, for instance, would potentially generate 150,000

impressions. Measuring impressions is also a key component of advertising and

marketing, and thus a logical segue to Section 2 on external communication

through controlled media.

KEY TAKEAWAY

The research phase of a public relations campaign starts by

determining the organization’s stakeholders. One way to ascertain

its various publics is based on resource dependence theory: an

organization does not control all the resources it needs (e.g.,

labor, capital, material, revenue, public policy, goodwill) and must

productively manage relations with those who do (e.g.,

employees, investors, suppliers, consumers, policy makers,

community groups). Once publics are identified, further research

—surveys, focus groups, interviews—should ascertain their

stakes in the organization, who shapes their opinions, what are

characteristics, and what are their opinions of the

organization and the issue at hand. To chart what public relations

efforts are currently being done, the organization can conduct a

communication audit and SWOT analysis (strengths,

weaknesses, opportunities, threats). To determine what needs to

coorientation analysis can identify what

misperceptions—on both sides—exist. Public relations messages

can be broken down by those intended to manage an issue, to

manage a risk, to manage a crisis, to manage the organization’s

identity, and to manage its members. Finally, research should

ascertain available channels to convey the desired messages.

Writing a public relations plan begins with identifying problems,

analyzing the situations, and formulating goals. However, goals

are longer-term ends stated in general terms and should be

distinguished from objectives. The latter are shorter-term ends

whose attainment can be measured and should occur in a

specified time frame—thus X will increase by Y within Z months.

So begin with goals for managing relations with each stakeholder

group and formulating their associated objectives. Then for each

objective devise strategies to achieve the objective and specific

to carry out the strategies. These elements—audience,

goals, objectives, strategies, tactics—can be rendered in a grid

form that becomes the basis for writing the public relations plan.

When other elements are added—who is responsible, what is the

timeline, what is the budget, how will attainment be evaluated—

public relations plan is ready for implementation.

Early theories of mass communication held that a communicator

could directly sway the masses, or that they were influenced by

winning over their opinion leaders. Diffusion theory, however,

holds that people are influenced by their peers through word of

mouth. Though the media do not tell people what to think,

agenda-setting theory asserts that the media shapes what people

think about. Even so, uses and gratifications theory depicts

people not as passive recipients but as active consumers who

make media choices based on their individual wants and needs.

Theories of persuasion begin by distinguishing between beliefs,

attitudes, values, and opinions. Many major theories assert that

change is the key to persuasion. Cognitive dissonance

holds that people are innately driven to reconcile conflicting

social judgment theory holds that attitudes are bands or

of what people accept or reject; and the elaboration

model claims that only motivated and able listeners can

have strong and lasting attitude changes. Finally, two major

theories of public opinion take different approaches. Lang and

Lang’s collective dynamics model sees public opinion forming

through debate and consensus, while Noelle-Neumann’s spiral of

model sees public opinion emerging as dissenters

increasingly keep silent for fear of being isolated.

The four-step model of the public relations process describes

research, planning, communication, and evaluation. Yet

evaluation not only occurs at the end but is ongoing throughout a

campaign—and is, in fact, the start of the research phase for the

next campaign. Moreover, evaluative criteria and procedures

should be part of the written public relations plan. The BASIC

cycle of public relations (build awareness, advance knowledge,

sustain relevance, initiate action, create advocacy) provides a

basis for evaluating a campaign. Stakeholders can be asked—

through interviews, focus groups, and surveys—what they recall,

what they know, how much it matters to them, what they intend to

do about it, and whether they will tell others.

EXERCISES

Think of a campus or community group to which you belong.

Chances are it would benefit from recruiting more members. Ask

yourself: What stake do potential members have in the

organization? Who influences their decisions? What are their

demographics (e.g., age, education, income) and psychographics

(e.g., lifestyle, politics, religion)? What do they think of your

group? Why don’t they join? Make a grid and list all the ways your

group currently tries to reach potential members. Then make a

SWOT grid to analyze these efforts. Use the coorientation model

identify how potential members may misperceive your group—

and how you misperceive them. What messages are needed to

align potential members’ perceptions with the identity of your

organization? Make a list of media channels that are available to

disseminate those messages.

As you continue to think about your campus or community group,

start with the long-term goal of recruiting more members. Now

formulate a realistic short-term objective of recruiting “X”

members within “Y” amount of time. Next, put these into a grid,

add columns for strategies and tactics, and fill in the grid.

How can you bring about an attitude change toward your campus

or community group among potential members? Write copy for

three different fliers. In the first, write a message that might

reduce cognitive dissonance that people feel between joining a

Demographics :

and thinking they don’t have the time. In the second, write a

message aimed at people who might consider joining your group,

but only if you can show them the time commitment is

manageable. In the third, write your very strongest argument for

joining to people who are most likely to be motivated and able to

the time.

Apply the BASIC cycle to the membership recruitment efforts of

your campus or community group. What has your group done to

build awareness and advance knowledge of your group, to make

it seem relevant, and then to get people to act on that relevance

joining) and to tell others? Gather information on these

questions by interviewing current members and asking how they

became aware of your group, learned more about it, found it

relevant, and acted by joining. Then interview potential members

and ask what they recall about any communications your group

has sent out, what they know about your group, whether or not

they think it has relevance to them, and why they have not joined.

KEY TERMS AND DEFINITIONS

Predisposition to respond a given way toward a thing.

Confidence that a given thing exists or is true.

The nonattitudinal characteristics of a population group, such as age, gender, education level, income, ethnicity, and family status.

longer-term end stated in general terms.

Psychographics :

A shorter-term end that can be measured and attained within a specified time (e.g., “X will increase by Y within Z months”).

Behavioral inclination that is expressed to others.

The attitudinal characteristics of a population group, such as political beliefs, religious beliefs, and lifestyle preferences.

A program for attaining an objective.

A means for carrying out a strategy.

Conviction that a given mode of doing or being is best.

R. E. (1976). Building a public relations definition. Public

Relations Review, 2, 34–42.

S. M. (1995). Public relations history: From the 17th to the 20th

century. Hillsdale, NJ: Erlbaum.

S. M. (1994). The unseen power: Public relations: A history.

Hillsdale, NJ: Erlbaum.

Accreditation Board. (2010). Study guide for the

accreditation in public relations (2nd ed.). New York, NY:

Relations Society of America.

G. M., Casey, S., & Ritchey, J. (2000). Toward a concept and

organization-public relationships: An update. In J. A. Ledingham

Bruning (Eds.), Public relations as relationship management: A

relational approach to public relations (pp. 3–22). Mahwah, NJ: Erlbaum;

Ledingham, J. A. (2006). Relationship management: A general theory of

relations. In C. Botan & V. Hazleton (Eds.), Public relations theory

II (pp. 412–428). Mahwah, NJ: Erlbaum.

Relations Society of America. (2013). What is public relations?

Retrieved from http://www.prsa.org/AboutPRSA/PublicRelationsDefined

T., & Grunig, J. E. (1984). Managing public relations. New York,

NY: Holt, Rinehart & Winston; Grunig, J. E., & Grunig, L. A. (1992).

Models of public relations and communication. In J. E. Grunig (Ed.),

Excellence in public relations and communication management (pp. 285–

326). Hillsdale, NJ: Erlbaum.

D. W., & Marsh, C. (2012). Public relations: A values-driven

approach (5th ed.). Boston, MA: Allyn & Bacon.

K. R. (1971). The concept of corporate strategy.

IL: Irwin.

quotation is reproduced in hundreds of books but, unfortunately,

never provided. Still, the idea fits well with Mead’s notion of

interactionism.

G. M. (1977). Coorientational measurement of public

Relations Review, 3, 110–119; Broom, G. M., & Dozier,

D. M. (1990). Using research in public relations: Applications to program

Englewood Cliffs, NJ: Prentice Hall; Grunig, J. E., & Hunt,

T. (1984). Managing public relations. New York, NY: Holt, Rinehart &

M. F., & Ford, D. J. (2010). Organizational rhetoric:

Situations and strategies. Thousand Oaks, CA: Sage.

R. D., & Dominick, J. R. (2003). Mass media research: An

introduction (7th ed.). Boston, MA: Wadsworth, p. 386.

Accreditation Board. (2010). Study guide for the

accreditation in public relations (2nd ed.). New York, NY:

Relations Society of America.

E. M. (2003). Diffusion of innovations (5th ed.). New York,

Accreditation Board. (2010). Study guide for the

accreditation in public relations (2nd ed.). New York, NY:

Relations Society of America, p. 29.

M., & Shaw, D. (1972). The agenda-setting function of

mass media. Public Opinion Quarterly, 36, 176–187; McCombs, M.

(2004). Setting the agenda: The mass media and public opinion.

UK: Polity Press.

Katz, E., Blumler, J. G., and Gurevitch, M. (1973/74). Uses and

gratifications research. Public Opinion Quarterly, 37, 509–523.

example, see Rokeach, M. (1968). Beliefs, attitudes, and values:

A theory of organization and change. San Francisco, CA: Jossey-Bass.

the classic definition in Allport, G. (1935). Attitudes. In C.

Murchison (Ed.), A handbook of social psychology (pp. 789–844).

MA: Clark University Press.

T. D., and Hodges, S. D. (1992). Attitudes as temporary

constructions. In L. L. Martin & A. Tesser (Eds.), The construction of

judgments (pp. 37–65). Hillsdale, NJ: Erlbaum.

L. (1957). A theory of cognitive dissonance. Evanston, IL:

Sherif, C. W., Sherif, M., & Nebergall, R. E. (1965). Attitude and

attitude change: The social judgment–involvement approach.

PA: Saunders.

Petty, R. E., & Cacioppo, J. T. (1996). Attitudes and persuasion:

Classic and contemporary approaches. Boulder, CO: Westview.

H. M. (2008). Effects of the news media on public

opinion. In W. Donsbach & M. W. Traugott (Eds.), The SAGE handbook

of public opinion research (pp. 192–204). Thousand Oaks, CA: Sage, p.

F. (1958). The psychology of interpersonal relations.

Hillsdale, NJ: Erlbaum, p. 89.

M. J. (1995). The nature and function of attribution theory

organizational sciences. In M. J. Martinko (Ed.), Attribution

theory: An organizational perspective (pp. 8–16). Delray Beach, FL: St.

W. (1922). Public opinion. New York, NY: Harcourt, Brace.

H. M. (2008). Effects of the news media on public

opinion. In W. Donsbach & M. W. Traugott (Eds.), The SAGE handbook

of public opinion research (pp. 192–204). Thousand Oaks, CA: Sage, p.

V., & Tewksbury, D. (1997). News values and public opinion: A

account of media priming and framing. In G. A. Barnett & F. J.

(Eds.), Progress in communication sciences: Advances in

persuasion, Vol. 13 (pp. 173–212). Westport, CT: Ablex.

K., & Lang, G. E. (1961). Collective dynamics. New York, NY:

Noelle-Neumann, E. (1974). The spiral of silence: A theory of public

of Communication, 24, 43–51; Noelle-Neumann, E.

spiral of silence: Public opinion—our social skin. Chicago, IL:

Chicago Press.

Noelle-Neumann, E. (1991). The theory of public opinion: The

concept of the spiral of silence. In J. A. Anderson (Ed.), Communication

yearbook 14 (pp. 256–287). Newbury Park, CA: Sage, p. 276.

an overview, see Scheufele, D. A., & Moy, P. (2000). Twenty-five

the spiral of silence: A conceptual review and empirical outlook.

International Journal of Public Opinion Research, 12, 3–28; Scheufele, D.

A. (2008). Spiral of silence theory. In W. Donsbach & M. W. Traugott

(Eds.), The SAGE handbook of public opinion research (pp. 175–183).

Thousand Oaks, CA: Sage.

Accreditation Board. (2010). Study guide for the

accreditation in public relations (2nd ed.). New York, NY:

Relations Society of America, p. 40.

Michaelson, D., & Stacks, D. W. (2011). Standardization in public

relations measurement and evaluation. Gainesville, FL: Institute for

Public Relations. Retrieved from http://www.instituteforpr.org/iprwp/wp-

content/uploads/Standardization-in-Public-Relations-Measurement-and-

Evaluation-FINAL-8-17.pdf

14.2 Advertising and Marketing

LEARNING OBJECTIVES

1. Understand basic considerations in media research, copy testing,

market research, and product usage research.

2. Delineate the basic components of a media plan and a marketing

communications plan.

3. Delineate the basic considerations of a creative strategy.

4. Understand the similarities and differences between evaluating

the results of advertising and marketing and evaluating the results

of public relations.

When the Super Bowl is television’s most-watched event, and when millions

tune in just to see the commercials, it is safe to say that advertising has a firm

place in American popular culture. No matter your age, remembering a

commercial you heard as a kid instantly transports you back to childhood.

Advertising can also be controversial—from ads for sugary kids’ breakfast

cereals to representations of idealized body image that many link to eating

disorders. [1] But whether nostalgic or controversial, advertising is a pervasive

feature of modern life. So it may be difficult to imagine a world, really not so

long ago, without advertising as we know it.

Think about it. Before capitalism and liberal democracy, the economic resources

of kingdoms and estates were the province of nobility. Before the Industrial

Revolution, there were no mass-produced goods that required mass

consumption. Just as important, before the nineteenth century, there were no

technologies for mass communication. Such technology did not emerge until the

mid-nineteenth-century “revolution of cheap print” and rise of mass-circulation

“penny press” newspapers. [2] The first radio advertisement was aired in 1922,

though some years transpired before advertising became the economic mainstay

of the new medium. [3] Through radio’s golden age of the 1930s and 1940s, and

on to the first decade of television in the 1950s, advertisers sponsored programs

(“soap operas” were so named because broadcasts were sponsored by soap

makers) rather than buying sixty- or thirty-second spots. Not until the early

1960s, when single sponsors could no longer afford rising ad rates for whole

programs, did “spot advertising” become the norm. [4] And that brings us to the

point of this chapter section.

As we saw earlier, the concept of integrated marketing communications (IMC)

holds that all an organization’s external communications—advertising,

marketing, and public relations—can draw from the same data about target

audiences to craft focused messages and choose appropriate channels. Indeed,

though each function is its own discipline, each one also overlaps with the other

two to a significant degree. Those charged with advertising and marketing ask,

just as public relations professionals do, questions about the demographics and

psychographics of target audiences. And they ask the organization’s publics the

same questions about recall, knowledge, interest, intent, and preference—except

the questions are about consumer attitudes about brands and products, rather

than issues, risks, and crises. So we will not repeat our previous discussion of

these research and planning tasks. But where advertising and marketing differ

most from public relations is their use of controlled media—that is, media the

organization pays to control the content, placement, and frequency of its

messages. In fact, this very “spot advertising” has been a feature of print media

for more than a century, broadcast media for half a century, and online media for

a generation. And this brings us to the subject of media research.

Step 1: Research

The essence of media planning is to find the right media mix that provides the

biggest bang for the organization’s advertising and marketing buck. Finding that

mix involves an array of acronyms and industry terms—HUT, PUT, PUR, TRP,

CPM, CPP, RPC, MSA, DMA, ADI, TSA, share, rating, impressions, reach,

and frequency. On the one hand, the public relations professional researches

publics and stakeholders; thinks about coorientation and public opinion; and,

hoping to secure positive media coverage, practices effective media relations. By

contrast, the advertising and marketing professional researches consumers;

compares media buys to sales generated; and, knowing that the organization’s

message will run, determines the best media mix to ensure the purchased

coverage gets maximum results. This type of media research, comparing cost to

coverage of paid media, is the special province of advertising and marketing.

Media Research

Media planners generally consider seven criteria when researching their media

options: [5]

1. Can a given medium deliver the targeted consumers without money wasted

on nontargeted audiences?

2. Can the medium accumulate a large actual audience within its total

potential audience?

3. How fast does the medium’s actual audience accumulate?

4. Can the medium deliver selected geographic areas?

5. How far in advance must ad spots be purchased?

6. Does the medium control when consumers are exposed to the spots?

7. Where are consumers physically located when they are exposed to the

spots?

To illustrate, consider these examples:

Thirty-second TV spots aired during National Football League playoff

games would deliver controlled exposures to a large and quickly

accumulating at-home audience of (predominantly) adult males. But the

medium offers poor geographic flexibility, and ads must be purchased long

in advance.

By contrast, a thirty-second spot on a local religious radio station also

delivers controlled exposures to a defined demographic (mostly female) and

psychographic (evangelical religious) audience, and that audience will

quickly max out its potential reach. Yet local radio, whose listeners are

mostly in the car and not at home, offers the advantages of short lead times

to purchase spots and considerable geographic flexibility.

A full-page ad in Seventeen or Boy’s Life also delivers a highly targeted

national audience. But the audience accumulates slowly over time, ads must

be bought months in advance, advertisers do not know at what time of the

month readers will see their ads, and the total reach is hard to quantify since

it includes an uncertain pass-along readership.

Ads in local newspapers may have limited reach and little control over

exposure times, but they allow great flexibility through targeted

geographies and short lead times for ad purchases.

Banner ads on the Drudge Report website may deliver a well-defined target

audience of primarily at-home users and the flexibility to buy the ads on

short notice. But the site’s audience accumulates slowly, and there is little

control over when users see the ads.

The concept of media mix comes into play when advertisers, as they typically

do, spread their ad dollars around rather than place them all in a single medium.

Putting multiple media into a media plan allows an organization to reach more

consumers, reach them in a (less expensive) secondary medium when the

potential audience of the primary (and more costly) medium is maxed out,

leverage the properties (visual, aural, textual) of different media to create a

synergism, and disseminate print coupons to reinforce broadcast ads. [6]

Nevertheless, no organization has an unlimited budget for advertising and

marketing. Most companies set their annual budgets at a percentage of annual

sales, ranging—according to one survey of two hundred US industries—from

0.1 percent (aircraft manufacturing) to 17 percent (transportation services). [7] So

deciding how to spread a limited budget across a growing array of media choices

demands considerable research—which brings us to the world of media research

acronyms and formulae. These are summarized in Table 14.4.

Table 14.4 Media Buying Terms and Formulae

Term Definition Formula [8]

HUT Homes Using Television: percentage of homes using TV Rating ÷ Share =

HUT

PUT People Using Television: percentage of people using TV Rating ÷ Share =

PUT

PUR People Using Radio: percentage of people using radio Rating ÷ Share =

PUR

Share percentage of HUT, PUT, or PUR tuned to a given program

Rating ÷ HUT =

Share

Rating ÷ PUT =

Share

Rating ÷ PUR =

Share

Rating percentage of people or homes exposed to a medium

HUT × Share =

Rating

PUT × Share =

Rating

PUR × Share =

Rating

TRPs

Target Rating Points: sum of rating points (i.e., combined

percentages of people or homes exposed to a given medium)

delivered by the list of mediums within a media plan

Reach × Frequency

= TRPs

Impressions combined numbers of people or homes delivered by the list of

mediums within a media plan

TRPs × Number of

people or homes =

Impressions

Reach percentage of different people or homes exposed to ad campaign

within a designated time period

TRPs ÷ Frequency

= Reach

Frequency average number of times that people or homes are exposed to ads TRPs ÷ Reach =

Frequency

CPM Cost per Thousand: cost to reach 1,000 people or homes delivered

by a given medium

(Cost ÷ Audience)

× 1,000 = CPM

CPP Cost per Point: cost to purchase one TV or radio rating point Cost ÷ TRPs =

CPP

RPC Readers per Copy: sum of primary publication readers plus pass-

along readers (e.g., waiting rooms)

Total readers ÷

Circulation = RPC

MSA Metropolitan Statistical Area: federal government designation for

an urbanized area and the counties in which it is located

DMA Designated Market Area: term used by Nielsen ratings service to

designate a metropolitan television market

ADI Area of Dominant Influence: term used by Arbitron ratings service

to designate a metropolitan television market

TSA Total Survey Area: term used by Arbitron to designate a

metropolitan radio market

Since the Internet emerged as a consumer medium in the 1990s, the media

industry has grappled with various means for content providers (e.g., websites,

electronic publications, social media, mobile apps) to verify the number of users

they can deliver to advertisers. Nielsen Media Research, known for its television

ratings service, also measures audiences for online and mobile media by

selecting a scientific sample of consumers and asking them to keep diaries.

Arbitron, the leading radio ratings service, likewise surveys online and mobile

media usage by attaching a meter to the devices of consumers who agree to

participate. And the Alliance for Audited Media, which has verified magazine

and newspaper circulation since 1914, works with digital media companies to

audit their usage statistics. Meanwhile, the Interactive Advertising Bureau

(IAB), founded in 1996, sets industry standards and guidelines for verification of

online advertising claims—as do the Radio Advertising Bureau (RAB) and

Television Advertising Bureau (TAB) for their respective industries.

As if the array of acronyms and industry terms for print and broadcast media

were not enough, online media have their own industry terms that advertising

and marketing professionals must know. A hit occurs each time a web server

sends a file to a browser. A page view occurs each time a visitor views a web

page. A visit happens when a human or robot user accesses a site. A single visit

can generate multiple page views (since websites have multiple pages) and

dozens of hits (since each page is loaded with accessible files). For that reason,

hits and page views are generally of less interest to advertisers than visitors. And

since a user can visit a site multiple times, advertisers want to know how many

unique visitors a site can claim. Among the hundreds or thousands of visits to a

website, what will be the actual number of different people who may see an ad?

Copy Testing

One way advertising and marketing differs from public relations is its use of

controlled (paid) media. Thus advertising and marketing professionals carefully

research media options before they make any media buys. Another difference is

that, unlike public relations messages that are filtered by media gatekeepers, the

content of advertising and marketing messages is determined by the

organization. For that reason, professionals research not only the coverage and

costs of media outlets but also the potential effectiveness of their creative

strategy—that is, the messages the organization is going to pay for. Such

research is typically called copy testing, although the research tests visual and

aural elements, as well as the text of an ad. Roger Wimmer and Joseph Dominick

surveyed the literature on copy testing and suggested, as shown in Table 14.5,

that research should address a series of questions that can be usefully broken

down into three broad dimensions. [9]

Table 14.5 Wimmer and Dominick's Dimensions of Copy Testing

Dimensions Research Questions

How effectively did test ad gain consumer’s attention?

What elements of ad did consumer notice most?

In what sequence did consumer notice elements of ad?

Cognitive

How long did it take consumer to recognize headline/product/brand?

How long did it take consumer to comprehend theme?

How much did consumer recall after exposure?

Affective

Did ad change attitude of consumer toward product?

To what degree did consumer like or dislike ad?

Did ad emotionally involve consumer?

Behavioral

What was consumer’s purchasing behavior before exposure?

Did consumer’s purchasing intent change after exposure?

Copy testing research can be quite sophisticated. Among technologies developed

for the purpose are eye-tracking cameras, tachistoscopes, electronic response

indicators, pupilometers, galvanic skin response tests, brain-wave analysis, facial

electromyography, and whole batteries of psychological tests and scientific

surveys. Clearly, advertisers who may spend millions on media buys, and who

anticipate more millions in subsequent sales, want to get it right. Scores of

consumer research firms are in business to help them find the answers they seek.

Although most companies do not go to these lengths, copy testing the creative

strategy—even just showing test ads to focus groups—is an essential component

of media planning.

Market and Product Research

Just as advertisers can hire firms to do sophisticated copy testing, so are there

firms that conduct market research and product research—and then sell it to

organizations. Demographic and psychographic data about consumers can be

obtained from such leading firms as Experian Marketing Services, GfK

Mediamark Research & Intelligence, Strategic Business Insights, and Nielsen.

These and other agencies address an array of questions about the market:

What demographic and psychographic groups are using what products?

What groups are using what brands? How loyal are they?

When and how often do various consumer groups buy?

What motivates various consumer groups to buy?

How much are various consumer groups spending?

What do various consumer groups look for in a product?

What are the needs, wants, and problems of various consumer groups?

How do various consumer groups look at life?

What demographics and psychographics prevail in what locations (from

cities and counties even to zip codes and city blocks)?

Based on these data, customized research can investigate the current attitudes of

various consumer categories about an organization’s particular product or brand,

and whether, as presented in an advertising and marketing campaign, that

product or brand can potentially deliver what consumers want or need and meet

or exceed their expectations. By the same token, research firms can analyze an

organization’s competitors and look for untapped openings in the market. Thus

armed with research about media and message options, about the target market,

and about the challenges and opportunities facing its product or brand, the

organization can move forward to the planning phase of its advertising and

marketing campaign.

Step 2: Planning

Writing a media plan is, in many ways, similar to writing a public relations plan.

As we learned earlier about any public relations campaign, an advertising and

marketing campaign should also start with goals (longer-term ends stated in

general terms) and move to objectives (shorter-term specific ends that can be

measured and accomplished within a stated time period), strategies (how to

attain each objective), and tactics (how to carry out each strategy). Also like a

public relations plan, a media plan should list who is responsible, budgeted

amounts, timeline for execution and completion, and how results will be

evaluated. Nevertheless, more details are needed. One summary [10] of what to

include in a media plan lists the following components:

Marketing

objectives

…with which advertising must be integrated

Market research ...that defines target markets and consumers

Creative strategy ...that describes the message and its design

Promotion strategy ...with which advertisements must be coordinated

Sales data ...to provide a baseline to determine ad scheduling

Competitive activity ...to reveal opportunities competitors may have missed

Audience ...to specify whom the advertising should reach

Geography ...to specify where advertising should be concentrated

Scheduling ...to specify when and in what media the advertising should run

Copy ...to specify the content of the advertising

Coupons ...to specify how adveretising may be supported b promotion

Reach and

frequency

...to specify how many people, how often, the advertising must

reach

Testing ...to specify how progress will be assessed and adjustments made

Note how advertising that influences the behavior of targeted consumers must

work in tandem with marketing that promotes a product or brand. Thus media

planners must be aware of a larger picture. Donald Parente has described how

the concept of marketing evolved after World War II. [11] During the 1950s,

organizations adopted a consumer orientation in which marketing sought to meet

pent-up demand for goods that consumers had to forgo during the Great

Depression of the 1930s and then the war years of the 1940s. By the 1960s and

1970s, increasingly sophisticated consumers demanded more diverse product

offerings, prompting organizations to promote their wares through market

segmentation, or pitching products to narrower segments of the public. This

development intensified in the 1980s and 1990s until niche marketing, or

creating whole product lines for specific consumer segments, became the norm.

In the new century, mass customization and personalization are the emphases for

marketing as companies modify existing products for specific segments, create

products customized to those segments, or make personalized marketing pitches.

Thus, for example, cell phone makers offer modifications that allow users to

personalize standard phones (from color choices to customizable apps), services

pitched to different consumer segments (such as phones with contracts, phones

with no contracts, and stripped-down phones for seniors), and personalized

marketing messages (often sent to consumers via their own phones).

Because advertising occurs within this larger universe of how products and

brands are marketed, the integrated marketing communications approach

described earlier kicks in. A comprehensive marketing communications plan

would include the following: (1) research on the organizations and its

consumers, markets, products, and competitors; (2) overall goals and objectives

for marketing, advertising, and public relations; and (3) specific objectives,

strategies, and tactics for advertising and media, marketing and promotion, and

public relations.

Step 3: Communication

Scheduling when and where an organization’s advertisements and marketing will

appear is the how of a campaign. Creative strategy is the what of the campaign.

Given the vast array of print, broadcast, and digital media today, a discussion of

how to write and design copy is far beyond the scope of a textbook on

organizational communication. An extensive literature already exists on the

subject. But just as we focused on some underlying principles such as

coorientation to lay the groundwork for developing public relations messages, so

we can focus on some basic considerations in developing advertising and

marketing messages.

Before creating any advertisement or marketing piece, of course, the

organization must determine the target audience and then decide its creative

goals and objectives. If its brand or product is new or little known, the goal

might be to create awareness that puts the offering on the map. Or if the offering

is well established, the goal might be to create “top-of-mind” awareness so that

targeted consumers think of the brand or product first, before that of competitors.

From there, as we learned earlier, goal-setting must move to formulating

objectives—that X will increase by Y within Z months.

Next, strategies must be fleshed out to achieve the objectives. Thus a creative

objective is achieved by devising a creative strategy. Since advertising and

marketing efforts may span various forms of print, broadcast, and digital media,

and since spots will run at various times rather than all at once, the creative

strategy unifies the campaign. In broad terms, Parente has summarized—as

shown in Table 14.6—seven general strategies that a creative team might

employ. [12]

Table 14.6 Parente's General Creative Strategies

Strategy Description May be used when...

Generic Describe benefits without comparisons to

competition brand/product dominates market

Preemptive Be first to claim key benefit competing products provide similar benefits

Unique Emphasize distinguishing benefit brand/product has differentiating factor

Brand

Image

Change or reinforce consumer attitudes

toward the brand

differences between products are difficult to

distinguish or maintain

Positioning Place brand/product in unfilled niche taking market share from market leaders

Resonance Associate brand/product with positive

feelings

product category (e.g., automotive) is

widespread and highly visible

Affective Create emotional bond between target

consumers and brand/product brands/products are hard to differentiate

Once a general strategic approach is determined, specific creative strategies may

be addressed. Overall, the creative strategy should incorporate four elements:

1. The strategic focus of creative work must be the goal that the campaign is

to achieve. Thus, for example, the goal of a regional public university might

be to increase enrollment, with an objective of 3 percent annual growth

over three years.

2. The positioning of the creative strategy supplies the context for the

campaign. So the university in our example ascertains it must recruit in a

market where potential students are worried about tuition costs and where

nearby institutions are aggressively pushing financial-aid packages.

3. The big idea of the creative strategy is the theme that gets the attention of

the target audience and unifies the advertising and marketing messages.

Therefore, the university decides its spots will feature testimonials from

recent graduates, of various majors and ages, who stress the affordability of

their degrees and how the investment paid off in a satisfying new career.

4. The continuity of the creative strategy ensures—typically through a

unifying slogan, character, and/or stylistic elements—that the campaign

leaves a common impression on the target audience. So the university

creates print, broadcast, and digital media advertisements, each with a

testimonial from a recent graduate, but all featuring the slogan “An

Investment You Can Afford,” along with the university mascot and the

same color scheme and (for broadcast and digital) theme music.

Goals and objectives are translated into strategies and then into tactics that

execute the strategies. That principle applies as well to creative strategies that

must be turned into creative tactics. This occurs as organization leaders, after

reviewing the research and determining the strategies, write a creative brief, or a

document that guides the staff who creates the advertisements and marketing

pieces. Finally, the campaign is ready to launch when the creative work is

approved and then run according to the schedule specified in the media plan.

Step 4: Evaluation

As we saw earlier with public relations, so the evaluation phase of an advertising

and marketing campaign is really the launch for the research phase of the next

campaign. And that means many of the precampaign research activities

described earlier will be repeated in the postcampaign evaluation. The former

provides a baseline for assessing the results of the latter. In other words, as

compared to how targeted consumers felt about an organization’s product or

brand before the campaign, repeating the same research will reveal how they feel

after the campaign. Consumer surveys, focus groups, and interviews can

demonstrate whether and how attitudes have changed. Market research can

indicate whether product buying and usage patterns have risen in the

organization’s favor.

To give you an idea of how such postcampaign research might work, recall the

BASIC cycle of communication objectives introduced in the previous section on

evaluating public relations campaigns. As you can see in Figure 14.5, BASIC is

an acronym for a five-step cycle of building awareness, advancing knowledge,

sustaining relevance, initiating action, and creating advocacy. Then, as illustrated

in Figure 14.6, these five steps can guide postcampaign evaluations as the

organization surveys the target audiences on what they recall, what they know,

whether they think it matters, what they intend to do about it, and whether they

prefer the organization’s message and would recommend it to others. David

Michaelson and Don Stacks [13] have suggested how interview and survey

questions might be modified—as shown in Table 14.7—depending on whether a

public relations campaign or an advertising and marketing campaign is being

evaluated.

Table 14.7 Postcampaign Evaluation: Michaelson and Stacks

Public Relations Evaluation Advertising and Marketing Evaluation

Awareness "Do you recall any of the following

(issues/topics)?"

"Do you recall any of the following

(brands/products/services)?"

Knowledge "Indicate your level of agreement with

each statement about an (issue/topic)."

"Indicate your level of agreement with each

statement about a (brand/product/service)."

Interest "Indicate your level of interest in this

(issue/topic)."

"Indicate your level of interest in this

(brand/product/service)."

Intention "How likely are you to support this

(issue/topic)?"

"How likely are you to (try/purchase) this

(brand/product/service)?"

Preference "Which (issue/topic) one do you support

the most?"

"Which (brand/products/services) do you

prefer?"

A Word of Warning

One coauthor of this book (Mark Ward) asks his public relations students to

choose a film in which the discipline is a major focus of the storyline. A classic

film buff, he has reviewed depictions of public relations, advertising, and

marketing in films produced from decades past to the present day. These

depictions, stretching back more than eighty years, are almost uniformly

negative. Public relations, advertising, and marketing are nearly always

portrayed as manipulative and their practitioners as cynical or unscrupulous.

While real-life professionals wince, the sheer universality of the Hollywood

version in our popular culture suggests a conflict at the heart of modern society

and the human condition. The power to persuade, multiplied by mass media,

carries with it the power to deceive.

Anthony Pratkanis and Elliot Aronson have called this generation the Age of

Propaganda. Writing at the turn of the millennium—the numbers have surely

increased since then—they noted that Americans each day are exposed to nearly

twenty billion print ads, forty million pieces of direct mail, more than eleven

million websites, almost three million radio commercials, half a million

billboards, and more than a quarter of a million television commercials. [14] Not

all this content, of course, is propaganda. Public relations, properly conducted as

a two-way dialogue, can resolve conflicts. Advertising and marketing can make

people aware of solutions they need, as well as promote comparison and

competition that keep prices down. The distinction between persuasion and

propaganda, say Pratkanis and Aronson, is simple. Persuasion is thoughtful;

propaganda is mindless. In other words, persuasion encourages deliberation

before choosing; propaganda encourages choosing without deliberation. They

have catalogued more than two dozen propaganda techniques—from the

granfalloon (making up a meaningless organization and telling people they

belong) to the norm of reciprocity (giving people something so they feel

compelled to give something in return). Appeals to fear or guilt, use of slippery

or colorful words, citation of doctored statistics or selective facts, the

manufacture of credibility through emotional confessions or celebrity

endorsements—all these and more make the list.

Earlier in this book—in fact, right after the introduction—we devoted a whole

chapter to organizational communication ethics. Perhaps you may want to go

back and reread Chapter 2, for you will need a steady ethical compass to resist

the temptations that come with the power to persuade. Yet as the Public

Relations Society of America states, in the first Core Principle of its Member

Code of Ethics: “Protecting and advancing the free flow of accurate and truthful

information is essential to serving the public interest and contributing to

informed decision making in a democratic society.” [15]

Similarly, the Standards of Practice for the American Association of Advertising

Agencies and the American Marketing Association Statement of Ethics also

expand on the importance of ethics. You can access the Standards of Practice and

Statement of Ethics here.

Public relations, advertising, marketing—each discipline demands, as the highest

ethical values of professional practice, a commitment to thoughtful persuasion

rather than mindless propaganda.

KEY TAKEAWAY

At least four types of research go into an advertising and marketing campaign:

1. Media research investigates the available media options along with their coverages and costs. The goal of a media plan is to determine the best media mix, or scheduling of various mediums, for the plan budget.

2. Copy testing ascertains the effectiveness of the advertising itself by finding out how various designs were perceived by test subjects and if attitudes and intentions were changed.

3. Market research, which can be purchased from firms that specialize in such research, reveals the demographics and psychographics of a target audience, or their nonattitudinal (e.g., age, gender, income, education level, ethnicity, family status) and attitudinal (e.g., political, religious, and lifestyle preferences) characteristics.

4. Product research, also available for purchase, investigates the product usage patterns of targeted consumers.

A media plan specifies the audience and geographic areas that

advertising is designed to reach, when and in what media the

advertising is scheduled to run, the content of the advertising,

how many targeted consumers the advertising should reach and

how often, and how results will be evaluated. This data can be

folded into an overall marketing communications plan that sets

forth the research; delineates broad goals and objectives for

marketing, advertising, and public relations; and lists specific

objectives, strategies, and tactics for advertising and media,

marketing and promotion, and public relations.

An advertising and marketing campaign needs a creative strategy

to guide the content and design of its messages. In broad terms,

general creative strategies include generic (describe a benefit

without making comparisons), preemptive (claim a benefit before

competitors do), unique (emphasize a distinguishing benefit),

brand image (boost the brand rather than a benefit), positioning

(put the brand/product in a niche not addressed by competitors),

resonance (associate the brand/product with positive feelings), or

affective (create a bond between the brand/product and

consumers). After deciding the broad strategic outline, the

creative strategy must focus on the goal that the campaign is

intended to achieve, position the strategy within the context of the

market and the competition, specify the theme that gains

consumer attention and unifies the campaign, and provide

continuity—often with a slogan and common design elements—

that ensures consumers come away with a common impression.

Once all these are determined, a creative brief is written to guide

the design efforts of the creative staff.

As with public relations, an advertising and marketing campaign is

a four-step process of research, planning, communication, and

evaluation. Yet once again, evaluation not ONLY occurs at the

end but is ongoing throughout a campaign and is, in fact, the start

of the research phase for the next campaign. Here, too, the

BASIC cycle of communications (build awareness, advance

knowledge, sustain relevance, initiate action, create advocacy)

provides a basis for evaluating a campaign. Targeted consumers

can be asked what they recall, what they know, how much it

matters to them, what they intend to do about it, and whether they

will tell others. However, evaluation of an advertising and

marketing campaign will ascertain what consumers think about

the organization’s brand or product, rather than its position on an

issue, risk, or crisis.

EXERCISES

1. Think of a product you enjoy and the brand you favor. Make a list

of all the media in which advertising and marketing messages

about the brand have reached you. Why did the company that

owns the brand choose those media? To answer that question, do

some “market research” on yourself. List the demographic traits

(e.g., age, gender, education, income) and psychographic traits

(e.g., lifestyle preferences, hobbies and interests) that best define

you. How do those traits relate to the advertising and marketing

mediums that the brand owner chose—perhaps by advertising on

a TV show that appeals to your age group or sponsoring a special

event that appeals to people who share your interests?

2. Now find some samples of advertisements or promotions run by

that brand and do your own “copy test.” Looking at a particular ad

or promo, what gets your attention? What do you notice the most?

How long did it take you to recognize the brand and to get the

ad’s main idea? Do you like the ad? Does it involve you

emotionally? Do you think the ads and promos that you’ve seen

for the brand are a reason why you prefer it? Now go back to the

list you made of your most defining demographic and

psychographic traits. Again, how do these relate to design of the

ads and why the brand owner went with those designs?

3. As you continue to think about the product you enjoy and the

brand you prefer, look again at the samples of advertisements

and promotions you have collected. What was the brand owner’s

general creative strategy—generic, preemptive, unique, brand

image, positioning, resonance, or affective? Why do you think the

brand owner chose this strategy? And why did the strategy work

with you? Also, what are common elements of the ads and

promos—such as slogan, color scheme, theme music—that unify

these messages and give them continuity? If you prefer this

brand, then the messages must have had a cumulative effect on

you and left a common impression. Describe that impression.

4. Describe in your own words the difference between persuasion

and propaganda. Then think about the advertising, marketing, and

public-relations messages to which you are exposed each day.

Perhaps write down a list of ads and promos that pop into your

head; do some surfing on the TV, radio, and Internet; or keep a

diary for one day of all the messages you see, hear, or read.

Consider each one and ask yourself: Did the message encourage

me to think and then choose, or to choose without thinking?

Would you characterize it as thoughtful persuasion or mindless

propaganda? Why?

Frequency:

Hit :

Impressions:

Media Buys:

Media Mix:

Media Plan:

Media Planning:

Page View:

Propaganda :

Rating:

Reach:

Share:

Unique Visitors:

Visit :

KEY TERMS AND DEFINITIONS

The average number of times that people (or homes) are exposed to an advertisement.

When a web server sends a file to a browser.

The combined numbers of people (or homes) delivered by the list of media within a media plan.

The purchase of space in a publication or airtime on a broadcast.

The combination of different media that, ideally, yields the most cost-effective reach and frequency with the target audience.

The plan that specifies the target audience for an advertising campaign, when and in what media the ads will run, the content of the ads, how many consumers the ads should reach and how often, and how results will be evaluated.

As a professional discipline, the work of researching and scheduling media placements.

When a visitor accesses a web page.

Messages that encourage choosing without mindful deliberation.

The percentage of people (or homes) exposed to a medium.

The percentage of different people (or homes) exposed to an advertising campaign within a designated time period.

Percentage of people (or homes) using television (or radio) who are tuned to a given program.

The number of different users who visit a website.

When a human or robot user accesses a website.

[1] For example, see Darvell, M. (2000). Eating disorders, body, and the

media. London, UK: British Medical Association.

[2] Starr, P. (2004). The creation of the media: Political origins of modern

communications. New York, NY: Basic Books.

[3] Lewis, T. (1991). Empire of the air: The men who made radio. New

York, NY: HarperCollins.

[4] Sterling, C. H., & Kitross, J. M. (2002). Stay tuned: A history of

American broadcasting (3rd ed.). Mahwah, NJ: Erlbaum.

[5] Surmanek, J. (1996). Media planning: A practical guide (3rd ed.).

Chicago, IL: NTC Business Books.

[6] Surmanek, J. (1996). Media planning: A practical guide (3rd ed.).

Chicago, IL: NTC Business Books.

[7] Ad Age. (2007, August 15). Advertising as percent of sales in 2007.

Retrieved from http://adage.com/article/datacenter-advertising-

spending/advertising-percent-sales-2007/119881/

[8] Surmanek, J. (2004). Advertising media A to Z. New York, NY:

McGraw-Hill.

[9] Wimmer, R. D., & Dominick, J. R. (2003). Mass media research: An

introduction (7th ed.). Boston, MA: Wadsworth.

[10] Surmanek, J. (1996). Media planning: A practical guide (3rd ed.).

Chicago, IL: NTC Business Books.

[11] Parente, D. E. (2006). Advertising campaign strategy: A guide to

marketing communication plans (4th ed.). Mason, OH: Thomson South-

Western.

[12] Parente, D. E. (2006). Advertising campaign strategy: A guide to

marketing communication plans (4th ed.). Mason, OH: Thomson South-

Western.

[13] Michaelson, D., & Stacks, D. W. (2011). Standardization in public

relations measurement and evaluation. Gainesville, FL: Institute for

Public Relations. Retrieved from http://www.instituteforpr.org/iprwp/wp-

content/uploads/Standardization-in-Public-Relations-Measurement-and-

Evaluation-FINAL-8-17.pdf Michaelson, D., & Stacks, D. W. (2011).

Standardization in public relations measurement and evaluation. Public

Relations Journal, 5 (2), 1-22.

[14] Pratkanis, A., & Aronson, E. (2001). Age of propaganda: The

everyday use and abuse of persuasion (Rev. ed). New York, NY: Owl

Books, p. 5.

[15] Public Relations Society of America. (2013). Public Relations Society

of America (PRSA) member code of ethics. Retrieved from

http://www.prsa.org/aboutprsa/ethics/codeenglish/

14.3 Chapter Exercises

REAL-WORLD CASE STUDY

Until 1980, the federal government took responsibility for nuclear

waste disposal. That year, Congress passed a law giving

responsibility for low-level, non-defense-related waste to the states.

A 1985 amendment allowed states to form regional compacts and

share responsibility. The eight states of the Southeastern region

decided to take twenty-year turns hosting low-level nuclear waste

sites. Since South Carolina had already hosted such a site for many

years, regional officials agreed in 1987 that North Carolina would

take its turn starting in 1993. The state legislature created the North

Carolina Low-Level Radioactive Waste Management Authority and

specified a schedule of deadlines for making decisions.

The authority soon fell behind its deadlines and incurred public

wrath. For one thing, its advisory committee was stacked with more

industry representatives—from nuclear power, the business

community, and state administration—than citizens. The committee

later vetoed a proposal to seat more citizens, fearing such a move

might “dilute” the quality of its decisions. Nor could the committee

reach consensus on a plan for public involvement; citizen members

pushed for extensive participation, but industry and government

representatives favored more controlled input. Ultimately (and past

the original deadline) the authority adopted a Public Participation

Plan (PPP) and spent $2 million on an extensive public relations

campaign: mass mailings, a mobile information van, speakers’

bureau, school curriculum, traveling exhibits, toll-free information

line, dissemination of authority documents and meeting minutes,

media news releases and public service announcements,

backgrounders, fact sheets, media kits, talk-show interviews, photo

ops, a regular newsletter, and printed and audiovisual materials sent

to libraries statewide. Public comment, however, was invited only at

the end of the process after the authority had completed its

deliberations and presented its case.

Public anger mounted and, when Wake County was chosen to host

the low-level nuclear waste site, the public felt the decision lacked

credibility. Two scholars at North Carolina State University studied

the controversy and concluded that the public was not won over

because the authority maintained “ideological control of language

and values vested in the siting process by the belief in the efficacy

of science and technology to solve all problems.” [1] Thus the

authority saw its PPP as a way to “correct” public opinion, viewed

public participation as a “controlled” process in which it “received”

comments, and disdained public emotion, which it felt had no place

in a scientific and technical issue. The two scholars acknowledged

that the authority acted conscientiously within its own assumptions

of public good. But its public relations were “based on a one-way,

asymmetric, elitist communication process” that was itself based on

an overly mechanistic SMCR (source-message-channel-receiver)

communication model. [2]

1. Which of Grunig and Grunig’s four models of public relations was

practiced by Waste Management Authority? Explain your answer.

2. On what resource, controlled by the general public, did the

authority depend? Explain why.

3. Do a SWOT analysis for the authority.

4. How might the authority have benefited from the coorientation

model? Work the case through the model yourself to explain

where misperceptions occurred and how they might have been

addressed.

5. Do you think the authority employed the hypodermic needle

theory of mass communication? Why or why not?

6. How might diffusion theory explain the spread of public discontent

over the process for siting the low-level nuclear-waste facility?

7. How did the beliefs, attitudes, and values of the scientific and

technical experts of the authority differ from those of most

citizens?

8. Using Lang and Lang’s collective dynamics model, describe how

public opinion about the nuclear waste issue was formed.

END-OF-CHAPTER ASSESSMENT

1. Which one of the following is not one of the four models in Grunig and Grunig’s four models of public relations?

a. press agentry/publicity b. press relations c. public information d. two-way asymmetrical e. two-way symmetrical

2. Which of the following is not one of the rhetorical situations faced by organizations in external communications?

a. manage identity b. manager issues c. manage media d. manage risk e. manage crises

3. Which theory holds that when people encounter media coverage on an issue, they are sensitized to further such coverage and more likely to seek it out and think about it?

a. attribution theory b. schema theory c. framing theory d. social judgment theory e. priming theory

4. To what does the term impressions refer?

a. the percentage of people or homes tuned to a given program

b. the percentage of people or homes exposed to a medium c. the combined numbers of people or homes delivered by

the list of media within a media plan d. the percentage of different people or homes exposed to an

ad campaign within a designated time period e. the average number of times that people or homes are

exposed to an advertisement

5. The BASIC cycle of marketing communications is:

a. build knowledge, advance action, sustain awareness, initiate advocacy, create relevance

b. build relevance, advance awareness, sustain knowledge, initiate action, create advocacy

c. build awareness, advance advocacy, sustain action, initiate knowledge, create relevance

d. build awareness, advance knowledge, sustain relevance, initiate action, create advocacy

e. build relevance, advance awareness, sustain knowledge, initiate advocacy, create action

Answer Key

1. b

2. c

3. e

4. c

5. d

[1] Katz, S. B., & Miller, C. R. (1996). The low-level radioactive waste

siting controversy in North Carolina: Toward a rhetorical model of risk

communication. In C. G. Herndl & S. Brown (Eds.), Green culture:

Environmental rhetoric in contemporary America (pp. 111–140). Madison:

University of Wisconsin Press, p. 123.

[2] Katz, S. B., & Miller, C. R. (1996). The low-level radioactive waste

siting controversy in North Carolina: Toward a rhetorical model of risk

communication. In C. G. Herndl & S. Brown (Eds.), Green culture:

Environmental rhetoric in contemporary America (pp. 111–140). Madison:

University of Wisconsin Press, p. 134.

Chapter 15

The Professional Side of Organizational Communication

Organizational Change

One of the most common dilemmas the modern organization is faced with

involves change. Organizational change is a systematic approach for

developing and dealing with new situations and markets in an attempt to help an

organization reach its desired goals smoothly and successfully. When we attempt

to change an organization, it is key not only to think of the process as systematic

but also to look at change from a systems perspective. One of the biggest

mistakes an organization can make when attempting change is to think of change

as fixing a small problem instead of trying to see the underlying causes of the

problem, how this problem is affected by other parts of the system, and how the

problem affects other parts of the organization. Change management refers

then to the systematic application of tools and techniques to create structural,

cultural, and/or personnel modifications within an organization to help the

organization achieve a desired result. You’ll notice that this definition refers to a

variety of tools and techniques. This chapter explores only a handful of change-

management tools and techniques, because there are volumes written on the

subject elsewhere. The changes that are ultimately desired occur in one of three

categories: structural, cultural, and personnel. Structural changes are changes

within the organizational hierarchy or workflow processes in an attempt to make

the organization more effective and efficient. Cultural changes are the

systematic modification of an organization’s shared attitudes, behaviors, beliefs,

and values. Lastly, organizations can undergo personnel changes, or the

systematic analysis and education of individual employees or groups of

employees to ensure specific attitudes, knowledge, and skills needed to complete

organizational tasks.

Obviously, change isn’t easy. In fact, change can be a very time-consuming and

costly endeavor. To help organizations systematically think through

organizational change, Geri McArdle and Cheryl Hanson proposed an eight-step

change process model (Figure 15.1). [1]

Figure 15.1 Change Process Model

Change Management:

Cultural Changes:

Organizational Change:

Structural Changes:

Personnel Changes:

This basic model is designed to help change managers or consultants think

through the entire change process. You’ll notice that the majority of the model

involves the stages necessary for preparing for the change intervention. The rest

of this chapter examines a number of different ways change managers and

consultants can help organizations change. All the following change

management processes are commonly used by communication consultants who

specialize in organizational change.

KEY TERMS AND DEFINITIONS

The systematic application of tools and techniques to create structural, cultural, and/or personnel modifications within an organization to help the organization achieve a desired result.

The systematic modification of an organization’s shared attitudes, behaviors, beliefs, and values.

A systematic approach for developing and dealing with new situations and markets in an attempt to help an organization reach its desired goals smoothly and successfully.

Modifications within the organizational hierarchy or workflow processes in an attempt to make the organization more effective and efficient.

The systematic analysis and education of individual employees or groups of employees to ensure specific attitudes, knowledge, and skills needed to complete organizational tasks.

[1] McArdle, G., & Hanson, C. (2006). An eight-step change model

(Infoline No. 0608). Alexandria, VA: ASTD Press.

15.1 Organizational Development

LEARNING OBJECTIVES

1. Define the term organizational development.

2. Describe the simplified organizational-development model.

3. Analyze Kurt Lewin’s three-phase model of change.

4. Differentiate among the four steps in David Cooperrider and

Suresh Srivastva’s appreciative inquiry 4-D model.

In the introduction to this chapter, we briefly discussed the notion of

organizational change. Let’s face it, organizations (and people) generally do not

like change. One of the basic notions of systems theory is that organizations

strive toward equilibrium (or balance). Anyone attempting to change an

organization tries to get that organization (and the people within it) to allow for a

state of movement while a new form of equilibrium is found for the organization

(and its people). As such, systems generally try to avoid change at all costs and

only succumb to change when the majority of organization members are finally

on board. Anyone who has attempted to get an organization to alter its path with

the support of only a handful of people will know that change simply cannot be

facilitated with a few people. Although a handful of people may initiate change,

organizational change must be larger and more systematic for it to truly take root

and be effective. Everett Rogers, in his book Diffusion of Innovations, talks

about how people adapt to change. He places individuals in one of five

categories (see Figure 15.2). [1] As you can see, those who are most likely to

advance change within an organization are only 2.5 percent of any given

population. Furthermore, there are always those who will avoid change at all

costs (the 16 percent laggards). The purpose of change, then, is generally

focused on getting the early and late majorities on board. One way both external

and internal consultants can help organizations in their striving toward change is

through organizational development.

Figure 15.2 Diffusion of Innovations

What Is Organizational Development?

For our purposes, organizational development is defined as the use of

behavioral and social science research to enhance organizational and individual

performance through (1) the examination of organizations as large, complex

systems and (2) planned practice of changing and reinforcing organizational

processes, strategies, and structures to improve organizational outcomes. Let’s

break this definition down into a number of parts.

Behavioral and Social Science Research

Organizational development (OD) is fundamentally rooted in the literature of the

behavioral and social sciences. In fact, the goal of organizational development

consultants is to use the latest research from various fields in an effort to help an

organization change. As such, organizational development practitioners tend to

use a wide range of tactics that have proven useful in organizational research.

Whether that research comes from the fields of business,

industrial/organizational psychology, or organizational communication is of less

concern than the practical use of these ideas to make organizations, and their

members, stronger and healthier. For this reason, people who work in OD must

keep up with the latest in business research.

Performance Focused

Organizational development consultants are ultimately focused on performance

at both the individual and organizational levels. First, OD consultants seek out

appropriate intervention strategies that will help develop individuals or groups of

performers within the organization. Later in this chapter, we’ll focus specifically

on both training (Section 3) and human performance improvement (Section 4) as

both individual and group ways of improving organizational outcomes. For now,

we are going to focus on the more macro aspects of organizational development.

These performance-focused interventions are generally larger and more holistic

within an organization. The goal of these performance interventions is to help

organizations focus on change and reinforcement of this change.

Systems Perspective

Important factors for organizational development include both a larger systems

view of organizations and the systematic process for implementing

organizational change. First, OD consultants need to think of organizations as

large, complex entities that take on a life of their own. They have their own

intricate ways of behaving and responding, so getting a larger perspective of

what is occurring within an organization is a must for any OD practitioner.

Second, the process used by an organizational development consultant must be

systematic. We examine a number of different organizational development

intervention strategies in this chapter, all of which take a very systematic

approach to developing an organization. This notion is hardly new. Alan J. Dale

was one of the first US scholars to propose a systems model for OD. [2]

Although previous scholars had discussed the notions of systems thinking at the

organizational level, Dale’s model was the first to combine this knowledge into a

practitioner-focused model that could be used for organizational change and

reinforcement of that change.

Change and Reinforcement

The last part of our definition of OD is focused on the use of planned practice of

changing and reinforcing organizational processes, strategies, and structures to

improve organizational outcomes. We start with the notion that organizational

development should be a planned practice. In essence, OD should not be done on

a whim. Too many internal and external OD consultants just dive into

development without thinking through the development process. The goal of this

planned process is to help organizations both change and then reinforce the

change that occurs. Once the OD intervention has taken place, you cannot

simply stand back and think your job is over. If someone is not constantly

overseeing change, people will naturally slip back into old patterns of behaving

and thinking. As such, it’s important for an OD consultant to periodically check

in to ensure that the OD intervention is still working and being implemented as

originally intended.

Ultimately, the goal is to change/reinforce organizational processes, strategies,

and structures. First, OD consultants can focus on changing organizational

processes that are cumbersome and take too long. For example, imagine you

work in a department that uses a lot of copy paper for very important documents.

If your department has to order copy paper from a central supply warehouse that

makes deliveries only once a week, the process simply may not be quick enough

if you have pressing needs. Maybe your department is suddenly flooded with

documents that need copying, and you run out of paper. This, we might add, is a

real example from one of our schools. An OD consultant could look at this

process and realize it is cumbersome and inefficient. Maybe the department

should be allowed to order directly from an office-supply company during

periods of crisis, or maybe the warehouse needs more personnel to make

biweekly deliveries instead of weekly. We might add that many organizational

communication consultants examine these problematic communication processes

within an organization as an area of OD. Admittedly, depending on the OD

consultant’s background, he or she may have very different perceptions of the

process problems that are seen and eventually addressed. For this reason, having

an interdisciplinary consultant team can actually be very beneficial, because the

team would allow for a broader approach and scope for OD.

Second, OD consultants can focus on organizational strategies that will improve

the current products and services of an organization or help them realize new

ones. The goal of working with organizational strategies is to help the

organization realize what it can be and then what steps need to be taken to get

there. Every organization needs to revisit the basic mission and vision of the

organization periodically and see how an OD consultant can help them achieve

that mission and vision to a greater degree.

Lastly, OD consultants can focus on organizational structures that may be

cumbersome or problematic. The goal for these interventions is to examine

which structures within an organization are working and which ones are not.

Maybe an organization has too many midlevel managers who are cutting off

upper administration from what happens on the shop floor or in the field. The

OD consultant could recommend repurposing those midlevel managers in a way

that would increase information sharing. Other structures focus on workers’

abilities to efficiently complete a product or service. If there are too many checks

and balances that slow down the product development or service

implementation, the OD consultant could recommend cutting out layers of

oversight that are simply duplications. It’s often amazing how many

organizations do not even realize that individuals in different departments are

performing the same tasks. This redundancy is both costly and ineffective. As

organizational communication OD consultants, we often examine

communication structures and how both formal and informal communication

paths may cause problems or at least prevent highly effective internal and

external communication. (For more information about communication paths, see

Chapter 5.)

Simplified Organizational Development Model

For our purposes, we are going to look at a very simplified model for

organizational development. In this basic model (Figure 15.3), we are viewing

the OD consultant as an external party who first needs to gain entry into the

organization. Maybe the consultant is contacted by upper management or the

board of directors. Ultimately, the OD consultant is approached and asked for

her or his expertise. Generally, the consultant will speak to a range of key

stakeholders to get a better understanding of the perceived development needs. [3]

Figure 15.3 Simplified OD Model

Once the OD consultant has a firm grasp on the needs, he or she will move into

the contracting phase. The purpose of the consulting contract phase is to prepare

a written document explaining the OD process and what possible outcomes

would look like for the organization. The more specific an OD consultant can be

during this process, the easier it will be for both the consultant and the

organization to evaluate results. For example, if senior management expects to

see a completely overhauled organization in one month, they may be seeking a

highly unrealistic outcome. As such, it becomes the OD consultant’s job to help

clarify expectations.

Once the contract is signed, the OD consultant enters the organization at a

deeper level and looks for processes, strategies, and structures that may be

preventing the organization from achieving its goals. Remember, the OD process

is ultimately performance focused, so seeing the organization as a large system

with many working parts becomes crucial during this phase. For example, if one

department cannot work on new innovations until another department has

completed its process, the whole project timeline can be slowed down if the first

department has problems. This larger, systematic view helps the OD consultant

come up with possible OD intervention recommendations that fit within the

organization’s existing framework. In other words, one size does not fit all. Each

organization is unique and will need a slightly different OD approach.

After the organizational discovery period, the consultant will recommend ways

to change and/or reinforce existing processes, strategies, and/or structures. These

recommendations should be as specific as possible, taking the whole system into

consideration. For example, if an OD consultant is hired to examine nursing

processes in a hospital, the consultant would be highly constrained if he or she

could not also look at the processes and practices of physicians who interact with

nurses or how patients interact with nurses. Ultimately, the proposed OD

intervention should be able to view all sides of a problem.

The next phase of the OD model is to implement the recommendations.

Although implementation and evaluation are represented as separate processes

on the model, we argue that the two are highly intertwined. From the moment an

intervention is implemented, the OD consultant should be on hand to evaluate

the intervention and make appropriate changes. Eventually, the OD consultant

will want to produce a larger evaluation of the overall OD intervention for the

purposes of clearly articulating to the C-Suite what was done and what was

accomplished. As we discussed in Chapter 9, the C-Suite consists of those

individuals who exist in chairman-level positions within an organization (chief

executive officer, CEO; chief operations officer, COO; chief learning officer,

CLO; etc.). We’ll discuss evaluation in great detail in Section 3.

The final phase of the OD model is the recontracting or exit phase. Many

projects just end, so the OD consultant may hand off the OD intervention to

internal personnel who can keep the intervention running. At other times, OD

consultants may be asked to work on additional problems occurring within an

organization. Organizations often need improvement, and using an OD

consultant is a viable way to help organizations reach their goals.

Methods and Tools for Organizational Development

First, there are no clear-cut strategies for organizational development. Even the

Simplified Organizational Development Model is not 100 percent applicable in

every Organizational Development context. Thankfully, a number of different

strategies have been developed over the years to help OD consultants think

through their individual approaches. In this section, we examine two common

OD practices used today: action research and appreciative inquiry. [4]

Action Research

The first approach to organizational development that we are going to

specifically explore in this chapter is action research. Simply defined, action

research is “both a model and a process. In its simplest form, action research is a

process whereby research, or fact-finding, precedes action and follows it.” [5] To

call this a single approach is a misnomer. In fact, quite a few different

approaches that people have developed over the years fall into the category of

action research. Simply, the goal of action research is to conduct systematic

organizational research related to change (or fact finding) and then make

approach changes. Once changes are made, the process starts again in a never-

ending cycle of fact finding and changes.

The first person to make action research famous was social worker and

anthropologist John Collier. Collier was appointed by President Franklin D.

Roosevelt as the Commissioner of Indian Affairs. During Collier’s tenure as

commissioner, he recommended making small changes and then observing the

effects of those changes. After the effects of the previous changes were

observed, he would then try new changes. However, Collier wasn’t the only

person interested in this idea. A contemporary of Collier’s was German-born

immigrant Kurt Lewin. [6]

Lewin wasn’t exactly interested in organizational change. He was looking for

patterns that would aid in larger patterns of social change. In his eventual

publication in 1958 of the book Group Decision and Social Change, Lewin put

forth the first real model for change: unfreezing, changing, and refreezing. [7]

This simple model was designed to enable groups to think through how change

can happen within the larger social construct.

Unfreezing

First, an individual or organization must realize that change is necessary. Usually

this arises after the organization faces a problem. Maybe an organization is

realizing that its central product or service is losing traction in the larger

marketplace. Maybe another organization is rapidly understanding that when the

current CEO steps down in two months, there will be a huge leadership vacuum.

Whatever the reason, organizations face a change and must therefore react to

what is occurring within the environment or internally.

Changing

The second step in Lewin’s model is where action research takes traction. Lewin

argued that when organizations are faced with change, they must develop new

models and theories for handling and understanding change. However, these new

models and theories need to be tested, refined, and retested over time.

Refreezing

Once an organization has become comfortable with the new models and theories

for organizational behavior and processes, the organization refreezes. In essence,

these new models are no longer viewed as changes but become part of the status

quo.

Using Action Research in Organizational Development

Organizational development consultants often use action research as a tool for

helping organizations change and reinforce organizational processes, strategies,

and structures to improve organizational outcomes. In fact, the OD model

discussed in Figure 15.3 can easily be adapted to this model. The biggest change

is a feedback loop between recommend, implement, and evaluate. After each

evaluation, the OD consultant makes a new recommendation to be implemented

and evaluated. In this process, the organizational consultant could proceed in this

pattern of organizational change indefinitely, always striving to improve the

organization and help it achieve desired outcomes.

Appreciative Inquiry

In 1980, David Cooperrider and Suresh Srivastva were brought in to work with

the Cleveland Clinic on a large-scale organizational analysis that would

eventually become part of Cooperrider’s dissertation. [8] In 1987, the two

published a chapter titled “Appreciative Inquiry in Organizational Life,” which

was the first time the term appreciative inquiry (AI) was used. [9] The notion

behind appreciative inquiry suggests “the idea that collective strengths do more

than perform—they transform.” [10] In essence, AI practitioners use the AI

process to help organizations recognize their strengths in a manner that helps to

transform both the organization and the individuals within the organization.

By definition, appreciative inquiry “is the cooperative, coevolutionary search

for the best in people, their organizations, and the world around them. It involves

systematic discovery of what gives life to an organization or a community when

it is most effective and most capable in economic, ecological, human terms.” [11]

Where most OD consultants start by examining specific organizational

problems, the AI consultant sees the OD as a positive process for helping

organizations and individuals recognize their strengths. Where typical OD starts

with identifying the problem, AI OD starts with appreciating the best that

already exists within the organization. Therefore, AI attempts to help

organizations recognize and value their strengths, envision a future for the

organization, and engage in dialogue about what the organization should be. This

process is often referred to as more “humane,” because it doesn’t start with the

notion that organizations (and therefore their members) are problematic or

broken and need to be fixed. Instead, AI approaches organizations and

individuals as opportunities to be explored and wells of untapped experience and

resources. To help OD consultants adopt an AI approach, AI consultants follow

the 4-D cycle for AI (Figure 15.4).

Figure 15.4 4-D Model

Definition

The first step in the AI process (and not actually part of the true 4-D model), is

definition. Definition is very similarly to the contracting phase discussed in the

OD model in Figure 15.3. At this point, the AI consultant sets out to accomplish

three tasks: (1) decide what to learn about, (2) decide who should be involved,

and (3) decide how to involve those individuals. First, AI isn’t just a “fly by the

seat of your pants” process with no direction. Any OD consultant using AI

should start with a general idea of what he or she needs to learn more about

when starting the consulting process, usually by talking to various stakeholders

or the person involved in hiring the consultant. Part of that learning process is a

refinement of what is currently occurring, who is involved currently, and who

should be involved. Generally, the broader the range of people involved in the AI

process, the more useful the AI intervention will ultimately be. Lastly, the AI

practitioner needs to decide how he or she will encourage individuals to

participate in the AI process. AI is not simply a workshop that one goes to, but it

is a process of transformative change, so buy-in is necessary from all levels of

the organization when implementing.

Discovery

Once the AI consultant has defined the affirmative topic choice, he or she moves

into the 4-D model. The first step is discovery, which involves encouraging a

wide range of stakeholders to articulate what they view as the organization’s

strengths and best practices. During this step of the 4-D model, the AI consultant

must set the positive tone for the process. For this reason, great effort is spent

thinking about the types of questions that should be asked. For example, an AI

consultant wouldn’t say to a group of stakeholders, “Tell me about the current

weaknesses you see in the organization.” This type of question is inherently

nonaffirming and can even lead to blaming. Instead, ask questions that seek out

positive responses from organizational stakeholders to get a stronger grasp on

the current state of the organization.

Positive Questions

Diana Whitney, David Cooperrider, Amanda Trosten-Bloom, and Brian S.

Kaplan wrote a book specifically designed to help AI consultants frame

positive questions, The Encyclopedia of Positive Questions: Using

Appreciative Inquiry to Bring Out the Best in Your Organization. Here are

just five examples from this book:

1. Put yourself in your customers’ shoes. What do you think they would

say if we asked them what makes this organization best-in-class?

2. Tell me about a time when you received can-do coaching. What did it

help you to accomplish? What capacities did it help you discover?

3. Tell me about a time when compelling communication allowed you and

another person to really connect and to work together exceptionally

well. What was the situation? What was it about you, the other person,

and the communication that made it possible?

4. When has new technology helped to facilitate and further cooperation in

this organization? What was that experience like? What hope does it

give you for the future?

5. Where in the organization is participatory decision making at its best?

What contributes to it? How does it work? [12]

Dream

The second step in the AI model is the dream step. The dream step creates a

“clear results-oriented vision in relation to discovered potential and in relation to

questions of higher purpose, such as, ‘What is the world calling us to become?’” [13] In this step, participants involved in the AI process are asked to brainstorm

what the organization “might be” or “might become.” The goal here is not to

think about current roadblocks to the dream but simply to figure out what the

dream is and should be. During this step, AI consultants often have individuals

at various parts in the organizational hierarchy work with each other to “dream

big.” The goal here is to help break down hierarchical walls that often exist

between people and focus on how everyone can help the organization succeed.

Design

The fourth step in the process is really where the “rubber meets the road,” and

individuals participating in AI determine how to achieve the dream. According

to David Cooperrider, Diana Whitney, and Jacqueline Stavros, there are four

steps to the design process: (1) select design elements, (2) identify

internal/external relationships, (3) identify themes and engage in dialogue, and

(4) write provocative propositions. [14] First, individuals during the design phase

should select the design elements necessary to allow the dream to become

reality. Also during this period, ideas are fully clarified. For example, if the goal

of an organization is to increase customer service, then the group needs to define

what excellent customer service is before it can determine how to get there.

Second, individuals in the AI process need to identify internal and external

relationships. The goal here is to identify individuals both within and outside the

organization who contribute to building the organization’s positive core, or those

factors that make an organization and its people the best.

Third, the AI consultant will have individuals participating in the AI program

reexamine the data the consultant collected while he or she was defining the

affirmative topic choice. The goal is to have individuals look through the various

responses for themes that relate to the dream. These themes help feed the design.

Lastly, the AI consultant helps the individuals going through the AI process

write provocative propositions. The goal of provocative propositions is to put on

paper the desired qualities organization members want for their organization.

Destiny

The destiny step is where organization members initiate the change process and

keep its momentum in an effort to create ongoing positive change within the

organization. At this point, individuals and departments talk about how they can

help achieve the dream in specific, concrete ways. The “key to sustaining the

momentum is to build an ‘appreciative eye’ into all of the organization’s

systems, procedures, and ways of working.” [15]

KEY TAKEAWAY

Organizational development is defined as the use of behavioral

and social science research to enhance organizational and

individual performance through (1) the examination of

organizations as large, complex systems and (2) planned practice

of changing and reinforcing organizational processes, strategies,

and structures to improve organizational outcomes.

The simplified organizational development model consists of seven basic steps:

1. An organizational development consultant is asked to engage in some form of OD in the organizational entry step. Also during the organizational entry step, the OD consultant starts to gain a better understanding of the problem(s) facing the organization.

2. The OD consultant creates a consulting contract that specifies what the OD process will look like and the expected results.

3. The OD consultant further investigates the organization from a systems perspective in an attempt to gain a better understanding of underlying causes of problems.

4. The OD consultant makes recommendations for OD interventions to key stakeholders.

5. The OD consultant implements the agreed-upon OD intervention.

6. The OD consultant evaluates the OD intervention. There should be a constant loop between steps 4, 5, and 6, and changes should occur as necessary.

7. The OD consultant either hands off the OD intervention to

internal personnel or begins a new OD project.

Kurt Lewin explains that change happens in three distinct steps:

1. An organization is faced with some kind of problem and realizes that it must change (unfreezing).

2. The organization develops new models and theories for handling and understanding change, which are then tested, refined, and retested over time (changing).

3. Once an organization becomes comfortable with the new models and theories for organizational behavior and processes, the organization incorporates those changes into the status quo, and the change process stops (refreezing).

4. David Cooperrider and Suresh Srivastva originally created the 4-D model for appreciative inquiry in the 1980s. The 4- D model starts with the design phase. In the discovery step, the OD consultant encourages a wide range of stakeholders to articulate what they view as the organization’s strengths and best practices. In the second step, dream, the OD consultant has individuals think about what the organization can become. In the design step, the OD consultant has individuals complete four tasks: select design elements, identify internal/external relationships, identify themes and engage in dialogue, and write provocative propositions. Lastly, the OD consultant enters into the final step in the 4-D model, destiny. In the destiny step, individuals and departments talk about how they can help achieve the dream in specific, concrete ways.

EXERCISES

1. In the introduction to this chapter, we discussed the eight-step

Action Research:

Appreciative Inquiry:

change process model proposed by Geri McArdle and Cheryl

Hanson (Figure 15.1). Using the change model, outline how you

could use either action research or appreciative inquiry to ensure

organizational change.

2. Think about an organization that you currently belong to. If you

were to go about helping that organization change, which model

of organizational development (action research or appreciative

inquiry) would you want to use? Why?

3. One of the most important parts of the appreciative-inquiry process is asking questions positively. Reframe the following negatively worded questions and make them positive:

1. What’s wrong with your organization? 2. Why do you think your organization has its current

problems? 3. Tell about an incident that made you feel devalued in this

organization. 4. What improvements do you think this organization needs

to make? 5. What problems do you see with your current leadership?

Immediate supervisor? Upper management? CEO?

KEY TERMS AND DEFINITIONS

Organizational development method where an OD consultant conducts systematic organizational research related to change followed by an implementation of those changes. Once changes are made, the process starts again in a never-ending cycle of research and changes.

Organizational development method that focuses

Organizational Development:

on increasing the positive aspects of an organization and uses what the organization does well to further its goals instead of focusing on organizational problems and how to fix those problems.

The use of behavioral and social science research to enhance organizational and individual performance through (1) the examination of organizations as large, complex systems and (2) planned practice of changing and reinforcing organizational processes, strategies, and structures to improve organizational outcomes.

[1] Rogers, E. M. (1995). Diffusion of innovations (4th ed.). New York, NY:

Free Press.

[2] Dale, A. J. (1972). A systematic approach to organizational

development. Journal of Management Studies, 9, 57–73.

[3] Minahan, M., Vogel, J., Butler, L. E., & Taylor, H. B. (2013). Facilitation

101: The basics to get you on your feet. In J. Vogelsang et al. (Eds.),

Handbook for strategic HR: Best practices in organization development

from the OD network (pp. 35–45). New York, NY: American Management

Association.

[4] Haneberg, L. (2005). Organizational development basics. Alexandria,

VA: ASTD Press.

[5] Haneberg, L. (2005). Organizational development basics. Alexandria,

VA: ASTD Press, p. 21.

[6] Lewin, K. (1946). Action research and minority problems. Journal of

Social Issues, 2(4), 34–46. doi:10.1111/j.1540-4560.1946.tb02295.x

[7] Lewin, K. (1958). Group decision and social change. New York, NY:

Holt, Rinehart & Winston.

[8] Cooperrider, D. (1984). Appreciative inquiry: Toward a methodology

for understanding and enhancing organizational innovation (Doctoral

dissertation, Case Western Reserve University, Cleveland, OH).

[9] Cooperrider, D. L., & Srivasta, S. (1987). Appreciative inquiry in

organizational life. In W. Pasmore & R. Woodman (Eds.), Research in

organization change and development (pp. 129–169). Greenwich, CT:

JAI Press.

[10] Cooperrider, D. L., & Whitney, D. (2005). Appreciative inquiry: A

positive revolution in change. San Francisco, CA: Berrett-Koehler, p. 2.

[11] Cooperrider, D. L., & Whitney, D. (2005). Appreciative inquiry: A

positive revolution in change. San Francisco, CA: Berrett-Koehler, p. 8.

[12] Whitney, D., Cooperrider, D., Trosten-Bloom, A., & Kaplan, B. S.

(2005). Encyclopedia of positive questions: Using appreciative inquiry to

bring out the best in your organization (Vol. 1). Brunswick, OH: Crown

Custom, pp. 8, 10, 11, 14, & 19.

[13] Cooperrider, D. L., & Whitney, D. (2005). Appreciative inquiry: A

positive revolution in change. San Francisco, CA: Berrett-Koehler, p. 16.

[14] Cooperrider, D. L., Whitney, D., & Stavros, J. M. (2008). Appreciative

inquiry handbook for leaders of change (2nd ed.). San Francisco, CA:

Berrett-Koehler.

[15] Cooperrider, D. L., Whitney, D., & Stavros, J. M. (2008). Appreciative

inquiry handbook for leaders of change (2nd ed.). San Francisco, CA:

Berrett-Koehler, p. 47.

15.2 Communication Analyses and Audits

LEARNING OBJECTIVES

1. Differentiate between communication analyses and

communication audits.

2. Explain the difference between individual assessments and

organizational communication research.

3. Analyze the International Communication Association

organizational communication audit.

4. Explain Cal Downs and Michael Hazen’s Communication

Satisfaction Questionnaire.

5. Evaluate the parts of written organizational reports related to

communication assessments and audits.

People love to understand what works and what doesn’t work within an

organizational environment. One area that is commonly said to be problematic

involves communication within the organization. The next tool that’s available to

individuals who study organizational communication is the communication

analysis or audit.

Organizational Communication Analyses

For our purposes, we define communiction analysis and communication audit

with respect to their intended goals. A communication analysis is conducted

when a group of people sets out to examine a specific type of organizational

communication or a variable related to organizational communication. For

example, if your goal is to find out what type of leadership communication style

senior managers are using, you could find a mental measure that purportedly

examines leadership and hand it out to senior managers. Such a study is

generally done for an individual’s knowledge about her or his communication

style or conducted as part of general scientific research on the subject of

organizational communication.

Individual Assessments

People enjoy learning about themselves and how they fit, behave, and

communicate within the world around them. There is an entire industry set up to

help individuals “learn” more about how they lead, communicate, handle

conflict, negotiate, learn, and many other communicative and psychological

variables. These assessments can be very useful when attempting to diagnose

possible problems within an organization, if they are seen as diagnostic. For

example, imagine you’ve been brought into an organization as an external

consultant because the organization’s senior management isn’t receiving

information fast enough from those who work in the field. The senior

management just assumes it’s happening from a lack of training, so they want

you to “fix” their employees. You may think right off the bat that you may be

hearing about a problem related to organizational dissent or employee silence.

(We discussed both concepts in Chapter 5.)

To help you determine if your assumptions are correct, you could perform a

simple needs analysis at the beginning of training. You get permission to use the

organizational dissent scale and the employee silence/voice measures in your

training. Notice we do say that you need to get permission. By permission, we

are talking about getting permission from the author of the original scale herself

or himself. Research scales are generally allowed for use in academic

environments for research purposes, but when you want to use one of these

measures in a professional environment, you will need to have permission. Some

researchers will gladly give you permission via e-mail or request a nominal fee

for each participant completing the measure. The Educational Testing Service

(ETS), the same group that creates and administers the Scholastic Assessment

Test (SAT) and Graduate Record Examination (GRE), also has a large database

of research tests for perusal. This is a good database for finding possible

measures, but you would still need permission to use any test located in the

database.

Let’s say that you get permission to use the Employee Silence Scale. At the

beginning of a training workshop, you could hand out the scale to participants

and have them score themselves on the degree to which they feel they remain

silent or express themselves within the organization.

Employee Silence Scale

Instructions: The following are perceptions that individuals may have about

how they engage with others in the workplace. Please describe your

characteristic behavior (across time and across situations) by responding to

the following items:

Strongly Disagree Disagree Neutral Agree Strongly Agree

1 2 3 4 5

1. I really just don’t care, so I’m pretty unwilling to express my thoughts at

work. _____

2. I withhold ideas because my workplace will never change. _____

3. I keep my ideas about possible workplace solutions to myself. _____

4. I appear to express agreement at work because no one listens anyway.

_____

5. I just go along with the group because nothing will change. _____

6. To avoid “rocking the boat,” I just sit, smile, and nod my head in

agreement. _____

7. I don’t express ideas for workplace improvements to protect myself.

_____

8. I withhold solutions to problems because I’m just tired of having them

shot down. _____

9. I usually express agreement with the group because I’ve learned over

time that expressing disagreement just gets you in trouble. _____

10. I never make recommendations concerning issues that affect the

organization. _____

Scoring Information

Add your scores for items 1 to 10: _______________________

Explanation

Scores between 10 and 23 represent people who believe it’s possible to

openly share ideas in the workplace.

Scores between 24 and 37 represent people who believe that there are

definitely times when it’s not beneficial to speak up within the organization.

Scores between 38 and 50 represent people who have learned over time to

avoid communicating their concerns and ideas at work.

This measure was created for this text.

In the sidebar, you can see the Employee Silence Scale. In this case, you’ll

notice that the version handed out to workshop participants clearly comes with

information for interpreting an individual’s scores. These types of measures may

not be overly accurate, but they are often a great place to start a longer

conversation on the topics of employee silence and voice.

Organizational Communication Research

The second type of organizational communication assessment involves

organizational communication research. At this point, we are talking about any

qualitative or quantitative research conducted within an applied organizational

communication setting. As such, individuals would need to be aware of the rules

for conducting specific types of research to ensure that they are following best

practices. Applied organizational communication research is often conducted in

an effort to help an organization diagnose specific and pose solutions to those

problems. For example, maybe an organization is worried that an individual

employee’s silence levels are impacting her or his productivity and likelihood of

voluntarily leaving the organization. An external researcher could easily conduct

a survey study to ascertain if there is a relationship like this within the

organization itself.

Qualitative organizational communication researchers could also examine the

same phenomenon through the use of either interviews or focus groups related to

the topic. In an interview, the research would ask a set of questions (called an

interview schedule) designed to help the researcher focus the conversation. A

focus group is similar to the interview, but the participants in the group can help

expand on each other’s ideas.

One major caveat about any kind of organizational communication research

should be addressed. As a researcher, you are ethically obligated to ensure your

participants’ anonymity or privacy. The only way any of this works is if a

participant knows that the researcher will not divulge information that could be

traced back to the individual participant (whether positive or negative). Because

of the problems associated with this type of workplace research, some countries

have made it illegal outright.

Organizational Communication Audits

An organizational communication audit gives reference to a more thorough

understanding and evaluation of the communication practices and processes

within an organization. The real purposes for conducting an organizational

communication audit are to “put people’s tasks and interactions into the context

of a complex set of interactions that the participants may perceive differently.” [1]

Conducting Audits

In their book Assessing Organizational Communication: Strategic

Communication Audits, Cal Downs and Allyson Adrian discuss the processes

communication researchers should employee when conducting a communication

audit. Ultimately, they believed that there are six specific characteristics that

should always be followed.

Independence

The first characteristic of a communication audit is that it is independent of the

organization and conducted by independent auditors who are qualified to

conduct the audit. [2] This disconnect between the audit itself and the

organization and its people allows for more substantive results. If someone

involved in the audit is also a member of the organization, he or she could be too

entrenched within the organization to see specific communication patterns that

would be obvious to external auditors. If an in-house expert needs to be utilized,

that expert needs the ability to perform the audit independently from the

organization itself. Furthermore, only the tabulated data should be given to

internal organization members. One common mistake is to turn over the raw data

to the organization, because the data could potentially be used to track down

specific participants.

Professionalism

Individuals who conduct an organizational communication audit should be

trained professionals. In other words, no one should pick up an auditing

questionnaire and start handing it out if he or she doesn’t have a background in

conducting and analyzing this type of research. Ultimately, a communication

audit is a form of research, so it should be handled by people with research

expertise. The need for professionalism is one of the main reasons that in-house

experts or external experts should be used to conduct an audit.

Diagnostic Thoroughness

The goal of a communication auditor is to take a larger systems perspective on

the communication that occurs within the organization. An audit is “a diagnostic

process that collects important data to be used in constructing a realistic

description of the actual organization.” [3] A communication audit is part science

and part art. The scientific part enables a researcher to detach herself or himself

in a fashion that makes the patterns of communication clear; the art part helps

that researcher make usable judgments about what he or she is witnessing within

the organization itself.

Skilled Evaluation

Evaluating the results from an organizational communication audit takes

experience and knowledge. With regard to experience, the more practice an

individual has diagnosing an organization’s communication problems within a

specific context (e.g., educational, medical, information technology, banking),

the more he or she will start to learn the rules and norms for how communication

within those contexts occurs. The auditor can then use those norms to examine

data to find areas of strength and weakness. Having a broad academic

knowledge of current research in organizational communication and a variety of

theories of organizational communication will also help the auditor frame the

results he or she is seeing within the broader academic discussion.

Tailored Design

Although a number of preexisting communication audits can be utilized within

an organization, each organization is unique, so it is important to create an audit

that is specifically tailored for an individual organization. Some simple tailoring

could involve changing the wording of specific questions to include the name of

the company or a department within the organization or adding a handful of

questions that are unique to that organization. Maybe you’re performing a

communication audit for a large banking system. As such, you need to examine

not only how individuals communicate within the various branches but also how

the branches communicate with one another and how branches communicate to

the company headquarters. All these factors are unique lines of communication

that could be explored within this specific context. Remember, context is

everything, so assuming an “out of the box” communication audit can be

employed as is simply isn’t within the best practices of conducting an audit.

Furthermore, an organization may have a specific area of communication

concern that could be more thoroughly analyzed in the audit. Maybe the

organization is interested in how internal communication processes are affecting

the types of information sales representatives are receiving and then

communicating to customers. An off-the-shelf audit may not reflect these

specific lines of communication that are important to the organization, so new

questions should be added to an audit for these purposes.

Current Time Frame

The final characteristic of effective audits involves ensuring that the results are

understood as existing within a specific time frame. Imagine you are asked to

measure employee morale in a large discount shopping center. Let’s say that you

accidentally decide to conduct the evaluation on Black Friday (the day after

Thanksgiving). I’m betting you’ll realize that people working with customers on

Black Friday tend to be a bit more frazzled than on a typical working day. Even

if an audit is conducted over the course of a month, there are always possible

external factors that may impact how people communicate during this time

period. Someone could be taking care of a sick relative, getting a divorce, or

adjusting to a new position. Any of thousands of possible life events can alter

how people behave and communicate, so it’s the organizational auditor’s job to

clearly communicate that the audit is a snapshot of the organization. Although

the snapshot may be very informative, it is not going to be exactly the same from

day to day, week to week, month to month, and year to year.

Two Major Audit Types

Previously we mentioned that one place to start conducting an organizational

communication audit is to use one that is prepackaged, or “off the shelf.” An off-

the-shelf audit refers to an audit that has been previously designed and validated

as a tool for evaluating and understanding organizational communication. For

our purposes, we will briefly discuss two known organizational-communication

audits.

International Communication Association Communication Audit

Probably the best known and most widely used communication audit was

developed by Gerald M. Goldhaber during the 1970s in conjunction with the

International Communication Association (ICA). Although the audit itself

originally used a variety of different methodologies (communication diaries,

interviews, observations, etc.), the survey portion of the audit became the most

utilized aspect of the ICA communication audit. [4] The culminating work was a

book titled Auditing Organizational Communication Systems published in 1979. [5] Numerous books contain the full version of the ICA audit (along with a few

websites). We recommend looking at the article written by Sue DeWine and

Anita James to see the final version of the audit itself. [6]

The ICA audit consists of 122 questions spanning eight different sections. The

size and scope of the audit is one of the major reasons it has been very popular

for both consulting and research purposes.

ICA Organizational Communication Audit

1. Amount of information actively received about topics compared with

desired amount of information

2. Amount of information sent about topics compared with desired amount

of information sent

3. Amount of follow-up by people compared with the amount of follow-up

from people desired

4. Amount of information received from sources compared with amount of

information desired from sources

5. Timeliness of information received from key sources

6. Organizational communication relationships

7. Satisfaction with organizational outcomes

8. Amount of information received from channels now compared with

amount received from channels desired now

When examining the sidebar, you’ll see the eight dimensions highlighted on the

ICA audit. For each of the eight dimensions, workers are asked to respond to a

series of questions related to that general area. For example, under the topic of

“Follow-up Information Sent,” participants are asked to “indicate the amount of

action or follow-up that is and needs to be taken on information one sends to the

following,” which is followed by a list of potential communicative targets:

subordinates, coworkers, immediate supervisor, middle management, and top

management. [7] The goal of each section then is to get a more holistic look at an

individual worker’s perceptions of the larger communication environment.

There are a number of drawbacks to using the ICA audit in today’s

organizational environment. For example, the audit was designed before the

Internet was revolutionized in 1991. Many of the channels for information

dissemination are just not actively used in many organizations in this day and

age. This is one of the reasons making any kind of organizational

communication audit involves tailoring the audit for the individual

organizational context. Another downside to the ICA audit is the sheer length of

the audit itself. In a world where people are bombarded by surveys of every size,

shape, and form, getting them to complete a lengthy survey is increasingly

difficult. Unless you have buy-in from every level of management on the

importance of survey participation, getting people to complete the survey may be

very hard. Lastly, as a tool for organizational communication research, the ICA

audit is rarely used in the twenty-first century. The one noted exception is a

series of studies conducted at West Virginia University in 2009. In the first study,

the researchers attempted to determine if individual scores on the ICA audit

correlated with persons’ biological temperament and other communication traits

(communication apprehension and receiver apprehension). The results found no

relationship between the ICA audit and temperament, nor with communication

traits, which further validates the ICA audit as a tool for examining

organizational states (or specific snapshots in time). [8] In the second study, the

same research team examined whether the ICA audit could predict levels of

communication satisfaction. The results clearly showed that the ICA audit as a

whole was not related to communication satisfaction; however, organizational

relationships and perceived organizational outcomes were both positively related

to communication satisfaction. This set of findings helps illustrate that the

individual parts of the ICA audit do evaluate different phenomena that impact

how people think about their organizations and how they ultimately behave and

communicate within their organizations. [9]

Downs and Hazen’s Communication Satisfaction Questionnaire

The second communication audit we will discuss in this chapter is Cal Downs

and Michael Hazen’s communication satisfaction questionnaire. [10] The Downs

and Hazen communication satisfaction questionnaire may sound like a general

measure of an individual’s satisfaction, but it was specifically designed to

examine an individual’s level of communication satisfaction within an

organizational environment. After scouring the literature on communication

satisfaction, Downs and Hazen created a composite list of eleven items that had

been noted in the literature related to communication satisfaction.

From this composite list, Downs and Hazen set out to narrow the list using

statistical research methods. Ultimately, they narrowed the list to eight

dimensions that mark communication satisfaction in the workplace.

Eight Dimensions of Communication Satisfaction

1. Communication climate: Degree to which (a) communication within

the organization helps motivate workers to achieve goals, and (b)

workers’ attitudes toward communication within the organization are

healthy.

2. Supervisors: Degree of communication satisfaction (both upward and

downward) with one’s supervisor.

3. Organizational integration: Degree to which an individual feels he or

she is receiving information about the organization.

4. Media quality: Degree to which an individual is satisfied with the

various mediums (e.g., meetings, memos, e-mails, newsletters) used by

the organization to communicate with workers.

5. Horizontal/informal communication: Degree to which an individual

feels he or she is part of the “grapevine” and is receiving accurate and

timely information through the “grapevine.”

6. Organizational perspective: Degree to which an individual feels that

he or she is getting more macrolevel information about the organization

as a whole (e.g., financial standing, mission, vision).

7. Subordinates: Degree of communication satisfaction (both upward and

downward) with one’s subordinates.

8. Personal feedback: Degree to which an individual feels he or she is

receiving information from superiors about job performance and

expectations. [11]

In a study conducted to analyze communication satisfaction and job satisfaction,

Downs and Adrian found that all eight factors of organizational communication

satisfaction positively related to job satisfaction. The strongest relationship was

between subordinate communication satisfaction and job satisfaction. [12] In

another study, conducted by Philip Clampitt and Cal Downs, the researchers

examined the relationship between organizational communication satisfaction

and productivity. Overall, the research found that individuals who were satisfied

with their organizational communication tended to perceive themselves as more

productive than those who did not. [13]

Writing Reports

One of the most important parts of either organizational communication

assessments or audits is the follow-up report. One of the biggest mistakes novice

organizational consultants can make is not following up with individuals in the

C-suite after an analysis, audit, or intervention has been conducted. We briefly

explain the basic parts of a business report in this section in the order we would

recommend you present the elements.

Executive Summary

The first part of any report designed for the C-suite should be an executive

summary, which is a brief overview of the major findings and recommendations

after a project is completed. The executive summary should be as brief as

possible and no more than 5 to 10 percent of the length of the entire document.

Ideally, the shorter the executive summary, the better. If any part of a report is

actually read by people in the C-suite, it’s the executive summary. Although the

executive summary comes first in a written report, it’s actually one of the last

parts of the report to be written.

Table of Contents

After the executive summary should be a detailed table of contents. The table of

contents should enable readers to quickly find more information about specific

aspects of the report once the executive summary is read. For example, imagine

you just read an executive summary and saw some interesting statistics related to

organizational commitment. If the table of contents is clear, you should be able

to easily find out where the data exists within the larger document.

Introduction

The introduction to the report should be a brief overview of the background and

an initial discussion of the project’s scope. When you decide to conduct a

communication assessment/audit, it’s important to spell out the expectations with

key stakeholders. The introduction of the report helps remind the key

stakeholders about those initial agreements. The introduction should be brief and

to the point.

Description of Methodology

Once you’ve reminded people about the basic reasoning and scope of the

communication assessment/audit, it’s time to get into the nuts and bolts of what

was actually done. Whether you are conducting a survey, interviews, or focus

groups, you need to explain the process in detail. There is a big difference at this

point between writing academic reports and business reports. Academic reports

tend to focus on the technical aspects of what was done; business reports should

focus on explaining what was done in a clear fashion and without jargon.

Remember to be very explicit at this point, because it becomes very important

for people unfamiliar with research methods.

Findings

Once you’ve explained what you did within the assessment/audit, it’s time to

explain the findings in as clear a fashion as possible. If you have an audience

that is knowledgeable about statistics, you can explain more complicated data

analyses in detail. However, if you are writing for a more general audience, you

need to focus less on the statistics and more on what the numbers actually mean.

Although inclusion of statistics in any kind of quantitative report is necessary,

you want to discuss them in as simple a manner as humanly possible. In fact, the

more down to earth you can make the statistics, the better. If you’re conducting

qualitative research, you should focus less on how you went about finding the

specific patterns and themes and more on what those patterns and themes mean.

Recommendations

Once you’ve finished with the results, it’s time to draw some conclusions about

the findings and make specific recommendations. Many people who read

business reports will not have the technical knowhow to interpret research

results accurately. For this reason, it becomes very important to simplify the

discussions of the findings and make them more prescriptive. In academic

research, the focus is on being as objective as possible. Although objectivity is

important in business report writing, you also must provide subjective

interpretations of the findings along with proposed solutions. Remember, as an

internal expert or outside consultant, your job is to analyze the communicative

behavior within the organization and propose possible solutions for improving

the organization.

References

Just as you do in academic writing, you should reference key concepts within a

report and then cite them on a reference page, works cited page, or bibliography.

Three general formats are common in the business world: MLA (Modern

Language Association), APA (American Psychological Association), and

Chicago Manual of Style. As for which is the most appropriate, there is no

consensus, so use the citing format that you can use consistently.

Appendices

Last, but not least, are any appendices that you think are necessary for an

individual to fully understand the content within the report. Some common

appendices can include interview schedules, questionnaires, raw data, financial

data, answers to open-ended questions, and the like. The goal of the appendices

is to provide further clarification of what was discussed within the report itself.

Writing reports is a very important and necessary part of the organizational

communication assessment/audit process. However, you must realize that most

individuals in the C-suite who read the reports will not read the whole report (see

Table 15.1).

Table 15.1 C-Suite Reading Tendencies

Order Item Appears in Report Order Written Likelihood of an Executive Reading

Executive Summary 7 Always

Table of Contents 8 As needed

Introduction 1 Sometimes

Methodology 3 If interested

Findings 4 If interested

Recommendations 5 If unexpected

References 2 Always update as writing Rarely

Appendices 6 Rarely

KEY TAKEAWAY

Organizational communication analyses occur when research is

done to examine a specific communication phenomenon within an

organization. Organizational audits, on the other hand, attempt to

examine the larger picture of how communication functions within

an organization as a whole.

There are two forms of communication assessments. The first

type of communication assessment is the individual assessment.

Individual assessments are research measures designed to

diagnose organizational communication and inform individuals

about their communicative behaviors. Organizational

communication research, on the other hand, is qualitative or

quantitative research conducted within an applied organizational

communication setting for the purpose of understanding more

macrolevel organizational communication phenomena.

Gerald M. Goldhaber, in conjunction with the International

Communication Association, created the ICA organizational

communication audit. The purpose of the audit is to provide a

holistic look at how communication functions within an

organization in eight specific ways: (1) topical information

received, (2) information sent, (3) follow-up, (4) information

received from sources, (5) timeliness of information received, (6)

organizational communication relationships, (7) satisfaction with

organizational outcomes, and (8) various channels through which

information is received.

Cal Downs and Michael Hazen’s communication satisfaction

questionnaire is designed to evaluate five specific factors related

to an individual’s organizational communication satisfaction: (1)

communication climate satisfaction, (2) satisfaction with

supervisory communication, (3) satisfaction with subordinate

communication, (4) satisfaction with organizational integration, (5)

satisfaction with media quality, (6) satisfaction with

horizontal/informal communication, (7) satisfaction with

organizational perspective, and (8) satisfaction with personal

feedback.

Organizational reports are extremely important for both internal

and external organizational communication consultants.

Organizational reports are highly formulaic and are typically laid

out in the following manner: executive summary, table of contents,

introduction, description of methodology, findings,

recommendations, references, and appendices.

EXERCISES

1. Find a copy of the International Communication Association

organizational communication audit and complete the audit

thinking about your own workplace. What information do you gain

about how you perceive communication in the workplace?

2. Look at the eight characteristics of organizational communication

satisfaction. Thinking about your current working environment,

which do you think is your strongest communication area? Which

do you think is the weakest? Why?

3. Conduct a communication audit of a student organization. After

completing the audit, write a report using the methods discussed

in the chapter.

Communication Audit:

Communiction Analysis:

Executive Summary:

KEY TERMS AND DEFINITIONS

Form of applied organizational communication research designed to provide a more thorough understanding and evaluation of the communication practices and processes within an organization.

Form of organizational communication research conducted when researchers set out to examine a specific type of organizational communication or a variable related to organizational communication.

Part of an organizational report that provides a brief overview of major findings and recommendations after a project is completed.

[1] Downs, C. W., & Adrian, A. D. (2004). Assessing organizational

communication: Strategic communication audits. New York, NY: Guilford,

p. 6.

[2] Downs, C. W., & Adrian, A. D. (2004). Assessing organizational

communication: Strategic communication audits. New York, NY: Guilford.

[3] Downs, C. W., & Adrian, A. D. (2004). Assessing organizational

communication: Strategic communication audits. New York, NY: Guilford,

p. 7.

[4] Goldhaber, G. M., & Krivonos, P. D. (1977). The ICA communication

audit: Process, status, critique. Journal of Business Communication, 15,

41–55.

[5] Goldhaber, G. M. (1979). Auditing organizational communication

systems. Dubuque, IA: Kendall Hunt.

[6] DeWine, S., & James, A. C. (1988). Examining the communication

audit. Management Communication Quarterly, 2, 144–161.

[7] Downs, C. W., & Adrian, A. D. (2004). Assessing organizational

communication: Strategic communication audits. New York, NY: Guilford,

p. 128.

[8] Maki, S. M., Shimotsu, S., Avtgis, T. A., Kimble, N., Lilly, L., Petrovich,

A., & Ward, D. (2009). International Communication Association audit: An

exploratory investigation into trait or state. Human Communication, 12,

383–401.

[9] Frisby, B. N., Staggers, S. M., Allara, L. K., Dorinzi, L. M., Keffer, C.

M., & Avtgis, T. A. (2009). Convergent and predictive validity of the ICA

audit in healthcare organizations. Human Communication, 12, 267–281.

[10] Downs, C. W., & Hazen, M. D. (1977). A factor analytic study of

communication satisfaction. Journal of Business Communication, 14(3),

63–73.

[11] Downs, C. W., & Hazen, M. D. (1977). A factor analytic study of

communication satisfaction. Journal of Business Communication, 14(3),

63–73, p. 64.

[12] Downs, C. W., & Adrian, A. D. (2004). Assessing organizational

communication: Strategic communication audits. New York, NY: Guilford.

[13] Clampitt, P. G., & Downs, C. W. (1993). Employee perceptions of the

relationship between communication and productivity: A field study.

Journal of Business Communication, 30, 5–28.

15.3 Corporate Training

LEARNING OBJECTIVES

1. Differentiate among the three learning domains.

2. Define the term andragogy.

3. Explain instructional systems design and the ADDIE model.

4. Differentiate among Donald Kirkpatrick’s four levels of training

evaluation.

Since the Industrial Revolution began in 1770, organizations have been faced

with increasing needs to train their workforce. The first formalized training

program was created by DeWitt Clinton and the Masonic Grand Lodge of New

York, who established the first vocational-training facilities in 1809. Over the

next two hundred years, the face of training has definitely changed, but the

underlying goal is still the same. According to Ruth Clark, workforce learning

programs spend more than $100 billion annually in the United States alone. [1]

Until 1999, the common term used for workplace learning was training and

development. The American Society for Training and Development started using

the more inclusive term workplace learning and performance improvement

(WLP) to recognize the increased importance of a variety of different learning

interventions outside the traditional perspective of training and development. In

2014, The American Society for Training Development became the Association

for Talent Development as a singular term that encompasses both the training

and development sides of human capital. In this section, we explore the first part

of this term training, and we look at human performance improvement in Section

15.4.

Welcome to Training

To understand training, you should be aware of a number of background pieces

before getting started. For example, in communication, training is often seen as

the intersection of organizational communication and instructional

communication. The organizational communication aspect makes sense because

workplace learning is inherent to the organizational concept. Furthermore, many

of the topics that are commonly discussed in training courses are soft skill

courses involving communication topics such as communication skills, conflict

management, leadership, listening skills, and negotiation. We call these skills

“soft” because they refer to personal qualities that are deemed desirable and

enhance a worker’s interactions, performance, and career trajectory. We

differentiate soft skills from technical skills in training (sometimes referred to as

behavioral or “hard” skills), which refer to those physical behaviors requiring the

action, function, or reaction of a worker under normal or specified

circumstances. Technical skills can include anything from the correct handling of

a piece of machinery in a manufacturing plant to driving a school bus. These

skills are inherently about specific sequences of behavior.

Overall, the training field is full of opportunities for communication scholars.

Before we can get into the general process involved in creating training

programs, we need to explore two important concepts within the training field:

learning domains and adult learners.

Learning Domains

Organizations need to help individuals gain the necessary knowledge, skills, and

attitudes necessary to complete tasks in the workplace. The modern training

professional’s use of the terms knowledge, skills, and attitudes (KSAs) to help

explain the different types of training stems from a discussion that took place in

1948 during the American Psychological Association convention in Boston,

Massachusetts. Prior to 1948, one of the biggest problems in educational

assessment was a lack of a common vocabulary for discussing learning. An

educational researcher named Benjamin Bloom presented a series of conference

papers from 1949 to 1953 that developed a simple framework for discussing

learning. The culmination of this project was the publication of his book

Taxonomy of Educational Objectives: The Classification of Educational Goals;

Handbook I: Cognitive Domain in 1956. [2] In the original language, Bloom and

his colleagues discussed three domains of learning: cognitive, psychomotor, and

affective.

The cognitive (knowledge) domain of learning “includes those objectives which

deal with the recall or recognition of knowledge and the development of

intellectual abilities and skills.” [3] The cognitive domain was the real focus of

the book published in 1956. One of the important tools Bloom created in this

book was a taxonomy of cognitive learning. The version of Bloom’s taxonomy

presented in Figure 15.5 is the most recent version, which was updated by

Bloom’s student Lorin W. Anderson: (1) remember, (2) understand, (3) apply, (4)

analyze, (5) evaluate, and (6) create. [4]

Figure 15.5 Taxonomy of Cognitive Learning

The forms of cognitive learning at the bottom represent lower-order thinking

skills (LOTS); those at the top represent higher-order thinking skills (HOTS).

The goal of cognitive-based learning then is to help a learner move through the

lower levels of learning to the higher levels of learning.

The second domain of learning is the psychomotor domain, which is concerned

with learning specific skills or patterned sequences of behavior to accomplish a

specific task. For example, when you learned how to ride a bicycle, type, or

swim, you had to learn specific sequences of steps to help these skills become

rote. Bloom and his colleagues were less concerned with skill-based learning

because they did not see public education (primarily K–12) as the place for

learning skills. However, in corporate America, skill-based learning is extremely

important, because a considerable amount of the learning that occurs involves

skills needed to complete organizational tasks.

The final domain of learning discussed by Bloom and his colleagues is affective

learning. Bloom and his colleagues published the second book in the series in

1964 and subtitled it Handbook II: The Affective Domain. The researchers

defined affective learning as “objectives which emphasize a feeling tone, an

emotion, or a degree of acceptance or rejection. Affective objectives vary from

simple acceptance to selected phenomena to complex but inherently consistent

qualities of character and conscience [learning about] interests, attitudes,

appreciations, values, emotional sets or biases.” [5] Affective learning is

essentially the emotional response that people have toward learning or content.

Virginia Richmond, Joan Gorham, and Jason Wrench note that affective learning

is essential for the other two forms of learning. [6] The authors argue that if

people do not have a positive emotional reaction to learning, the content, or the

teacher/instructor, then it will be an uphill battle from the beginning for learning

to actually occur.

Adult Learners

The first person to really call attention to the difference between the ways

children learn and the ways adults learn was a German high school teacher in

1883 named Alexander Kapp. [7] Kapp took the traditional concept of pedagogy,

or the science of teaching children, and substituted the Greek prefix peda, which

means child, with the Greek prefix andra, which means adult. The term Kapp

ultimately coined was called andragogy, which is the science and art of teaching

adult learners. Unfortunately, the concept of child and adult learners really didn’t

take off until the 1970s, with the publication of a couple of books written by an

educational researcher named Malcolm. Knowles’s first book included a basic

discussion of the differences between andragogy and pedagogy. [8] In the second

book, he originally discussed four specific assumptions for adult learners, [9] but

these were expanded to six assumptions in later editions. [10]

Knowles’s Assumptions of Adult Learners

1. Need to Know: Adults need to understand the purpose of learning an

idea or skill.

2. Self-Concept: Adults need to take responsibility for their own learning

and do not like someone else’s will imposed on them.

3. Experience: Adults bring a wide array of experiences and knowledge to

learning that should be recognized and utilized.

4. Problem Solving: Adults want to learn ideas and skills that help them in

the “real” world with their “real” jobs.

5. Motivation: Adult learners are motivated by both external (e.g., job

promotions, pay raises, etc.) and internal motivators (e.g., the desire to

do well, self-actualize, etc.).

6. Application: Adults want to know how what they learn can be

immediately applied.

Knowles’s assumptions helped create a language that professional workplace-

learning specialists could use in describing and working with adult learners.

However, it should be noted that some scholars do not agree with Knowles’s

original assumptions of the difference between pedagogical and andragogical

learning models. In fact, in 1980 Knowles wrote: “I am at the point now of

seeing that andragogy is simply another model of assumptions about learners to

be used alongside the pedagogical model of assumptions, thereby providing two

alternative models for testing out the assumption as to their ‘fit’ with particular

situations. Furthermore, the models are probably most useful when seen not as

dichotomous but rather as two ends of a spectrum, with a realistic assumption in

a given situation falling in between the two ends.” [11] In essence, Knowles came

to the realization that combinations of andragogical and pedagogical principles

could be applied together when working with adult learners.

Instructional Systems Design

Instructional systems design (ISD) refers to “a system of procedures for

developing educational and training programs in a consistent and reliable

fashion.” [12] In essence, instructional systems design takes a methodical

appraisal of training needs and attempts to examine how instruction can be

Figure 15.6 ADDIE

Model

delivered to learners in the most effective way possible. One of the first (and still

most commonly discussed) models of instructional systems design was created

by a group of researchers at Florida State University in 1975 for the Department

of Defense (DOD). [13] The DOD development team created what was called the

Systems Approach to Training (SAT) model, which ultimately became ISD. In

the early 1980s, the SAT was updated for more general training purposes and the

ADDIE model was born. The ADDIE model is a simple five-step model that

helps instructional design professionals think through the training process by

analyzing, designing, developing, implementing, and evaluating training (Figure

15.6). Although ADDIE definitely has its naysayers, it’s still very common in

the instructional design literature and even in other factors of organizational

development as well. [14] The following discussion of the ADDIE model is

adapted from Virginia Richmond, Jason Wrench, and Joan Gorham’s 2009 book,

Communication, Affect, and Learning in the Classroom (used by permission). [15]

Analyze

According to Elaine Biech, George Piskurich, and Chuck

Hodell, the analysis phase of the ADDIE model “is the

process of gathering data to identify specific needs—the

who, what, where, when, and why of the design process.” [16] The analysis phase helps teachers and instructional

designers determine three basic aspects of learning:

knowledge level, learning needs, and appropriateness of

instruction.

First, during the analysis phase, the teacher or instructional

designer attempts to determine the current level of

knowledge target learners have about a specific topic. One

of the biggest missteps teachers and instructional designers

can make is to under- or overestimate the knowledge target

learners possess. All teachers have found themselves in

instructional situations where either the learners were

completely unprepared for the content of the lesson or the

lesson was too basic for the learners.

In addition to determining knowledge level, a fundamental aspect of the analysis

phase is to ascertain what the learning needs actually are. People often realize

that there is a problem but are not sure where the disconnect is occurring. For

this reason, teachers and instructional designers are often called upon to

determine the actual learning need. For example, one of the authors has a grade-

school teacher friend who recently found out that a student failed the reading

portion of a major standardized test. At first, some suspected that the student

may not be able to actually read. After analyzing the student in various

situations, it was determined that the student could read perfectly well and had

no problem with word recognition or recall. The disconnect occurred when the

student was asked to analyze what he had read. In essence, the student could

read the words but was then unable to do anything with what he had read. Going

back to Bloom’s taxonomy of cognitive learning, the student had knowledge of

reading but could not comprehend the reading. For this reason, spending a lot of

energy focusing on the knowledge aspects of reading with this student would not

help him progress or increase his comprehension.

The last part of the analysis phase of the ADDIE model is determining whether

or not instruction is the appropriate response. Whether it’s in a traditional

classroom or the corporate learning environment, some individuals will ascribe

every problem to a lack of instruction without seeing if there are other systemic

causes of problems. For example, many organizations will mandate diversity

training programs after a discrimination lawsuit is filed against the organization.

However, if the organization’s culture permits and encourages workplace

discrimination, then a simple training session may not effectively fix the

problem. Problems arise for many reasons that have nothing to do with actual

instruction. Unfortunately, organizations (both corporate and academic) like to

fix problems with learning, thinking that learning will be a quick fix. However, if

the problem is caused by a nonlearning source, instruction may not fix the

problem or may even exacerbate it. Solid analysis can often determine if the

underlying problem is related to instructional or other issues.

Design

Once a teacher or instructional designer has determined that instruction is the

appropriate method for handling a problem, the second step in the ADDIE model

is examined. Whether designing a specific instructional module (a sequence of

instruction centered around one content area) or an entire course (a longer

sequence of learning containing multiple modules), the design step is very

important. The design step of the ADDIE model is the part of the instructional

process where a teacher or instructional designer determines the objectives of

learning and how learning will eventually be evaluated and establishes a learning

design plan. In Chapter 16, we discuss the creation of instructional objectives in

more detail.

Thinking about evaluation during the design phase is very important because it

establishes an end point or target for the instructional process. Whether you are

focusing on cognitive, affective, or psychomotor learning, knowing how you will

measure specific learning endpoints is very important. For example, if your

instructional objective is to increase affective learning, evaluating your learners

using a multiple-choice test, which only measures cognitive recall, is not the

most appropriate method.

Lastly, during the design step of the ADDIE model, teachers and instructional

designers create a design plan. A design plan is a blueprint for developing the

content of the course. A good design plan starts with the basic objectives of the

instructional module and any additional materials that may be needed. Some

possible materials that may be listed in a design plan are “printed materials;

scripts and storyboards for computer-based projects; evaluation materials

including tests, quizzes, and other formal evaluations; lesson plans; staff

assignments and responsibilities; and a project management plan that includes

milestones and deadlines.” [17]

Develop

Once teachers and/or instructional designers have completed the design plan, the

actual process of building an instructional module begins. Where the design

phase is more theoretical, the development phase is the theory in practice. It’s

one thing to know that you need to address a specific content issue (design) and

another thing to develop a game that helps learners understand the content issue

(development). Whether a teacher or instructional designer is designing learning

for a physical classroom or an online classroom, everything that learners will

come in contact with is developed and tested during this phase of the ADDIE

model. Teachers or instructional designers will actually create learning materials

during this phase and then pilot test the materials by seeing how they work with

actual learners. Pilot testing can provide much-needed feedback for teachers and

instructional designers, because it can help determine whether or not the

instructional materials and strategies are effective before deploying the materials

and strategies to a larger audience.

Implement

The fourth phase of the ADDIE model involves the implementation of the

learning module or course with the actual learners. In an ideal world, we would

all be able to pilot test our instructional strategies before implementing them in a

classroom during the development phase, but quite often the step of piloting

materials, modules, and courses gets skipped either because there is no

participant pool for piloting materials or because of time factors. More often

than not, actual learners become the first guinea pigs for our newly developed

instructional materials and strategies.

Evaluate

In the ADDIE model, the final phase of instructional development is the

evaluation phase. In the evaluation phase, teachers and instructional designers

have two basic goals: (1) measure the effectiveness of the learning materials and

(2) determine participant learning. While feedback has been a constant along the

instructional design process, the evaluation phase is all about feedback. First,

teachers and instructional designers can ascertain whether specific instructional

material or strategy works. Every teacher has had instructional materials and

strategies that have just bombed in the classroom. Teachers and instructional

designers must ultimately determine if a specific material or strategy isn’t

working because it is faulty or the specific audience had problems, which would

call for a change in approach or in the material itself. For this reason, we always

recommend trying material and strategy with two different groups. If you find a

specific instructional material or strategy doesn’t work with either group,

chances are you need to redesign the material or rethink the strategy, or you

could opt to drop them from the learning module altogether.

In addition to determining if our instructional materials and strategies are

working, the evaluation phase is also when we determine if cognitive, affective,

and psychomotor learning have actually occurred. While the evaluation

strategies were determined during the design phase, the implementation of those

Figure 15.7 Four

Levels of Training

Evaluation

evaluation strategies occurs during the evaluation phase of the ADDIE model.

In 1954, Donald L. Kirkpatrick completed his dissertation titled Evaluating a

Human Relations Program for Supervisors, which reshaped how human

resources (and the field of training specifically) evaluated outcomes. Five years

later, Kirkpatrick discussed his dissertation in the Journal of the American

Society of Training Directors (now T+D). [18] In these articles, he expanded on

the systematic process for measuring training outcomes he developed in his

dissertation. Ultimately, he created a taxonomy of four levels of training

evaluation: reaction, learning, behavior, and results (Figure 15.7). We should

also note that Jason S. Wrench has argued that these four levels of evaluation can

be applied to a wide range of organizational development activities. [19]

Level 1: Reaction

The first level of training evaluation is the reaction level. In

level-one evaluation (reaction), trainers should evaluate

the emotional reaction that learners had to the training. In

higher education, we commonly refer to this level of

evaluation as student evaluations of instruction.

Unfortunately, many training programs rely almost entirely

on level-one reactions when evaluating their training

programs. Although level-one evaluation helps trainers

determine if learners responded affectively to both the

trainer and the content, it’s not the greatest determining

factor of actual learning. In fact, the research on the

relationship between trainee affective reactions and actual

cognitive and psychomotor learning is a mixed bag. Some

trainers go so far as to call these types of evaluations

“smiley sheets,” because of the emotional overtones of the

reactions. Furthermore, many trainers question whether an

individual learner is even the best judge of training content

or the trainer, but this level of evaluation maintains pretty

constant in most training programs.

When creating level-one evaluations, it’s important to pay

attention to three specific factors: end goal, question types, and measurement

standards. [20] First, when creating a reaction evaluation, you need to know what

type of reaction you really want from your learners. Do you want the reaction to

focus on the content of the training, the aesthetics of your e-learning program,

likeability of the trainer, and so on? If you don’t go into evaluating a training

program with a pretty clear idea of what needs to be evaluated, you’re almost

certain never to obtain useful information.

Second, you need to think through what types of questions you are going to ask.

If your goal is to gauge quick responses from participants, then you may decide

to use Likert scales. Likert scales are a series of questions about training that can

be measured using some kind of systematic scale. Table 15.2 contains a variety

of the types of anchors commonly used in Likert scales. [21]

Table 15.2 Likert Scale Example Anchors

1 2 3 4 5

Strongly Disagree Disagree Neutral Agree Strongly Agree

Never Rarely Sometimes Often Always

Not at all Somewhat Moderately Quite Extremely

Far below

average

Below

average Average Above average Far above average

F D C B A

NO No ? yes YES

Very dissatisfied Dissatisfied Neither dissatisfied nor satisfied Satisfied Very Satisfied

Figure 15.8 Likert Scales and Smiley Faces

As you can see in Figure 15.8, you can even use actual smiley faces on these

types of questionnaires, which is where the term “smiley sheets” probably comes

from!

Sample Likert Scale

Using the scale Strongly Disagree, Disagree, Neutral, Agree, Strongly Agree,

please answer the following questions about this training program:

1. I found this training program useful. _____

2. I could see how the information in this training program can be applied

on my job. _____

3. I believe the objectives given at the beginning of the training program

were clearly met. _____

4. This training program will help my organization reduce costs. _____

5. This training program will help my organization increase productivity.

_____

6. The trainer really seemed to get all the participants actively involved in

the training. _____

7. The trainer was clearly competent in her or his subject matter. _____

8. The trainer handled questions from people during the training session

with ease. _____

In addition to asking the more closed-ended questions commonly seen in a

Likert scale, you can also ask specific qualitative questions. Qualitative

questions on a level-one evaluation primarily focus on open-ended response

questions that will help the trainer fully understand what people are coming

away from the training with at the end of the session. The primary purpose of

open-ended questions during level one is to allow the participants to provide you

with feedback you didn’t think about asking or to provide feedback in more

depth than you get with a simple Likert scale.

Sample Open Questions

1. What was the most important thing you learned during today’s training?

2. If you could change one part of today’s training, what would it be and

why?

3. How do you plan on using today’s training when you are back on your

job?

4. How did the trainer help incorporate all learners in today’s training?

5. How would you summarize today’s training to another person?

6. Explain why you found today’s training useful. If you didn’t think

today’s training was useful, please tell us why.

The final factor you need to consider when creating level-one evaluations is how

you plan on evaluating the reactions consistently. One of the biggest mistakes

novice trainers make is not really thinking through how they plan to analyze and

report the data to relevant stakeholders. Having some kind of clearly objective

criteria to base your training reaction evaluations on is very important when

determining whether or not your objectives were met. For this reason, when

analyzing five-step Likert scales (like the ones presented earlier), Jason Wrench

recommends comparing the means from trainees on individual items to the

standards created by the Australian government: 1–1.8 strongly disagree, 1.81–

2.6 disagree, 2.61–3.4 neutral, 3.41–4.2 agree, 4.21–5.0 strongly agree. [22]

Although this method is far from perfect, it at least provides some kind of clear,

objective measurement standard to base individual items on. Qualitative data is

inherently more complicated to analyze objectively, but the individuals

conducting training evaluations should attempt to discuss what pattern of ideas

they see as an objective measure of the quality of the training program itself.

Level 2: Learning

The second form of evaluation that should occur refers to either behavioral or

cognitive learning and is called level-two evaluation (learning). Behavioral

learning examines whether a learner can complete a specific behavior given a

set of clear parameters. Parameters come in the form of the resources the learner

can use, the time in which the learner must complete the behavior, and the

degree of proficiency. For example, maybe you’ve been asked to provide

training on improving typing skills using an ergonomic keyboard. You bring

everyone into the training and have the participants learn how to use the

keyboard. After the training you tell the participants that they should be able to

type a standard memo (180 words) in under three minutes (or sixty-plus words

per minute). For learning purposes, if the learners can complete the task at hand,

then you can demonstrate that learning has occurred. However, there is one small

glitch with this example. What if the learners could already type sixty-plus

words per minute before the training program? To prevent this kind of guessing

game, we often conduct a pretest at the beginning of training to ensure that we

can differentiate the results at the end of training from where the participants

started.

The second type of learning that can be evaluated at level two is cognitive

learning. Cognitive learning examines the extent to which an individual can

recall knowledge at the various levels discussed in Bloom’s taxonomy of

learning. The primary way we determine someone’s cognitive learning is

through testing. Whether a trainer uses essay, short answer, true/false, multiple

choice, or a combination of all of the above testing techniques, the goal is to

determine whether information has been retained and can be utilized. For a

complete discussion on creating multiple-choice tests, we recommend reading

some of the books published by the American Society for Training and

Development (ASTD). [23]

Two types of cognitive tests can be developed: norm referenced and criterion

referenced. A norm-referenced test is designed to compare a learner’s scores

with other learners’ scores. Norm-referenced tests are commonly used to make

decisions about learners. For example, when you took the SAT (Scholastic

Assessment Test) or (American College Test) ACT, your score was probably

used to compare your application to other potential students’ applications. The

second type of test is a criterion-referenced test, or a test designed to determine

whether mastery has been achieved. In a criterion-referenced test, evaluators

determine a specific standard of success or failure, and then test takers are

judged based on that standard. For example, if the standard is an 80 percent

score on a test, and someone makes an 81 percent, then mastery is achieved.

Conversely, if someone makes a 79 percent, then mastery is not achieved. [24]

Criterion-referenced tests are generally used when an organization needs to

determine mastery of a subject. The American Society for Training and

Development has a certification program for training and development

professionals called the Certified Professional in Learning and Performance

(CPLP). The first part of this certification process is a criterion-referenced test.

In fact, many of the ideas discussed in this chapter (and elsewhere in this book)

should be known by CPLPs.

Level 3: Behavior

Level-three evaluation (behavior) is designed to determine whether an

individual is able to transfer what was learned in the classroom to her or his job.

A number of different strategies can be implemented to help determine whether

someone is able to take training and actually apply the training in her or his

workplace. Table 15.3 shows some common techniques for ascertaining

behavior.

Table 15.3 Evaluating Behavior

Pre- and

Postcomparisons

The goal of this method is to evaluate trainees prior to training and then evaluate those

same trainees after training has occurred. Evaluation could occur at one month, six

months, and twelve months to ensure application.

Observations This is a simple observational method. Here, a facilitator visits the trainee after training

and watches her or his behavior to check for accurate training implementation.

Trainee

Interviews

After training, interviews can be conducted with the trainee to see how he or she is

applying the training in his or her daily organizational life.

Other Interviews

Interviews can be conducted with other organizational stakeholders (supervisors,

subordinates, customers, etc.) to determine their perceptions of the trainee’s

implementation of content post training.

Focus Groups

This method is similar to other interviews, but instead of being one on one a facilitator

gets a group of stakeholders together to discuss the trainee’s implementation of training

content.

On-the-Job Tests The goal of this method is to give the trainee a behavioral or cognitive test while he or

she is working to see if the training can be immediately demonstrated while performing

actual work.

Transfer of training, or being able to take what one has learned during a training

program back to the job, is a very important part of the systematic analysis of

training. The purpose of training is to change knowledge, skills, and attitudes, so

ensuring that these changes actually occur within the workplace is extremely

important. One very critical part of this process involves the trainee’s immediate

supervisor. If a trainee is held responsible for training, and her or his supervisor

clearly expresses the importance of training, then the trainee is more likely to

retain information and apply it on the job. On the other hand, if a supervisor is

negative toward training and communicates that training is pointless, then the

trainee is less likely to use the training in the workplace. Getting buy-in from all

levels of an organization during training is very important to ensuring success.

Level 4: Results

The final level of evaluation, level-four evaluation (results), is concerned with

determining the overall impact that training has on an organization. Generally

speaking, the results level is focused on tangible outcomes that can be

communicated easily to the C-suite. In the business world, we often talk about

key performance indicators (KPIs). A key performance indicator is a measurable

value that an organization uses to evaluate the effectiveness of the organization

in meeting strategic business objectives. Typically, KPIs are easily counted, and

those KPIs that are more qualitative there are methods for quantifying those as

well. Table 15.4 illustrates outcome variables that are clearly quantitative and

those that are softer outcomes but can be quantified (often through the use of

survey data). Please note that the KPI Institute has a book with more than twenty

thousand KPIs that organizations can track. [25]

Table 15.4 Sources of Result Data

Quantitative Qualitative (But Can Be Quantified)

Customer complaints Customer satisfaction

Warranty claims Employee motivation

Number of accidents Job satisfaction

Defect rates Product launch success

Productivity Brand quality

Voluntary and involuntary turnover Perceptions of organizational justice

Absenteeism Unnovations

Sales per employee Product visibility

Delivery time Employee performance

New product/service lines Organizational commitment

Market share Organizational culture

Revenue Risk-taking behavior

Error rates Organizational ethics

Returns Individual creativity

Overall, evaluating training programs is extremely important because it

communicates to the C-suite that training is important and can have a direct

impact on organizational performance and the bottom line. You may be

wondering how often you should actually perform all four levels of evaluation.

The United States General Accounting Office created a 2004 policy brief

dictating the percentages of evaluation for each level for strategic training

programs within the federal government (Figure 15.9). [26] But how often does

this happen in the real world? The line chart in Figure 15.9 illustrates the actual

incidence of evaluation from a large survey of public corporations. [27]

Figure 15.9 How Often Evaluation Should Occur

KEY TAKEAWAY

Benjamin Bloom and his colleagues discussed three distinct

learning domains: cognitive, affective, and psychomotor. Cognitive

learning refers to recognition, recall, and evaluation of knowledge.

Psychomotor learning involves learning specific skills or patterned

sequences of behavior to accomplish tasks. Affective learning

involves an individual’s emotional response to both an instructor

and her or his content.

Originally coined by Alexander Kapp and then made popular by

Malcolm Knowles, andragogy refers to the science and art of

teaching adult learners. Adult learners bring more life experience

to the training environment, so approaching adult learning is a

fundamentally different process than approaching learning in the

traditional academic environment,

Instructional systems design is a systematic process used to

evaluate learner needs and the best ways to approach learning.

The most popular ISD model is the ADDIE model, originally

created for the US Department of Defense. The first step in the

ADDIE model is analysis, which refers to conducting a learner

needs analysis to ascertain what gaps in affective, cognitive, and

psychomotor learning currently exist. The first “D” in the ADDIE

model refers to the design stage. In the design stage, the

instructional designer determines the objectives of learning and

how learning will eventually be evaluated and establishes a

learning design plan. In the develop stage, the instructional

designer develops all facilitator and participant materials for the

training program. The “I” in ADDIE refers to implementation,

which occurs when the training session goes live and individuals

start going through the training itself. Lastly, the “E” stands for

evaluation. Evaluation refers to the systematic determination of

the results both for the training and for the organization.

Donald Kirkpatrick created a four-level model for evaluating

training programs. The first level is the reaction level, which

involves assessing the affective response trainees have toward

the training program. The second level, learning, examines

whether specific skills or knowledge were learned during the

training session. The third level, behavior, involves determining

whether learners can implement the training in their day-to-day

work. The final level of evaluation, results, examines the

economic impact that training has on the organization, using both

Behavioral Learning:

Cognitive Learning:

Instructional Systems Design:

tangible and intangible benefits as measures.

EXERCISES

1. Think about your own educational experiences. How have the

three domains of learning appeared in your education?

2. Imagine you’ve been asked to create a training program on

conflict in the workplace. How could you go about ensuring that

you have cognitive information being delivered at each of the six

levels of Bloom’s taxonomy of cognitive learning (remember,

understand, apply, analyze, evaluate, and create)?

3. You’ve been asked to create a training program for workplace

listening. Demonstrate your ability to apply the ADDIE model

(including Kirkpatrick’s four levels of evaluation) while creating this

training program.

KEY TERMS AND DEFINITIONS

Whether or not a learner can complete a specific behavior given a set of clear parameters.

The extent to which an individual can recall knowledge at the various levels discussed in Bloom’s taxonomy of learning.

A methodical appraisal of training that attempts to examine how instruction can be delivered to learners in the most effective way possible.

Level-Three Evaluation (Behavior):

Affective Learning:

Andragogy:

Cognitive :

Criterion-Referenced Test:

Level-Four Evaluation (Results):

Level-One Evaluation (Reaction):

Level-Two Evaluation (Learning):

Norm-Referenced Test:

Psychomotor Domain:

Soft Skill:

Technical Skills:

Level of evaluation discussed by Donald Kirkpatrick that examines whether learners can implement the training in their day-to-day work.

Domain of learning discussed by Benjamin Bloom and associated with the emotional response that people have toward learning or content.

The science and art of teaching adult learners.

Domain of learning discussed by Benjamin Bloom and associated with recognition, recall, and evaluation of knowledge.

Form of examination designed to determine whether mastery has been achieved through clearly established cut-off points of pass and fail.

Level of evaluation discussed by Donald Kirkpatrick that examines the economic impact that training has on the organization, using both tangible and intangible benefits as measures.

Level of evaluation discussed by Donald Kirkpatrick that assesses the emotional reaction that learners had to the training.

Level of evaluation discussed by Donald Kirkpatrick that examines whether specific skills or knowledge were learned during the training session.

Form of examination designed to compare a learner’s scores with other learners’ scores.

Domain of learning discussed by Benjamin Bloom and associated with acquiring specific skills or patterned sequences of behavior to accomplish a specific task.

Personal qualities that are deemed desirable and enhance a worker’s interactions, performance, and career trajectory.

Physical behaviors requiring the action, function, or reaction of a worker under normal or specified circumstances.

[1] Cark, R. C. (2010). Evidence-based training methods: A guide for

training professionals. Alexandria, VA: ASTD Press.

[2] Bloom, B. S., Engelhart, M. D., Furst, E. J., Hill, W. H., & Krathwohl,

D. R. (1956). Taxonomy of educational objectives: The classification of

educational goals. Handbook I: Cognitive domain. New York, NY: David

McKay.

[3] Bloom, B. S., Engelhart, M. D., Furst, E. J., Hill, W. H., & Krathwohl,

D. R. (1956). Taxonomy of educational objectives: The classification of

educational goals. Handbook I: Cognitive domain. New York, NY: David

McKay, p. 7.

[4] Anderson, L. W., & Krathwohl, D. R. (Eds.). (2001). A taxonomy for

learning, teaching, and assessing: A revision of Bloom’s taxonomy of

educational objectives (2nd ed.). Boston, MA: Allyn & Bacon; Krathwohl,

D. R. (2002). A revision of Bloom’s taxonomy: An overview. Theory into

Practice, 41, 212–218.

[5] Krathwohl, D. R., Bloom, B. S., & Masia, B. B. (1964). Taxonomy of

educational objectives; the classification of educational goals. Handbook

II: The affective domain. New York, NY: David McKay,

[6] Richmond, V. P., Wrench, J. S., & Gorham, J. (2001). Communication,

affect, and learning in the classroom. Acton, MA: Tapestry Press.

[7] Kapp, A. (1833). Die Andragogik ober Bildung im mannlichen Alter.

Platons Erziehungslehre, als Padgogik fur die Einzelnen und als

Staatspadagogik. Germany: Minden & Leipzig.

[8] Knowles, M. S. (1970). The modern practice of adult education:

Andragogy versus pedagogy. Englewood Cliffs, NJ: Prentice

Hall/Cambridge.

[9] Knowles, M. (1973). The adult learner: A neglected species. Houston,

TX: Gulf.

[10] Knowles, M. S., Holton, E. F., III, & Swanson, R. A. (2011). The adult

learner: The definitive classic in adult education and human resource

development (7th ed.). Burlington, MA: Elsevier.

[11] Knowles, M. S. (1980). The modern practice of adult education.

Cambridge, NY: Adult Education, p. 43.

[12] Gustsafson, K. L., & Branch, R. M. (2002). What is instructional

design? In R. A. Reiser & J. V. Dempsey (Eds.), Trends and issues in

instructional design and technology (pp. 17-25). Columbus, OH: Merrill

Prentice Hall, p. 17.

[13] Branson, R. K., Rayner, G. T., Cox, J. L., Furman, J. P., King, F. J., &

Hannum, W. H. (1975). Interservice procedures for instructional systems

development. (5 vols.). (TRADOC Pam 350-30 & NAVEDTRA 106A). Ft.

Monroe, VA: United States to Army Training and Doctrine Command.

(NTIS No. ADA 019 486 through ADA 019 490).

[14] Allen, M., & Sites, R. (2011). Leaving ADDIE for SAM: An agile

model for developing the best learning experiences. Alexandria, VA:

ASTD Press.

[15] Richmond, V. P., Wrench, J. S., & Gorham, J. (2009).

Communication, affect, and learning in the classroom (3rd ed.). [Online].

http://www.jasonswrench.com/pdf/affect_book.pdf

[16] Biech, E., Piskurich, G., & Hodell, C. (2006). Designing learning:

ASTD learning system module 1. Alexandria, VA: ASTD Press, p. 30.

[17] Biech, E., Piskurich, G., & Hodell, C. (2006). Designing learning:

ASTD learning system module 1. Alexandria, VA: ASTD Press, p. 33.

[18] Kirkpatrick, D. L. (1996). Techniques for evaluating training

programs. In D. P. Ely & T. Plomp (Eds.), Classic writings on instructional

technology, Vol. 1 (pp. 119-142). Englewood, CO: Libraries Unlimited.

[Original work published 1979]

[19] Wrench, J. S. (2013). Making sure your workplace communication

works: Determining the ROI on workplace communication campaigns. In

J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools

and strategies that impact the bottom line: Vol. 1. Internal workplace

communication (pp. 355–377). Santa Barbara, CA: Praeger.

[20] Wrench, J. S. (2013). Making sure your workplace communication

works: Determining the ROI on workplace communication campaigns. In

J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools

and strategies that impact the bottom line: Vol. 1. Internal workplace

communication (pp. 355–377). Santa Barbara, CA: Praeger.

[21] For more examples, see Wrench, J. S., Thomas-Maddox, C.,

Richmond, V. P., & McCroskey, J. C. (2013). Quantitative methods for

communication researchers: A hands on approach (2nd ed.). New York,

NY: Oxford University Press, p. 196. el:

[22] Wrench, J. S. (2013). Making sure your workplace communication

works: Determining the ROI on workplace communication campaigns. In

J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools

and strategies that impact the bottom line: Vol. 1. Internal workplace

communication (pp. 355–377). Santa Barbara, CA: Praeger.

[23] Phillips, P. P. (Ed.). (2010). ASTD handbook for measuring and

evaluating training. Alexandria, VA: ASTD Press; Fein, M. (2012). Test

development: Fundamentals of certification and evaluation. Alexandria,

VA: ASTD Press.

[24] Shrock, S. A., & Coscarelli, W. C. (2010). Designing a criterion-

referenced test. In P. P. Phillips (Ed.), ASTD handbook for measuring and

evaluating training (pp. 73–84). Alexandria, VA: ASTD Press.

[25] KPI Institute. (2013). The KPI compendium: 20,000+ key

performance indicators used in practice. Melbourne, Australia: Author.

[26] US General Accounting Office. (2004). Human capital: A guide for

assessing strategic training and development efforts in the federal

government (GAO-04-546G). Retrieved from

http://www.gao.gov/assets/80/76803.pdf

[27] Phillips, P. P., & Phillips, J. J. (2005). Return on investment (ROI)

basics. Alexandria, VA: ASTD Press.

15.4 Human Performance Improvement

LEARNING OBJECTIVES

1. Define and explain performance, human performance

improvement, and optimal performance.

2. Explain the human performance improvement model.

3. Differentiate among the three types of environmental (or external)

scanning.

4. List and explain a variety of human performance improvement

interventions.

5. Discuss the talent management cycle and explain its purpose.

In Chapter 2, we introduced the concept of human performance improvement

(HPI) as a method for instilling ethics within an organizational setting. However,

we barely scratched the surface of HPI in Chapter 2, so this section discusses a

few more of the nuts and bolts of HPI and how organizational communication

practitioners add to the field. The HPI field got its start with the publication of

Thomas F. Gilbert’s seminal text Human Competence: Engineering Worthy

Performance in 1978. [1] In this book, Gilbert defined competence as a simple

mathematical equation: “Human competence is a function of worthy

performance (W), which is a function of the ratio of valuable accomplishments

(A) to costly behavior (B).” In other words, W=A/B. In essence, Gilbert saw

competence as a factor of an individual’s accomplishments (e.g., knowledge,

motivation, quality of work, quantity of work) divided by her or his costly

behavior (e.g., energy, money, and/or time spent reducing problematic

behaviors). The field of performance improvement has grown quite substantially

since this original conceptualization of human performance, but Gilbert’s work

is still considered the foundational work for the field itself. The rest of this

section examines a variety of concepts relevant to HPI plus a detailed discussion

of the HPI model first introduced in Chapter 2.

Important Concepts in HPI

To understand the field of human performance improvement, we need to explore

a number of very important definitions. This section defines the terms

performance, human performance improvement, and performance consultant.

Performance

Before defining what is meant by human performance improvement, we must

define what is meant by “performance” within an organizational setting. For our

purposes, we define performance as the accomplishment or execution of work-

related tasks measured against specific workplace standards (e.g., accuracy,

completeness, quantity, quality, speed). This definition involves three primary

aspects. First, we are looking at either the accomplishment (carrying out or

completing a task) or the execution (style or manner in which a task is

completed). Accomplishing something looks at whether or not an individual can

complete a given work-related task. Execution, on the other hand, questions how

an individual goes about completing a specific work-related task. In some

industries, accomplishing the task is all that matters. For example, maybe you

run a lawn-mowing business and your clients really don’t care how you cut the

grass as long it’s short. On the other hand, executing involves both

accomplishment and a specific standard that is applied that dictates whether or

not the accomplishment was successful. Where some clients may want their

grass just short (accomplishment), others may want to see perfect horizontal

lines in their front lawn (execution). Ultimately, the accomplishment and

execution are measured against the specific workplace standards for either one.

Now that we’ve explored what is meant by performance, let’s explore HPI as a

specific term.

Human Performance Improvement

As with most academic areas, there is not a consistent set of definitions related

to human performance improvement. In Chapter 2, we defined HPI as the

systematic process for identifying and analyzing human performance problems

and designing results-oriented interventions to improve people, processes, and

organizations. As you can see, performance interventions typically fall into one

of these three categories. Geary Rummler and Alan Brache believe that optimal

performance occurs when all three performance areas are in alignment, as seen

in Figure 15.10. [2]

Although the Association for Talent Development (ATD) prefers the term HPI,

the International Society for Performance Improvement (ISPI) also calls this

human performance technology. We prefer to avoid the term technology because

of associations with computers, cell phones, and other forms of electronic

technology. However, we want you (the reader) to understand that you may

come across the term human performance technology and be aware of the link

between the two.

HPI professionals examine the HPI process as one that involves multiple

organizational systems. As such, HPI practitioners need to look at an

organization as a living system with a number of wheels in motion that can be

affecting an individual’s performance or the organization’s performance as a

whole. Next, the goal of HPI is 100 percent practicality. Interventions should be

chosen because of their inherent utility and ability to actually improve people,

processes, or the organization as a whole.

Figure 15.10 Optimal Performance

Performance Consultant

According to Darlene Van Tiem, James Moseley, and Joan Dessinger, a

performance consultant is “the practitioner who actually leads and conducts the

improvement effort. Performance consultants apply the principles, processes,

tools, and techniques of performance improvement.” [3] In essence, a

performance consultant is the individual who uses the breadth of knowledge

gained from the social sciences in an effort to help an organization improve

performance. For our purposes, we will refer to this individual as a performance

consultant, but other common terms are HPI practitioner/professional or human

performance technologist. The concept is the same—an individual or group of

individuals who help an organization work through the systematic process of

helping people, processes, and organizations improve.

The HPI Model

Now that we’ve defined a number of basic terms related to human performance

improvement, we can examine the model proposed in this book for HPI. The

model proposed in Figure 15.11 is a synthesis and simplification of both the

ATD [4]and ISPI [5] HPI models.

Figure 15.11 Human Performance Improvement Model

Environmental Scanning

The first part of the HPI model is referred to as the environmental scan. When

looking for areas to improve in an organization, one of the most common

starting points is to conduct an environmental scan. Environmental scanning is

the gathering and analysis of information within an organization’s internal or

external environment to identify specific opportunities and threats to the

organization and its future. The purpose of an organizational scan is to locate

potential problems where a performance intervention can be used to improve

people, processes, and organizations. During the organizational scan, HPI

consultants seek a combination of factors external to the organization and those

within it.

External Scanning

External scanning refers to the examination of opportunities and threats to an

organization that exist in the external environment. The purpose of external

scanning is to ensure that an HPI consultant has the information he or she needs

to engage in performance improvement. Liam Fahey and V. K. Narayanan note

three general types of scanning that individuals within an organization can do:

irregular, periodic, and continuous. [6]

Irregular scanning refers to external organizational scanning as a result of a

specific need (often as a result of a crisis). For example, maybe an organization

recently found out that one of its employees has been making disparaging

remarks about her or his supervisor online. If an organization doesn’t have a

specific social media policy or is unaware of the law related to businesses and

social media, the organization will need to search its external environment for

information.

Periodic scanning refers to scanning that individuals or an organization

completes in an effort to get a regular picture of what is occurring within the

external environment. Periodic scanning tends to be purposeful and to happen at

regular intervals. One common type of periodic scanning involves reading trade

magazines and journals to keep on top of the most current practices within a

field. Such external sources enable an individual to see what new opportunities

and threats exist.

Continuous scanning refers to external scanning that occurs on an ongoing basis.

For example, if you are the public relations officer for a major corporation, you

may want to set up a Google alert with your company’s name. A Google alert

can be established to monitor any specific developing stories or key terms (like

your company’s name). You can set up the alerts to be sent to you via e-mail as

they occur, daily, or weekly. If your goal is to stay on top of your brand, industry,

or political climate, then you may need to receive information quickly and

decisively.

Improving Information Scanning

Christina Doyle identified ten relevant strategies for improving information

literacy:

1. Recognize the need for information.

2. Recognize the need for accurate and complete information.

3. Formulate questions based on needs.

4. Identify potential sources of information.

5. Develop successful search strategies.

6. Access sources including computer-based and other technology.

7. Evaluate information.

8. Organize information for practical application.

9. Integrate new information into an existing body of knowledge.

10. Use information in critical thinking and problem solving. [7]

Internal Scanning

Internal scanning refers to the examination of opportunities and threats that exist

within an organization and that are related to people, processes, and

organizations. In the sidebar, we identified a number of different characteristics

that are important to examine when conducting an internal scan. The primary

goal of internal scanning is to remind the organization that it must be mindful of

what is happening within the organization itself. One mistake that some senior

executives make involves focusing too much attention on the external

environment to the detriment of the internal environment. Organizations and

their leaders must attend to both external and internal scanning to have the most

up-to-date and accurate information possible when making performance

improvement decisions.

Gap Analysis

A gap analysis is the systematic examination of where current people,

processes, and organizational characteristics (e.g., mission, vision, strategic plan,

structures) exist at the beginning of a change effort in comparison to the desired

end state after a performance intervention. The goal of a gap analysis is fairly

straightforward: an HPI consultant wants to look at the starting point of where

people, processes, and organizational characteristics are as compared to specific,

tangible goals. The identification of problem areas (or gaps) is generally done

during external and internal scanning. Maybe a performance consultant wants to

instill the best practices for project management. If the consultant examines the

external world, he or she may find the best practices discussed by the Project

Management Institute (external scan - http://www.pmi.org). At the same time,

those best practices must be compared to the current state of project management

practices within the organization itself (internal scanning). The gap analysis

occurs when a performance consultant looks at the current state of project

management in the organization and clearly distinguishes it from the best

practices for project management as discussed by the Project Management

Institute. The difference between these two is the gap.

For the purposes of understanding gap analyses, three general gaps have been

identified in HPI research: knowledge, skill, and attitude. Notice that these gaps

directly relate to the three domains of learning discussed by Benjamin Bloom

and colleagues. [8]

Knowledge

The first typical gap that can be identified involves knowledge. Knowledge gaps

are gaps in an individual’s understanding of relevant facts, truths, or principles.

In essence, these are cognitive gaps and can often be dealt with through coaching

or training. Imagine you’re a performance consultant conducting a gap analysis,

and you find out that individuals simply do not know how to use a new

inventory system. The easiest way to improve performance would be to ensure

unilateral training for those individuals working with the inventory system.

Behavioral

The second type of gap is behavioral. Where knowledge gaps are focused on

cognitive deficits, behavioral gaps relate to the physical responses of an

individual as a result of specific actions, persons, or stimuli. In essence, any

physical movement a person can or should make within an organization is a

result of behavior. Behavioral gaps occur when a person should move in a

specific fashion as a result of actions, persons, or stimuli, but the person fails to

move. For example, maybe you’re a performance consultant, and you notice that

a good number of customer-service representatives are moving slowly because

they are “hunting and pecking” at the computer keyboards when keying in

customer information. Obviously, using one’s index fingers to find letters on a

keyboard takes considerably more time than using good typing skills. The gap

that exists is the current state of typing (hunting and pecking) as compared to

where the customer service representatives’ typing skills should be (sixty-plus

words per minute).

Attitude

The final type of gap commonly seen in performance improvement is attitude

gaps, or an individual’s learned predisposition or tendency to evaluate

(positively or negatively) activities, events, ideas, objects, or people. First, it’s

important to note that attitudes are learned. Whether the attitude was learned

growing up, in college, or even on the job, we all develop attitudes over the

course of our lives, and we bring these attitudes into the workplace. Research

indicates that attitudes are difficult to change but often have very important

ramifications within the organizational environment. Negative attitudes in the

workplace can be highly contagious, spreading like a plague until the

organizational environment becomes highly toxic and uncivil. In fact, business

consultant Mark Murphy goes so far as to recommend hiring people for their

attitude as much as hiring them for their skill sets. [9] A number of pop-

psychology books are built on the notion of changing your own or someone

else’s attitude. The reality is, an individual’s attitude can be changed, but it isn’t

something that happens quickly or easily. [10]

Root Cause Analysis

Once a gap (or a series of gaps) has been identified, the performance consultant

needs to conduct a root cause analysis. A root cause analysis is a systematic

problem-solving process that attempts to determine the origin of identified gaps

in the performance improvement process. One of the biggest mistakes some

people make is believing that they know the root cause of a problem without

actually analyzing the possible causes. People often believe they know the cause,

but equally often these perceptions are false or only superficial. Remember, HPI

is a systematic approach to improving organizational outcomes, so the HPI

consultant must examine the system as a whole to determine the actual nature of

possible causes. According to Ethan Sanders and Sivasailam Thiagarajan, there

are six basic causes for performance gaps: (1) knowledge, (2) information, (3)

structure/processes, (4) physical resources, (5) health, and (6) motives. [11]

Knowledge

The first common root cause occurs because of a lack of knowledge. Knowledge

root causes refer to either a lack of cognitive understanding or a lack of specific

skills necessary to achieve a desired performance state. Knowledge root causes

can be either technical or interpersonal in nature. Maybe a worker was simply

never shown the correct process for completing a task or has even learned the

wrong behaviors for completing a task. On the interpersonal side, maybe a

customer-service representative was never fully trained on how to handle a

disgruntled customer, which leads to inappropriate interpersonal interactions.

Information

The second common cause for gaps in performance involves information.

Information root causes occur because an individual does not have adequate or

correct information to complete her or his job. This is a common root cause that

organizational communication specialists are ideally trained for because of its

inherent communicative overtones. Information root causes often occur because

of rigid communication structures that do not allow for easy cross-division

interaction and communication. If a worker in marketing doesn’t have the most

recent information on a product being developed, he or she could end up making

mistakes related to a launch of the product because of lack of interaction with the

people making it.

Structure/Processes

The third common cause for gaps in performance occurs because of problems

with the organizational structure or its internal processes. First, if the internal

structure of an organization forces various departments to compete, you may

find turf battles within the organization that lead to a breakdown of cooperation.

Anytime the structure of an organization prevents optimal performance, the

organizational structure itself can cause a number of problems. On the other side,

often the processes within the organization can be at the root of specific gaps.

Some organizations have processes that are completely unwieldy and inefficient.

For example, maybe the process for an innovative initiative has so many layers

of bureaucracy that the organization cannot adjust quickly, enabling effective

innovation. Some organizations even have redundant processes that slow down

the organization’s effectiveness.

Physical Resources

The fourth common root cause for performance gaps occurs because of a lack of

physical resources for individuals. By physical resources, we are specifically

referring to the equipment and physical surroundings within an organization that

limit performance. Some common equipment resources include items such as

chairs, computers, desks, phones, software, and so on. A lack of any of these

tools can cause a performance gap. Other organizations have inappropriate

physical surroundings that prevent effective performance (e.g., heat, lighting,

ventilation). Whether an individual doesn’t have the appropriate equipment or

works in a physical environment not conducive to productivity, understanding

the physical resources involved in a performance gap is extremely important.

Health

The fifth common root cause of performance gaps involves an individual’s

physical and mental health. Physical health includes any kind of physical ailment

that prevents an individual from performing optimally. For example, one

common physical health issue involves repetitive strain injuries. Repetitive strain

injuries occur when an individual performs the same physical behavior over and

over again. A repetitive strain injury can cause an individual to feel pain,

numbness, tingling, or loss of feeling in the hands or arms. A common form of

repetitive strain injury is carpal tunnel syndrome, which is most often caused by

excessive typing over a long period of time. Imagine a worker whose job is to

type but who can no longer feel her or his fingers.

By mental health, we refer to any kind of emotional illness (e.g., anxiety,

depression) or negative psychological state (e.g., attention deficit and

hyperactivity disorder [ADHD], substance abuse) that interferes with

performance. Many organizations have an employee-assistance program (EAP)

to help individuals during these difficult times. For example, an individual

experiencing the death of a loved one or going through a breakup or divorce may

need the help of a mental-health professional to get through the rough patch.

Furthermore, individuals who are victims of inappropriate aggression, bullying,

discrimination, or harassment may find their performance level dropping.

Although an organization cannot prevent psychological trauma occurring outside

the organization’s walls, it can prevent and stop forms of psychological trauma

occurring within the organization. On the other hand, imagine you’re an

individual who has ADHD and is forced to work in an office environment with

more than a hundred other workers in open cubicles. This constant bombardment

of movement and noise could lead to a serious downturn in your overall

performance.

Motives

The final common root cause identified by Sanders and Thiagarajan involves

motives. By motives, Sanders and Thiagarajan are specifically referring to an

individual’s level of employee motivation. A number of factors can cause

inadequate employee motivation: lack of feedback, conflicting values,

organizational orientation, lack of appreciation, job satisfaction, lack of

organizational commitment, and so on. In fact, there is a wealth of research that

examines all the facets that lead to employee motivation in the workplace. [12] In

many ways, the motive root cause is the affective root cause. It’s the emotional

causes that underlie many of the other root causes, so if they are not addressed

adequately performance interventions may fall flat. As Sanders and Thiagarajan

note, “Notice that knowledge, information, structure, resources, and health are

categories of root causes, and they are examples of root causes that create

motivational performance barriers. This is because all these items can have the

residual effect of lowering a performer’s motivation to produce valuable

outputs.” [13]

Intervention Selection

Once the root cause of a performance problem is identified, it’s time to think

through possible performance interventions. Darlene Van Tiem, James Moseley,

and Joan Dessinger identified eight common interventions used by HPI

consultants: (1) learning, (2) performance support, (3) job analysis/work design,

(4) personal development, (5) human resources development, (6) organizational

communication, (7) organizational design and development, and (8) financial

systems. [14]

Learning

As discussed earlier in Section 15.3 one of the first tools that can improve

human performance in the workplace is traditional training interventions.

Whether through face-to-face, e-learning, or blended learning interventions,

training is still a very important intervention when people do not have the

requisite knowledge, skills, and attitudes to perform a specific job.

Performance Support

The second common form of performance improvement intervention is referred

to as performance support. Performance support refers to any repositories of

information, processes, or expert perspectives that help workers increase

efficiency and quality on the job. In today’s world, a number of common

performance support systems are readily available for organizational users. For

our purposes, we will explore two of them briefly: job aids and electronic

performance support systems.

A job aid is any device or tool designed for use on a job, which provides

information and/or instructions to help a user perform a specific task. In fact, our

world is filled with job aids, but we don’t always call them such. For example,

when you read the instructions on the back of a microwave dinner box, you’re

reading a job aid of sorts. These instructions are designed to teach you, the

hungry user, how to accurately cook the meal for optimum quality. The

workplace is filled with necessary job aids, from flow charts that explain specific

processes to quick-reference cards to help you easily navigate a software

package. For some simple examples of job aids, check out http://jobaids.info.

An electronic performance support system (EPSS) is simply a job aid that has

been turned into an electronic repository. Many organizations have realized over

the last few decades that it’s very important to keep knowledge within an

organization, so they started developing knowledge management processes. One

of the first (and widely used) definitions of knowledge management comes from

Thomas Davenport, who defined knowledge management as the process of

capturing, distributing, and effectively using knowledge. [15] Today, knowledge

management is viewed as a variety of practices and strategies that help

organizations capture, create, and distribute both explicit and tacit knowledge.

Michael Polanyi originally distinguished between two types of knowledge that

he called explicit and tacit knowledge. [16] Explicit knowledge is knowledge

that has been clearly documented and shared with others. This book is an

example of explicit knowledge. Tacit knowledge is knowledge that an

individual has in her or his head based on experience, insight, and judgments

made along the way. The basic goal of knowledge management is to take the

tacit knowledge that organizational workers have and capture it in some medium

in an effort to make it explicit. Management theorist Peter Drucker was the first

major researcher to call attention to the growing importance of knowledge in the

modern organizational landscape. [17] As the United States went from a

production-based economy (most workers were paid on their ability to produce

goods) to a knowledge-based economy (most workers are paid for their intellect

and experience), Drucker noticed that individuals were being increasingly

utilized to add to an organization’s products and services by applying their

intellect.

What is the role of the EPSS in all this knowledge? EPSSs are designed to help

an organization capture this tacit knowledge in a manner to make it explicit.

Organizations will often utilize a software package called a content management

system (CMS) to help the organization collect and maintain knowledge. Most of

you are familiar with a learning management system of some kind: Blackboard,

Moodle, Angel, Web CT, and the like. CMSs, on the other hand, are designed to

help organizations create, edit, and locate content. Instead of allowing instructors

to facilitate classes online, organizations use these tools to house vast amounts of

information and make it readily available at their employees’ fingertips. In

essence, an EPSS is an electronic form of a job aid.

Job Analysis/Work Design

The next common intervention form is the job analysis/work design. Job

analyses and work designs attempt to determine how jobs can be redesigned to

improve effectiveness and employee health and comfort. First, some jobs may

involve tasks that are not very effective. This aspect recalls the Frederick Taylor

time-and-motion studies discussed in Chapter 3. The goal of an HPI practitioner

is to work with employees in an attempt to make the sequence of steps utilized to

perform a task more effective and efficient. Second, some job analyses and work

designs are undertaken to improve employee psychological and physical health.

Maybe a high-stress job needs to have more frequent required breaks to ensure

optimum performance. One such job is that of air traffic controllers (the people

responsible for helping planes take off and land). Research has shown that in

these jobs, performance starts to deteriorate after just two hours working. As

such, performance improvement experts recommend that air traffic controllers

be forced to take a break (and stand up and stretch) at least every two hours.

Physically, some jobs may lead to repetitive stress syndrome, which occurs when

people perform the same movements over and over again (like typing). As such,

HPI consultants often need to examine the ergonomics of the working

environment to alleviate or at least lessen the impact that these repetitive

motions have on workers.

Personal Development

Another common HPI intervention involves personal development, which can

include coaching/mentoring, effective supervisory feedback, and talent

management. In Chapter 7, we discussed coaching and mentoring and effective

supervisory feedback, so we will just focus quickly on talent management. In

Chapter 3, we introduced you to Frederick Herzberg’s motivator-hygiene theory. [18] The basic concept behind this theory is that some factors motivate employees

(achievement, recognition, personal growth, etc.), and other factors are perceived

as baseline expectations that, when not met, will lead to demotivation (e.g., job

relationships, work-life balance, job security). One of the motivators discussed

here is the notion of personal growth. Because individuals are often knowledge

workers today, it’s in an organization’s best interest to keep workers motivated.

The Association for Talent Development proposed the following definition for

talent management. They defined talent management as “a holistic approach to

optimizing human capital, which enables an organization to drive short- and

long-term results by building culture, engagement, capability, and capacity

through integrated talent acquisition, development, and deployment processes

that are aligned to business goals.” [19] They arrived at this definition after a

detailed survey of the field and a national survey of 518 people involved in talent

management in a variety of different fields. More than 80 percent of those

surveyed agreed with the basic definition with only 2 percent outright

disagreeing with the definition. Figure 15.12 represents the basic talent-

management cycle.

Figure 15.12 Talent Management Cycle

The first step in the talent management cycle involves the recruitment and

selection of employees. We spent a lot of time in Chapter 10 discussing best

practices for recruiting and retaining new employees, so we will not rehash that

discussion here.

Once an organization has recruited an employee, the organization goes through

an orientation and training phase. The orientation phase includes both formal

orientation to the organization and informal socialization. (See Chapter 10 for

more on this subject.) Furthermore, during this period, the organization will

provide any necessary training that an employee needs to complete her or his

job.

After a general orientation period has ended, the organization will start a process

of assessing the employee’s talents and will attempt to manage the employee in a

manner that best suits her or his talents. At this point, people who specialize in

talent management really focus on how to use a knowledge worker to the best of

her or his abilities. Furthermore, the talent manager will start a process of

determining what further knowledge, skills, and attitudes an individual employee

needs to best accomplish her or his job. Many parts go into talent management at

this point. Everything from ensuring an employee stays motivated to helping the

employee fit into the formal and informal organization can fall under the basics

of talent management. In fact, there’s an online magazine called Talent

Management (http://talentmgt.com) that you can access for free to see the

current trends and issues being faced and discussed in the talent management

field.

Although we represent talent assessment and management and career planning

and mentoring as separate phases in the cycle, these two often overlap and

happen simultaneously. We discussed mentoring and coaching in Chapter 7, so

let’s focus on the notion of career planning. Career planning involves helping

organization members align their knowledge and skills with both their individual

needs and the needs of the organization itself. For example, maybe an

organization member is interested in expanding her or his computer skills and

knowledge of database applications. The organization may also need someone to

specialize in FileMaker Pro. In this case, the individual’s needs (to become more

knowledgeable about databases) are in alignment with the organization’s needs.

Admittedly, this is not always the case, so there is often a mismatch between an

individual’s needs and the organization’s needs. When this occurs, it is often the

responsibility of the immediate supervisor or human resources to either refocus

the employee’s needs or have a longer discussion about person-organization fit.

Next in the talent management cycle is leadership succession planning.

Leadership is often in short supply within organizations, so ensuring that there is

a “leadership pipeline” is extremely important. A leadership pipeline is the

process of ensuring that there is adequate talent at the bottom of the hierarchy

that is progressively given increased duties and responsibilities in an effort to

ensure the next generation of leadership for the organization. One problem that

organizations often face is when a leader leaves an organization for another job,

retires, or dies, resulting in a leadership vacuum within the organization.

Organizations must always be concerned with developing the next generation of

leadership if the organization is to be self-sustaining.

Lastly, as new leaders emerge, are developed, and take leadership positions, the

organization needs to determine current and future employee needs. Part of the

talent management cycle involves future thinking. Not only may an organization

need to replace an individual worker who takes on a leadership position, but the

organization also needs to plan strategically for needs that will emerge in the

future. If you keep replacing the same workers who do the same jobs over and

over again, you’ll end up in a rut and the organization will not grow.

Human Resources Development

The next common HPI intervention involves human resources development. HR

development specifically refers to interventions HR professionals can implement

to increase performance (e.g., staffing, compensation, bonuses, employee

evaluation). When we examine performance problems, we can see that many

stem from simple HR matters. When these HR matters are resolved, the

performance will improve.

Organizational Communication

Obviously, for communication experts, organizational communication as an

actual HPI intervention makes sense. Many performance problems exist within

an organization because of inadequate communication networks, information

hoarding, or incivility, among other examples. Communication researchers are

ideally suited to help with these interventions, which generally start with an

organizational communication analysis. Once an analysis is complete, the

organizational communication consultant can help an organization see its

communication problems and propose strategies for maximizing communication

in the future.

Organization Design and Development

The next common intervention used by HPI consultants consists of interventions

that focus on one of three factors: empowerment, proaction, and values. First,

organizations can enact empowerment interventions, which are designed to

enable individuals and teams to engage in problem-solving activities and see

their recommendations to the end result. These interventions can help

individuals become more effective at working in teams. They can also help

determine how best to implement virtual teams. These interventions can focus on

helping employees with the decision-making process. The second type of

interventions is referred to as organizational proaction, which means that the

organization is actively implementing change (often radically). Some common

strategies include strategic planning, appreciative inquiry, benchmarking, and

outsourcing. The final type of intervention that falls into this category is

interventions that help explain what an organization values. Every organization

has a different set of values. Some organizations clearly articulate these values,

while others demonstrate what they value in how they conduct business. Some

common values include diversity, ethics, social responsibility, and the like.

These interventions often start with a simple SWOT analysis (strengths,

weaknesses, opportunities, and threats) in an effort to help the organization grow.

The purpose here is to find areas where the organization is currently lacking and

fix it through one of the intervention methods.

Financial Systems

The final form of common intervention discussed by Van Tiem, Moseley, and

Dessinger is financial-systems interventions. [20] Van Tiem, Moseley, and

Dessinger note that “the financial system’s primary role is to move savings from

one business or individual into investments for another business or individual.” [21] As such, the HPI interventions associated with financial systems deal with an

organization’s economics and financial business practices. Van Tiem, Moseley,

and Dessinger identified six common financial systems interventions: (1) open

book management, (2) profit versus cost center, (3) financial forecasting, (4)

capital investment and spending, (5) cash-flow analysis, and (6) mergers,

acquisitions, and/or joint ventures. For our purposes, going into the intricate

differences that exist between these various financial intervention types is less

important than understanding the importance of a transparent process for

communicating the financial state of the organization. HPI consultants must have

a working knowledge of these various areas if they are going to communicate

with accounts, the finance division, or the chief financial officer. HPI consultants

will often perform the intermediary role between the financial arm of an

organization and the other workers within the organization itself. Furthermore,

having a working knowledge of finance enables HPI consultants to communicate

in the language often utilized in the C-suite.

Change Management and Maintenance

Once an HPI consultant decides the best intervention (or combination of

interventions) needed to solve the problem, the consultant builds the business

case for organizational leaders and then starts the process of implementing the

intervention. These interventions will always involve some kind of change. As

discussed in Section 15.1, most change interventions fail simply because their

implementation has not been adequately determined before forging ahead. James

Moseley and Nancy Hastings developed a simple four-step model for

understanding implementation: planning, doing, stabilizing, and

institutionalizing. [22] First, interventions should be planned. Some of the basic

tasks involved in planning can include securing resources, ensuring buy-in from

top management, pilot testing interventions, and identifying potential risks. After

the intervention has been planned, it’s time to venture to the second stage of the

model, doing. Doing refers to actual implementation of the intervention.

However, just because an intervention is enacted doesn’t mean that the HPI

consultant’s job is over. In fact, the doing stage is still marked by a number of

key elements: ensuring the launch is marketed, identifying any problems with

the intervention that were not predicted (e.g., transfer issues, ethical issues), and

modifying the intervention as necessary. Although an intervention may be

piloted, we often have no idea whether the intervention will be 100 percent

successful until it is fully implemented. After doing, the next implementation

stage is stabilizing. During stabilizing, the intervention is fine tuned, and key

stakeholders are kept aware of the success or problems with the intervention.

The HPI consultant also needs to research how the intervention is actually

impacting people, their work, and the workplace as a whole. Lastly, HPI

consultants enter into the last stage of a performance intervention, which is

ensuring the intervention is institutionalized. The goal of institutionalization is

threefold: (1) ensure the intervention will stay in place after the intervention is

officially “over,” (2) publicize the success of the intervention to various

stakeholders, and (3) determine any modifications necessary for future

performance interventions.

Implementation Evaluation

Although evaluation should be completed at all levels of the HPI process, there

does come a point when the HPI intervention has been officially “completed,” so

an HPI consultant needs to examine the overall effectiveness of the intervention

itself. As discussed earlier in this chapter, the most common approach to

evaluating HPI interventions is the one developed to examine training

interventions: reaction, learning, behavior, results, and return on investment.

Modern organizations are results-driven entities, so demonstrating an HPI’s

impact on the bottom line is very important to securing the future of other HPI

interventions within the organization.

KEY TAKEAWAY

Performance is defined as the accomplishment or execution of

work-related tasks measured against specific workplace

standards (e.g., accuracy, completeness, quantity, quality, speed).

Human performance improvement is the systematic process for

identifying and analyzing human performance problems and

designing results-oriented interventions to improve people,

processes, and organizations. According to Geary Rummler and

Alan Brache, optimal performance occurs when people,

processes, and organizational factors are in alignment.

The concept of human performance improvement (HPI) presented

in the text starts with an environmental scan, in which an HPI

consultant looks for problems occurring within the organization or

ways to improve the organization. After conducting a scan, the

HPI consultant will determine if the problems or areas for

improvement are caused by gaps in knowledge, skills, and/or

attitudes. After examining the gaps, the HPI consultant tries to

find the root cause of the gaps. Once the HPI consultant has

determined important root causes, he or she will then select the

most appropriate intervention to fix the problems or improve the

organization. The intervention is eventually implemented and then

goes into a state of maintenance as it becomes routine within the

organization. Lastly, the HPI consultant will evaluate the

effectiveness of the HPI intervention and communicate these

findings to upper management. At this point, the HPI consultant

can either hand off the intervention to internal personnel or

engage in a new HPI intervention.

Environmental or external scanning involves looking for opportunities and threats that exist outside the organization. There are three different ways that organization members conduct external scans:

1. Members can engage in irregular scanning, or scanning that occurs because of a specific need that arises within the organization.

2. Organizations can engage in periodic scanning, which occurs when an organization scans the external environment on a regular basis to ascertain new ideas, trends, or behavioral patterns within a given industry.

3. Organizations can engage in continuous scanning, in which the organization is constantly looking for new ideas, trends, services, products, behavioral patterns, and so on.

HPI consultants can use a number of different tools to correct

gaps occurring in knowledge, skills, and attitudes. In this chapter,

we examined eight specific HPI interventions: (1) learning, (2)

performance support, (3) job analysis/work design, (4) personal

development, (5) human resources development, (6)

organizational communication, (7) organizational design and

development, and (8) financial systems.

The talent management cycle helps organizations think through

the creation of new leaders from selection through retirement.

First, talent managers seek out qualified candidates for

organizational positions. Once in the organization, talent

managers proceed with the orientation and socialization of new

talent into the organization. Over time, talent is assessed as the

organization tries to align organizational needs with employee

talent. In conjunction with assessment and management,

organization members also engage in career planning and

mentoring. Those with leadership potential are eventually placed

in the leadership pipeline. Lastly, the organization must always be

thinking ahead to the next generation of talent. As such, the

organization must be engaged in determining both future needs

and what the next generation of talent should look like.

EXERCISES

1. Look at an organization that you currently belong to. Walk through

Explicit Knowledge:

Performance Support:

Tacit Knowledge:

Gap Analysis:

Human Performance Improvement:

Job Aid:

the human performance improvement model. What kind of results

would you expect to see?

2. Which do you think is more important in human performance

improvement, internal or external scanning? Why? How would

you recommend your organization improve its current scanning

techniques?

3. Examine a recent issue of Talent

Management (http://talentmgt.com). What trends do you see

currently facing the talent management field? How can

organizational communication scholars help?

KEY TERMS AND DEFINITIONS

Knowledge that has been clearly documented and shared with others. This book is an example of explicit knowledge.

Any repositories of information, processes, or expert perspectives that help workers increase efficiency and quality on the job.

Knowledge that an individual has in her or his head based on experience, insight, and judgments made along the way.

The systematic examination of where current people, processes, and organizational characteristics (e.g., mission, vision, strategic plan, structures) exist at the beginning of a change effort in comparison to the desired end state after a performance intervention.

The systematic process for identifying and analyzing employee problems and designing results- oriented interventions to improve people, processes, and organizations.

Any device or tool designed for use on a job, which provides

Knowledge Management:

Leadership Pipeline:

Performance :

Root Cause Analysis:

information and/or instructions to help a user perform a specific task.

A variety of practices and strategies that help organizations capture, create, and distribute both explicit and tacit knowledge.

The process of ensuring that there is adequate talent at the bottom of the hierarchy, which is progressively given increased duties and responsibilities in an effort to ensure the next generation of leadership for the organization.

The accomplishment or execution of work-related tasks measured against specific workplace standards (e.g., accuracy, completeness, quantity, quality, speed).

A systematic problem-solving process that attempts to determine the origin of identified gaps in the performance- improvement process.

[1] Gilbert, T. F. (2007). Human competence: Engineering worthy

performance (tribute, ed.) San Francisco, CA: Pfeiffer.

[2] Rummler, G., & Brache, A. (2013). Improving performance: How to

manage the white space on the organization chart (3rd ed.). San

Francisco, CA: Jossey-Bass.

[3] Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012).

Fundamentals of performance improvement: Optimizing results through

people, processes, and organizations (3rd ed.). San Francisco, CA:

Pfeiffer, p. 6.

[4] Dent, J., & Anderson, P. (2000). Fundamentals of HPI (Infoline No.

9811). Alexandria, VA: ASTD Press.

[5] Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012).

Fundamentals of performance improvement: Optimizing results through

people, processes, and organizations (3rd ed.). San Francisco, CA:

Pfeiffer, p. 43.

[6] Fahey, L., & Narayanan, V. K. (1986). Macroenvironmental analysis

for strategic management. St. Paul, MN: West.

[7] Doyle, C. S. (1994). Information literacy in an information society: A

concept for the information age. (Information Resources Publications, 4–

194). Syracuse, NY: Center for Science and Technology, p. 8.

[8] Bloom, B. S., Engelhart, M. D., Furst, E. J., Hill, W. H., & Krathwohl,

D. R. (1956). Taxonomy of educational objectives: The classification of

educational goals. Handbook I: Cognitive domain. New York, NY: David

McKay.

[9] Murphy, M. (2012). Hiring for attitudes: A revolutionary approach to

recruiting and selecting people with both tremendous skills and superb

attitude. New York, NY: McGraw-Hill.

[10] Maio, G., & Haddock, G. (2010). The psychology of attitudes and

attitude change. Los Angeles, CA: Sage.

[11] Sanders, E., & Thiagarajan, S. (2002). Performance intervention

maps (2nd ed.). Alexandria, VA: ASTD Press.

[12] Latham, G. P. (2007). Work motivation: History, theory, research, and

practice. Thousand Oaks, CA: Sage.

[13] Sanders, E., & Thiagarajan, S. (2002). Performance intervention

maps (2nd ed.). Alexandria, VA: ASTD Press, p. x.

[14] Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012).

Fundamentals of performance improvement: Optimizing results through

people, processes, and organizations (3rd ed.). San Francisco, CA:

Pfeiffer, p. 6.

[15] Davenport, T. H. (1994). Saving IT’s soul: Human-centered

information management. Harvard Business Review, 72(2), 119–131;

Davenport, T. H., & Prusak, L. (1998). Working knowledge: How

organizations manage what they know. Boston, MA: Harvard Business

School Press.

[16] Polanyi, M. (1967). The tacit dimension. New York, NY: Anchor

Books.

[17] Drucker, P. (1959). Landmarks of tomorrow: A report on the new

“post-modern” world. New York, NY: Harper.

[18] Herzberg, F., Mausner, B., & Snyderman, B. S. (1959). The

motivation to work. New York, NY: Wiley.

[19] Paradise, A. (2009). Talent management defined. T+D, 63(5), 68–69,

p. 69. Emphasis in original.

[20] Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012).

Fundamentals of performance improvement: Optimizing results through

people, processes, and organizations (3rd ed.). San Francisco, CA:

Pfeiffer.

[21] Van Tiem, D. M., Moseley, J. L., & Dessinger, J. C. (2012).

Fundamentals of performance improvement: Optimizing results through

people, processes, and organizations (3rd ed.). San Francisco, CA:

Pfeiffer, p. 395.

[22] Mosley, J. L., & Hastings, N. B. (2005). Implementation: The

forgotten link on the intervention chain. Performance Improvement, 44(4),

8–14.

15.5 Chapter Exercises

REAL-WORLD CASE STUDY

Kris and Janette were asked by a large retail company (Big Box) to

conduct quarterly diversity training. At first, Kris and Janette were

excited to be working with Big Box as they tried to improve diversity

within the organization. Their first training session went off without a

hitch. Everyone was impressed with the quality of the program.

However, when Kris and Janette questioned whether the senior

management had any desire to examine the results of both level-

one and level-two evaluations, the senior management didn’t really

want to see results. In fact, Kris and Janette were told to stop

wasting time evaluating the training and just let the employees get

back to work.

Over the next two quarters, Kris and Janette became quite

disillusioned with the whole process. Clearly, Big Box said they

wanted to encourage and promote diversity, but the organization

didn’t seem to care about the impact the diversity training was

having. Although Kris and Janette were being well compensated for

their time and energy, they began to worry that their training was just

another box senior management felt the need to check off their to-

do lists.

1. Do you think Kris and Janette should keep training at Big Box?

Why or why not?

2. Why do you think the senior management were so reluctant to

look at the training results? Should Kris and Janette have

provided the results anyway?

3. If you were Kris and Janette, how would you communicate the

importance of diversity training in the workplace?

END-OF-CHAPTER ASSESSMENT

1. Paula is hired as an organizational-development consultant who specializes in appreciative inquiry. During which part of the 4-D model would she ask the following question: “Tell me about a moment when you were inspired by your organization’s leadership”?

a. define b. discovery c. dream d. design e. destiny

2. Elaine is pretty sick and tired of being bombarded by e-mails. In fact, she’s receiving so many e-mails that many receive no response because they get lost in her in-box over time. What aspect of Cal Downs and Michael Hazen’s communication satisfaction questionnaire is Elaine not satisfied with?

a. organizational integration b. horizontal/informal communication c. media quality d. organizational perspective e. personal feedback

3. Karla has an inherent fear of computers. She’s always afraid that she’s going to mess up somehow and break the computer. Her boss recently informed her that she is going to be attending a two-day workshop on using the company’s new financial software package. What domain of learning could prevent Karla from getting a full learning experience?

a. affective b. behavioral c. cognitive d. psychomotor e. evaluation

4. Lou is engaging in the systematic process for identifying and analyzing human performance problems and designing results-oriented interventions to improve people, processes, and organizations. What is Lou engaging in?

a. organizational development b. communication assessment c. action research d. training e. human performance improvement

5. Ken is in the process of trying to figure out how to use a theme in Microsoft Visio 2013. He pulls out a laminated card that contains brief instructions for using Microsoft Visio. What

is Ken using?

a. job aid b. task tool c. performance aid d. job utility e. performance implement

Answer Key

1. b

2. c

3. a

4. e

5. a

Chapter 16

Appendix: Your First Job Out of College

In the Beginning

From the start of your academic college career, you take class after class to learn

about important concepts and items. You test your mastery of your knowledge

comprehension through examinations and projects. At times, you might have

been asked to write a research paper, complete a project/portfolio, and/or

perform a service-learning project. Then, after the completion of all your

courses, you are no longer in the comfort of your typical classroom. You have

your new job. Even though you don’t have formal exams, you are still being

tested daily. Your grades are no longer an indicator of your performance; rather,

you have performance reviews from your superiors. Your work now impacts the

entire organization, your supervisors, your managers, and possibly your

coworkers. You are an integral part of your organization. You are like that

specific part that helps the organization run more smoothly. However, if that part

is broken or not working, then your employer can easily find another part/person

to replace you. In this chapter, we will discuss some ways to help you get your

desired job, advice for your employment interviews, and ways to succeed in your

first job. These suggestions are practical but provide helpful and important

information, so you can be successful as you hunt for and land your desired job.

16.1 You Have a Degree in Organizational

Communication?

LEARNING OBJECTIVES

1. Formulate an answer to the question “what is organizational

communication?”

2. Describe how you can sell a degree in organizational

communication to future employers.

3. Select the competencies of communication professionals that you

already have and those you still need to acquire.

4. Learn to prepare for your future today.

I’m betting at some point in your collegiate career you’ve faced the infamous

question, “You’re getting a degree in organizational communication? What’s

that?” Or, “You’re getting a degree in organizational communication? Can you

come organize my house?” This is the question that everyone in organizational

communication will face at some point in her or his lifetime. First, there is no

correct way of answering this question. In fact, a lot of getting a degree in

organizational communication is selling the degree to potential employers. As

we’ve discussed throughout this book, there isn’t an agreed-upon definition of

“organizational communication,” so you shouldn’t be surprised that there’s not

one specific way to view your degree.

Are employers looking for skills that you’ve learned while in college? In a joint

study published by the Chronicle of Higher Education and Marketplace,

researchers found that 78.8 percent of CEOs believed communication skills

(both oral and written) were paramount for success in the modern workplace.

However, only 60.5 percent of CEOs believed college students were prepared. [1]

In a second study conducted by the Society for Human Resource Management,

49 percent of HR managers believed that recent college graduates lacked writing

skills (grammar, spelling, etc.), and 35 percent believed college graduates lacked

business writing skills (memos, reports, e-mails, proposals, etc.). [2] As you can

see, communication is an important part of the modern organization, but many

CEOs and HR managers are having a problem finding qualified candidates.

Selling Yourself and Your Degree

Wayne Pace and Don Faules described the skills of an organizational

communication major in the following manner: “They apply their knowledge in

public contact positions in organizations, such as sales, marketing, public

relations, advertising, fund raising, and community affairs…they may apply their

knowledge in development positions in organizations, such as counseling, career

development, organization development, internal consulting, technical training,

and management development, as well as general management (both line and

staff) positions.” [3]

As you can see from this attempt to define what organizational communication

majors do, there is quite a wide variety of different areas that organizational

communication majors can venture into. Unlike majors that have specific titles

associated with them (broadcast journalism, psychology, social work, business,

etc.), organizational communication majors often have to educate potential

employers about their degrees and the different skill sets that they possess. [4]

Some common skills that individuals in organizational communication learn

include the following:

Relational skills (interpersonal, group/team, etc.)

Presentational skills

Analytical/critical thinking skills

Listening skills

Computer skills

Research skills

Writing skills

This is just a short list of some basic skills that organizational communication

majors should walk away with upon graduation. Obviously, all these skills will

be slightly different depending on the program you attend. Some organizational

communication major programs will emphasize relational skills over listening

skills or emphasize presentational skills over computer skills. However, all

organizational communication majors should have exposure to at least some of

these skills along the way. In addition to these basic skills, there are many

specific skills that you may learn depending on the courses you take:

Project management skills

Intercultural skills

Conflict management/negotiation skills

Quantitative-reasoning skills

Decision-making skills

Social-media skills

Production skills (e.g., website creation, video production, e-learning

creation).

This is hardly a representative sample of all the different skills that you will

learn as an organizational communication major, but we hope these will get you

thinking about the skills that you are developing in college. Lastly,

organizational communication programs often have a variety of specialized

communication courses to help you improve your cognitive understanding of

organizations. Some classes you may have in your program could include the

following:

Training and Development

Human Performance Improvement

Leadership

Group/Team Communication

Conflict Management

Negotiation

Advanced Public Speaking

Research Methods

Organizational Culture

Workplace Relationships

Organizational Development

Consulting

Business and Professional Communication

Managerial Communication

Computer-Mediated Communication ganizaB

Again, this list is hardly exhaustive but is designed to serve as a list of potential

classes you could have in your program.

So you may be thinking that this sounds all well and good, but why would a

potential employer be looking for these skills? Marcel Robles conducted a study

examining executive perceptions of soft skills (personal attributes that help an

individual interact effectively with others in the workplace and that enhance job

performance and career prospects). He found the top ten most important soft

skills were ranked by executives as follows: [5]

10. Work ethic

9. Team skills

8. Flexibility

7. Professionalism

6. Positive attitude

5.Interpersonal skills

4. Responsibility

3. Courtesy

2. Communication

1. Integrity

When you look at this list, all the items have aspects of communication or

involve facets of organizational communication that we’ve discussed in this

book. In fact, if you’re smart about how you craft your cover letter and résumé,

you can actually emphasize how your degree in organizational communication

hits on all ten of these soft skills. Again, it’s about how you package and sell

your degree and yourself.

Organizational Communication Professionals Today

Jason Wrench (yes, one of our coauthors) examined the world of modern

organizational communication jobs and attempted to develop a competency

model to help guide discussions on the professionalization of the field. [6] The

notion of competency dates back to 1995, when a group of several hundred HR

managers came together in Johannesburg, South Africa, to determine the specific

skills needed for a range of different jobs. As part of this discussion, they

defined a competency as “a cluster of related knowledge, skills, and attitudes

that affects a major part of one’s job (a role or responsibility), that correlates

with performance on that job, that can be measured against well-accepted

standards, and that can be improved via training and development.” [7] However,

most occupations do not rely on one specific competency. Instead, they rely on a

set of interrelated competencies that are often called competency models.

Anntoinette Lucia and Richard Lepsinger defined a competency model as

describing “the particular combination of knowledge, skills, and characteristics

needed to effectively perform a role in an organization and…used as a human

resource tool for selection, training and development, appraisal, and succession

planning.” [8] You may be wondering why competency models are useful.

According to the Employment and Training Administration (ETA) of the United

States Department of Labor, there are four reasons competency models are

helpful for modern organizations:

1. Identify specific employer skill needs.

2. Develop competency-based curricula and training models.

3. Develop industry-defined performance indicators, skill standards, and

certifications.

4. Develop resources for career exploration and guidance. [9]

As you can see from this list, competency models help industries and

organizations develop conceptual ideas about what it means to be a professional

within a specific occupation. The American Society for Training and

Development (now the Society for Talent Development) has a competency

model for individuals interested in training and development. They argue for the

necessity of having a competency model in the following way:

Training professionals, managers, and leaders will use the Competency

Model to:

better understand the field

identify jobs in the profession that best match their skills and interests

become certified in the profession

select, appraise, reward, develop, coach, or improve the performance of

career training and development staff

find insight into what training and development competencies are

needed by line operating managers and subject matter experts who

conduct ad hoc or informal training

link individual performance goals to organizational goals and strategies

for individuals in the learning function

focus and unify ways that organizations build their training and

development staff [10]

Now, not everyone will agree that a competency model is a good idea. In fact,

many academics will find even the discussion of a competency model within the

field of organizational communication highly problematic. However, we believe

this model will help you think about the skills and knowledge you’ve learned

while pursuing your degree and further think about how you can market yourself

in the future. Figure 16.1 presents the Workplace Communication Professional

Competency Model. You’ll notice that the model is shaped like a pyramid, with

the competencies becoming more specific and advanced as you move up the

model itself. Figure 16.1 provides a full detailed list of the competency model.

Figure 16.1 Workplace Communication Professional Competency Model

Workplace Communication Professional Competency Model

1. Foundations of Workplace Communication [11]

1. Interpersonal Skills

1. Demonstrating concern for others: Shows sincere interest in others and their concerns, and demonstrates sensitivity to the needs and feelings of others; helps others resolve sensitive interpersonal problems as appropriate; looks for ways to help people, and pitches in to help others.

2. Demonstrating insight into behavior: Recognizes and accurately interprets the verbal and nonverbal behavior of others; shows insight into the actions and motives of others, and recognizes when relationships with others are strained.

3. Maintaining open communication: Maintains open lines of communication with others; encourages others to approach him/her with problems and successes; establishes a high degree of trust and credibility with others.

4. Respecting diversity: Demonstrates sensitivity and respect for the opinions, perspectives, customs and individual differences of others; values diversity of people and ideas.

5. Working with diverse people: Is flexible and open-minded when dealing with a wide range of people; listens to and considers others’ viewpoints; works well and develops effective relationships with diverse personalities.

6. Learning about other cultures: Takes action to learn about and understand the climate, orientation, needs, and values of other groups, organizations, or cultures.

2. Ethical Understanding

1. Behaving ethically: Abides by a strict code of ethics and behavior; chooses an ethical course of action and does the right thing, even in the face of opposition; encourages others to behave accordingly.

2. Acting fairly: Treats others with honesty, fairness, and respect; makes decisions that are objective and reflect the just treatment of others.

3. Taking responsibility: Takes responsibility for accomplishing

work goals within accepted timeframes; accepts responsibility for one’s decisions and actions and for those of one’s group, team, or department; attempts to learn from mistakes.

4. Communicating ethically: Demonstrates respect in one’s communication with coworkers, colleagues, and customers; communicates in a manner that is in the best interest for one’s company, community, and environment; complies with applicable ethical credos including the National Communication Association’s Credo for Ethical Communication and the International Association for Business Communicators’ Code of Ethics for Professional Communicators.*

5. Business ethics: Demonstrates respect for coworkers, colleagues, and customers; acts in the best interest of the company, the community, and the environment; complies with applicable laws and rules governing work and reports loss, waste, or theft or company property to appropriate personnel.

3. Professionalism

1. Demonstrating self-control: Demonstrates self-control by maintaining composure and keeping emotions in check even in very difficult situations; deals calmly and effectively with stressful situations.

2. Professional appearance: Maintains a professional demeanor; dresses appropriately for occupation and its requirements; and maintains appropriate personal hygiene.

3. Substance abuse: Is free from substance abuse. 4. Maintains a positive attitude: Projects a professional image of

oneself and the organization; demonstrates a positive attitude toward work; takes pride in one’s work and the work of the organization.

4. Initiative

1. Persisting: Pursues work with energy, drive, and a strong accomplishment orientation; persists and expends extra effort

to accomplish tasks even when conditions are difficult or deadlines are tight; persists at a task or problem despite interruptions, obstacles, or setbacks.

2. Taking initiative: Goes beyond the routine demands of the job; takes initiative in seeking out new work challenges and increasing the variety and scope of one’s job; seeks opportunities to influence events and originate action; assists others who have less experience or have heavy workloads.

3. Setting challenging goals: Establishes and maintains personally challenging but realistic work goals; exerts effort toward task mastery; brings issues to closure by pushing forward until a resolution is achieved.

4. Working independently: Develops own ways of doing things; is able to perform effectively even with minimal direction, support, or approval and without direct supervision.

5. Achievement motivation: Intrinsically driven to succeed and excel; strives to exceed standards and expectations; exhibits confidence in capabilities and an expectation to succeed in future activities.

5. Dependability and Reliability

1. Fulfilling obligations: Behaves consistently and predictably; is reliable, responsible, and dependable in fulfilling obligations; diligently follows through on commitments and consistently meets deadlines.

2. Showing up on time: Demonstrates regular and punctual attendance; rarely is late for meetings or appointments.

3. Attending to details: Diligently checks work to ensure that all essential details have been considered; notices errors or inconsistencies that others have missed, and takes prompt, thorough action to correct errors.

4. Complying with policies: Follows written and verbal directions; complies with organizational rules, policies, and procedures.

6. Willingness to Learn

1. Demonstrating an interest in learning: Demonstrates an interest in personal learning and development; seeks feedback from multiple sources about how to improve and develop, and modifies behavior based on feedback or self-analysis of past mistakes.

2. Participating in training: Takes steps to develop and maintain knowledge, skills, and expertise necessary to achieve positive results; participates fully in relevant training programs and actively pursues other opportunities to develop knowledge and skills.

3. Anticipating changes in work: Anticipates changes in work demands and searches for and participates in assignments or training that address these changing demands; treats unexpected circumstances as opportunities to learn.

4. Identifying career interests: Takes charge of personal career development by identifying occupational interests, strengths, options, and opportunities; makes insightful career-planning decisions based on integration and consideration of others’ feedback, and seeks out additional training to pursue career goals.

2. Academic Competencies

1. Reading/Comprehension

1. Comprehension: Locates, understands, and interprets written information in prose and in documents such as manuals, reports, memos, letters, forms, graphs, charts, tables, calendars, schedules, signs, notices, applications, and directions; understands the purpose of written materials; attains meaning and comprehends core ideas.

2. Attention to detail: Identifies main ideas; notes details and facts; detects inconsistencies; identifies implied meaning and details; identifies missing information; identifies trends.

3. Integration: Critically evaluates and analyzes information in

written materials; integrates and synthesizes information from multiple written materials.

4. Application: Integrates what is learned from written materials with prior knowledge; applies what is learned from written material to follow instructions and complete specific tasks; applies what is learned from written material to future situations.

2. Writing

1. Organization and development: Creates documents such as letters, directions, manuals, reports, graphs, and flow charts; communicates thoughts, ideas, information, messages, and other written information, which may contain technical material, in a logical, organized and coherent manner; ideas are well developed with supporting information and examples.

2. Mechanics: Uses standard syntax and sentence structure; uses correct spelling, punctuation, and capitalization; uses appropriate grammar (e.g., correct tense, subject-verb agreement, no missing words).

3. Tone: Writes in a manner appropriate for business; uses language appropriate for the target audience; uses appropriate tone and word choice (e.g., writing is professional and courteous).

3. Mathematics/Statistics

1. Quantification: Reads and writes numbers; counts and places numbers in sequence; recognizes whether one number is larger than another.

2. Computation: Adds, subtracts, multiplies, and divides with whole numbers, fractions, decimals, and percents; calculates averages, ratios, proportions and rates; converts decimals to fractions; converts fractions to percents.

3. Physical measurement and estimation: Takes measurements of time, temperature, distances, length, width, height, perimeter, area, volume, weight, velocity, and speed; uses and reports

measurements correctly; converts from one measurement to another (e.g., from standard to metric).

4. Psychological/communication measurement and evaluation: The ability to plan, implement, and evaluate psychometrics related to psychology and communication.*

5. Application: Performs basic math computations accurately; translates practical problems into useful mathematical expressions, and uses appropriate mathematical formulas and techniques.

4. Science and Technology

1. Comprehension: Understands basic scientific principles and to use commonly available technology; understands the scientific method (i.e., identifies problems, collects information, forms opinions, and draws conclusions); understands overall intent and proper procedures for set-up and operation of equipment.

2. Application: Applies basic scientific principles and technology to complete tasks.

5. Listening and Speaking

1. Speaking: Expresses information to individuals or groups taking into account the audience and the nature of the information (e.g., technical or controversial); speaks clearly and confidently; information is organized in a logical manner; speaks using common English conventions including proper grammar, tone and pace; tracks audience responses and reacts appropriately to those responses; effectively uses eye contact and nonverbal expression.

2. Listening: Receives, attends to, interprets, understands, and responds to verbal messages and other cues; picks out important information in verbal messages; understands complex instructions; appreciates feelings and concerns of verbal messages.

3. Two-way communication: Practices meaningful two-way communication (i.e., speaks clearly, pays close attention and

seeks to understand others, listens attentively, and clarifies information); attends to nonverbal cues and responds appropriately.

4. Persuasion/influence: Influences others; persuasively presents thoughts and ideas; gains commitment and ensures support for proposed ideas.

6. Critical and Analytical Thinking

1. Reasoning: Possesses sufficient inductive and deductive reasoning ability to perform job successfully; critically reviews, analyzes, synthesizes, compares, and interprets information; draws conclusions from relevant and/or missing information; understands the principles underlying the relationship among facts and applies this understanding when solving problems.

2. Mental agility: Identifies connections between issues; quickly understands, orients to, and learns new assignments; shifts gears and changes direction when working on multiple projects or issues.

7. Active Learning

1. Learning strategies: Applies a range of learning techniques to acquire new knowledge and skills; processes and retains information; identifies when it is necessary to acquire new knowledge and skills.

2. Application: Integrates newly learned knowledge and skills with existing knowledge and skills; uses newly learned knowledge and skills to complete specific tasks; uses newly learned knowledge and skills in new or unfamiliar situations.

8. Computer Skills

1. Comprehending the basics: Understands and efficiently uses basic computer hardware (e.g., PCs, printers) and software (e.g., word processing software, spreadsheet software) to

perform tasks; understands common computer terminology (e.g., program, operating system) and is familiar with the fundamental capabilities of computers.

2. Entering data: Enters data into computer files quickly, with an acceptable degree of accuracy; double-checks data entry carefully; notices when data are missing or look wrong and takes steps to ensure computer files are complete and accurate.

3. Preparing documents: Uses word processing programs to create, edit, and retrieve document files; types materials quickly and accurately; checks work carefully and identifies/corrects typographical errors; uses basic reference materials and tools (e.g., spell check) to ensure accuracy.

3. Workplace Competencies

1. Teamwork

1. Acknowledging team membership and role: Accepts membership in the team; shows loyalty to the team; determines when to be a leader and when to be a follower depending on what is needed to achieve the team’s goals and objectives; encourages others to express their ideas and opinions; identifies and draws upon team members’ strengths and weaknesses to achieve results; learns from other team members.

2. Establishing productive relationships: Develops constructive and cooperative working relationships with others; exhibits tact and diplomacy and strives to build consensus; shows sensitivity to the thoughts and opinions of other team members; delivers constructive criticism and voices objections to others’ ideas and opinions in a supportive, nonaccusatory manner; responds appropriately to positive and negative feedback.

3. Identifying with the team and its goals: Identifies the goals, norms, values, and customs of the team; is a team player and contributes to the group’s effort; uses a group approach to

identify problems and develop solutions based on group consensus; effectively communicates with all members of the group or team to achieve team goals and objectives.

4. Resolving conflicts: Brings others together to reconcile differences; handles conflicts maturely by exercising a give- and-take approach to achieve positive results for all parties; reaches formal or informal agreements that promote mutual goals and interests, and obtains commitment to those agreements from individuals or groups.

2. Adaptability/Flexibility

1. Employing unique analyses: Employs unique analyses and generates new, innovative ideas in complex areas; integrates seemingly unrelated information to develop creative solutions; develops innovative methods of obtaining or using resources when insufficient resources are available.

2. Entertaining new ideas: Is open to considering new ways of doing things; actively seeks out and carefully considers the merits of new approaches to work; willingly embraces new approaches when appropriate and discards approaches that are no longer working.

3. Dealing with ambiguity: Takes effective action when necessary without having to have all the necessary facts in hand; easily changes gears in response to unpredictable or unexpected events, pressures, situations, and job demands; effectively changes plans, goals, actions, or priorities to deal with changing situations.

3. Planning and Organizing

1. Planning: Approaches work in a methodical manner; plans and schedules tasks so that work is completed on time; keeps track of details to ensure work is performed accurately and completely.

2. Prioritizing: Prioritizes various competing tasks and performs them quickly and efficiently according to their urgency; finds

new ways of organizing work area or planning work to accomplish work more efficiently.

3. Allocating resources: Estimates resources needed for project completion; allocates time and resources effectively and coordinates efforts with all affected parties; keeps all parties informed of progress and all relevant changes to project timelines.

4. Anticipating obstacles: Anticipates obstacles to project completion and develops contingency plans to address them; takes necessary corrective action when projects go off-track.

4. Creative Thinking

1. Generating innovative solutions: Uses information, knowledge, and beliefs to generate original, innovative solutions to problems; reframes problems in a different light to find fresh approaches; entertains wide-ranging possibilities others may miss; takes advantage of difficult or unusual situations to develop unique approaches and useful solutions.

2. Seeing the big picture: Has broad knowledge and perspective; pieces together seemingly unrelated data to identify patterns and trends and to see a bigger picture; understands the pieces of a system as a whole and appreciates the consequences of actions on other parts of the system; possesses a big-picture view of the situation.

5. Working with Tools and Technology

1. Selecting tools: Selects and applies appropriate tools or technological solutions to frequently encountered problems; carefully considers which tools or technological solutions are appropriate for a given job, and consistently chooses the best tool or technological solution for the problem at hand.

2. Keeping current: Demonstrates an interest in learning about new and emerging tools and technologies; seeks out opportunities to improve knowledge of tools and technologies that may assist in streamlining work and improving

productivity. 3. Troubleshooting: Learns how to maintain and troubleshoot

tools and technologies.

6. Problem Solving and Decision Making

1. Identifying the problem: Anticipates or recognizes the existence of a problem; identifies the true nature of the problem by analyzing its component parts; uses all available reference systems to locate and obtain information relevant to the problem; recalls previously learned information that is relevant to the problem.

2. Locating, gathering, and organizing relevant information: Effectively uses both internal resources (e.g., internal computer networks, company filing systems) and external resources (e.g., Internet search engines) to locate and gather information; examines information obtained for relevance and completeness; recognizes important gaps in existing information and takes steps to eliminate those gaps; organizes/reorganizes information as appropriate to gain a better understanding of the problem.

3. Generating alternatives: Integrates previously learned and externally obtained information to generate a variety of high- quality alternative approaches to the problem; skillfully uses logic and analysis to identify the strengths and weaknesses, the costs and benefits, and the short- and long-term consequences of different approaches.

4. Choosing a solution: Decisively chooses the best solution after contemplating available approaches to the problem; makes difficult decisions even in highly ambiguous or ill-defined situations; quickly chooses an effective solution without assistance when appropriate.

5. Implementing the solution: Commits to a solution in a timely manner, and develops a realistic approach for implementing the chosen solution; observes and evaluates the outcomes of implementing the solution to assess the need for alternative approaches and to identify lessons learned.

7. Workplace Computer Applications

1. Keyboarding and word processing: Skillfully uses word- processing software; streamlines document processing by employing a variety of common software functions; uses correct style and format, even when confronted by uncommon requirements that deviate from standard guides; consults appropriate manuals when uncertain about the correct style and format.

2. Internet applications: Effectively uses the Internet and web- based tools to manage basic workplace tasks (e.g., timekeeping, maintaining employee records, conducting information searches); understands and performs Internet functions requiring the use of log-in and password information; is aware of company guidelines surrounding Internet usage and complies with those guidelines.

3. E-mailing: Composes professional e-mails to communicate business-related information to coworkers, colleagues, and customers; understands the company e-mail system and its basic functions (e.g., replying to or forwarding messages, using electronic address books, attaching files); ensures that key stakeholders are kept informed of communications by copying (i.e., CCing) them on important e-mails when appropriate.

4. Social networking: The ability to leverage Web 2.0 applications to further one’s ability to network with coworkers, professional peers, clients, and other organizational stakeholders.*

5. Spreadsheets/statistical software: Uses spreadsheet software to enter, manipulate, edit, and format text and numerical data; effectively creates and saves worksheets, charts, and graphs that are well organized, attractive, and useful.*

6. Presentation software: The ability to competently utilize a range of presentation software packages (e.g., PowerPoint, Prezi, Slide Rocket, etc.) in a manner that enhances one’s oral presentation of specific informative or persuasive content.*

8. Scheduling and Coordinating

1. Arranging: Makes arrangements (e.g., for traveling, meetings) that fulfill all requirements as efficiently and economically as possible; handles all aspects of arrangements thoroughly and completely with little or no supervision.

2. Informing: Responds to the schedules of others affected by arrangements; informs others of arrangements, giving them complete, accurate, and timely information; insures that others receive needed materials in time.

3. Verifying: Takes steps to verify all arrangements; recognizes problems, generates effective alternatives, and takes corrective action.

4. Coordinating in distributed environments: Coordinates schedules of colleagues, coworkers, and clients in regional locations (i.e., across time zones) to ensure that inconvenience is minimized and productivity is enhanced; leverages technology (e.g., Internet, teleconference) to facilitate information sharing in distributed work environments; takes advantage of team member availability throughout business hours in multiple time zones to enhance productivity.

5. Shiftwork: Effectively coordinates the transition of employees at the beginning and end of each work shift; disseminates crucial information in an organized manner to rapidly bring employees up to speed at the start of their shifts; ensures that employees are updated on work completed on past shifts and work that still needs to be completed.

9. Checking, Examining, and Recording

1. Detecting errors: Detects and corrects errors, even under time pressure; notices errors or inconsistencies; forwards or processes forms in a timely and accurate manner.

2. Completing forms: Selects and completes appropriate forms quickly and completely; attends to and follows through on important information in paperwork; expedites forms, orders or advances that require immediate attention.

3. Obtaining information: Obtains appropriate information, signatures, and approvals promptly; verifies that all information is present and accurate before forwarding materials.

4. Maintaining logs: Keeps logs, records, and files that are up-to- date and readily accessible; updates logs, files, and records, noting important changes in status.

10. Business Fundamentals

1. Situational awareness: Understands the organization’s mission and functions; recognizes one’s role in the functioning of the company and understands the potential impact one’s own performance can have on the success of the organization; grasps the potential impact of the company’s well-being on employees.

2. Market knowledge: Understands market trends in the industry and the company’s position in the market; knows who the company’s primary competitors are, and stays current on organizational strategies to maintain competitiveness.

4. Communication Professional Competencies [12]

1. Communication Skills

1. Writing/editing: Writing clear, concise materials that are free of spelling, grammar, and punctuation problems for diverse audiences.

2. Web content/writing: Understand best practices for web-based content that meets organizational goals and end-user needs.

3. Editing/layout: Skills related to planning, editing, and publishing written materials for a range of business goals.

4. Writing proposals/requests for proposals (RFPs): Ability to write a business proposal and write a request for a proposal that aligns with strategic business goals.

5. Secondary research: Ability to locate, organize, and present

relevant literature on topics of importance for organizational needs.

6. Primary research: Ability to conduct and present original research that either (1) helps determine the organization’s needs and/or goals, or (2) evaluates communication campaigns after they’ve been implemented to determine effectiveness.

7. Presentation preparation: The ability create effective presentation materials using a range of presentation software and other visual aids for one’s self or other organizational members.

8. Presentation delivery: The ability to orally and nonverbally communicate a specific informative or persuasive message to further an organization’s goals.

9. Meeting participation: The ability to prepare for meetings and competently contribute during meetings with a variety organizational stakeholders.

10. Meeting management: The ability to put together an agenda, run a meeting effectively and efficiently, and prepare accurate and timely minutes that report the happenings of meetings for a variety of stakeholders.

2. Knowledge Area Skills

1. Marketing communication: The ability to conduct effective marketing research that leads to marketing plans that can be implemented and then evaluated for effectiveness in improving brand awareness and/or market share.

2. Brand management: Understand an organization’s brand elements and how to position that brand for a variety of stakeholders.

3. Employee communications: Develop, write, edit, and produce materials designed for internal communication.

4. Media relations: Effectively interact with media representatives and deliver timely and accurate information that helps further an organization’s goals.

5. Issues management: Prioritize and proactively address concerns that could negatively affect an organization or its

success. 6. Crisis communication planning: Create a clear and concrete

plan for how communication will occur during a crisis to ensure a consistent message is transmitted to various stakeholders.

7. Stakeholder relations: Prioritizing and proactively establishing methods for communicating, interacting, and maintaining a mutually beneficial relationship with various stakeholder groups.

8. Consulting skills: Providing advice to various organizational stakeholders outside one’s division in an effort to help further the organization’s goals.

9. Problem solving skills: The ability to think through the specific details of a problem to reach a solution.

10. Decision making skills: The ability to examine a specific problem facing an organization, develop possible decision alternatives, evaluate those alternatives using specific criteria, and come to a decision that furthers the organization’s goals.

3. Management Skills

1. Ethics: Know and implement ethical standards for both business and communication ethics.

2. Communication planning: Develop and implement strategic communications for a range of organizational goals.

3. Crisis communication: The ability to plan and implement an organization’s crisis communication plan.

4. Database management: Ability to create and maintain a database for a range of organizational purposes.

5. Knowledge management: Create and maintain electronic content management systems to enable the gathering and sharing of knowledge throughout an organization.

6. Project management: The ability to take a project from its inception through the measurement and analysis of the project post-implementation.

7. Time management: The ability to organize one’s priorities in an effort to meet organizational/stakeholder deadlines.

8. Vendor management: Work with vendors outside the organization to find products and/or services to help an organization achieve its basic goals.

9. Budgeting: The ability to set a budget, work with budgeting software, and evaluate project returns-on-investments.

10. Professional development: Seeks out additional developmental opportunities to maximize strengths and minimize known personal weaknesses.

5. Two Functions of Workplace Communication Professionals

1. Internal Communication: Create and distribute informative and persuasive communication targeted specifically at internal organizational stakeholders.

2. External communication: Create and distribute informative and persuasive communication target specifically at external organizational stakeholders.

Source: Wrench, J. S. (2013). How strategic workplace communication can

save your organization. In J. S. Wrench (Ed.), Workplace communication for

the 21st century: Tools and strategies that impact the bottom line: Vol. 2.

External workplace communication (pp. 1–37). Santa Barbara, CA: Praeger.

As you can see from this competency model, a wide range of both skills and

necessary knowledge are needed to be a competent communication professional

today. Thankfully, there are organizations like the International Association of

Business Communicators (IABC) designed to help people solidify their skills

and knowledge even after they graduate from college. You may be wondering

how you can best use the competency model to further your education and

eventual career. Think of the competency model as a career development plan.

Obviously, you cannot be an expert in every facet of the competency model—no

one is. As such, you need to determine which skills and cognitive areas are the

most important for the types of jobs you may be interested in pursuing in the

future.

Preparing for the Future Today

One of the biggest mistakes that many college students make today is putting off

thinking about where their future is actually heading. Let’s face it, it’s very easy

to get comfortable during your college years and not really think about where

you’re going. Admittedly, this isn’t a problem that all college students face.

Some students come into college knowing exactly what they want to do for the

rest of their lives, but this is hardly the case for most students. Thankfully, your

college years can be a great opportunity to explore a wide range of different

areas that may interest you. In fact, one of the basic purposes of general

education requirements at colleges and universities is to expose you to a wide

variety of possibilities.

Many college students wait until their senior year to start thinking about what

comes after graduation. If you’re one of those individuals, then you are getting

to the party a little late, so let’s get you up to speed.

Sharpen Those Skills

Even though we talked about thinking through your own competencies, it’s

worth repeating that college is a good time to sharpen your skills. If you want to

learn a new skill, take a class. Even classes that you think may be only

tangentially related can actually be useful later in life. For example, one of our

coauthors, Jason Wrench, decided to take a course in playwriting in graduate

school, because he was allowed one course outside the department. You may be

wondering what playwriting has to do with communication studies. Admittedly,

not much. However, the skills he learned in that class (character formation, plot,

structuring a story, etc.) are all skills that he’s used to write a number of case

studies for different books and even edit three volumes of case studies on topics

including organizational communication, [13] public relations, [14] and sport

communication. [15] In other words, you never know when a course you’re

interested in may come in handy later in life.

Figure Out Your Answer

Earlier in this chapter we asked, “What do you do with a degree in

organizational communication?” We provided a couple of ideas to think about

with regard to your answer; however, you should start thinking about how you

will answer that question for yourself and your potential employers. One of our

coauthors always asks this question at the beginning of a senior seminar in

organizational communication. It always amazes our coauthor how few of his

students have really worked through their answers (and most of them are on the

verge of graduating and are already interviewing for jobs). In the business world,

you’ll hear the term elevator pitch, or a concise presentation describing a person,

profession, project, service, or organization covering only the critical aspects in

under thirty seconds. It’s basically a sales pitch that can be completed in the

length of time it takes to ride an elevator. You just have to sell yourself as the

product in question. If you google the term elevator pitch, you will find

countless websites designed to help you craft your elevator pitch. There is no

right or wrong way to do this. However, the goal should be conciseness and

clarity. Here’s a quick template that can be somewhat helpful:

1. My name is ____________and I’m an expert in _________ with a

passion for X.

2. I’ve gotten to this point through my academic and career experiences at

X, X, and X.

3. As an individual, here’s what I bring to a future employer: XYZ skills

(soft and hard).

4. I’m seeking opportunities where I can do XYZ.

Let’s look at two examples of this:

Hi, my name is George, and I am an expert in organizational

communication with a passion for helping organizations develop and keep

their talent. I have a BA in Organizational Communication from XYZ

University and have previously worked in a number of companies

developing their talent. As an individual, I bring a wide range of both

practical and theoretical knowledge related to modern talent development.

Currently, I’m seeking midlevel jobs where I can utilize my talents.

or

Hi, my name is Jennifer, and I am currently a junior at XYZ University. I

am majoring in Organizational Communication with a specific interest in

conflict management and negotiation. This summer I did an internship with

the XYZ Group, where I shadowed and worked in the Human Resources

department. I had the opportunity to sit in on a number of personnel

coaching situations and negotiation sessions. Ever since I can remember I

have had an interest in how people communicate and interact within the

workplace. I’m hoping to get another internship next summer to learn more

about conflict management and negotiation. As a communication major, I

am at ease working and interacting with a broad range of people. I enjoy

assisting others and bring my academic knowledge and the practical

experience I’ve learned to every new opportunity.

You’ll notice that both elevator pitches contain the same basic components, even

though they may not necessarily present them in the same order.

Join Professional Associations

You name an industry, and we guarantee that there is a professional association

associated with that industry. Most of these industries offer steep discounts for

students still enrolled in college. If your goal is to go on to graduate school, then

we highly recommend joining an academic professional organization. For

example, in the field of communication studies there are a number of

organizations that could be beneficial to you:

International Communication Association

National Communication Association

Four regional communication associations (eastern, southern, central, and

western)

Broadcast Educators Association

There is even a wide range of associations for specific industries. Some common

industries and groups that organizational communication majors may find

beneficial include the following:

International Association for Business Communicators

Association for Talent Development (formerly the American Society for

Training and Development)

Public Relations Society of America

Society for Human Resource Management

American Management Association

International Association for Conflict Management

Association for Conflict Resolution

eMarketing Association

International Social Media Association

International Association of Administrative Professionals

American Business Women’s Association

Project Management Institute

International Leadership Association

As you can see from this list, there are a lot of different professional associations

you could investigate in an effort to start learning more about a specific field

today.

Know Your Business Etiquette

We are not etiquette experts; however, we have all interviewed people over the

years and have been amazed by the types of people who show up for interviews.

It’s like the old adage says, “You never get a second chance to make a first

impression.” Sadly, many first impressions are not the ones potential employees

should be making. Although we cannot begin to venture into all the important

facets of business etiquette (how to eat on an interview, how to introduce

yourself, how to follow up to an interview, how to use e-mail professionally,

etc.), there are many books on this subject. [16] You may also want to check with

your campus’s career resource center because such centers often offer training

programs in business etiquette.

Clean Up Your Internet Presence

In today’s world, most of you have been online since you were very young and

do not think twice about some of the content that you put online. As we

discussed in Chapter 2, many organizations are looking at your Internet presence

to determine if you are hirable. Although this may not seem fair, it’s the reality

of the world we live in. As such, you need to know what is on the Internet about

you. Admittedly, if you have a more common name, this process may be harder.

Let’s look at our own coauthors for a second. When you search for Jason S.

Wrench, you are going to find close to a hundred thousand hits, all related to our

coauthor. In fact, there are only two Jason Wrenchs in the entire country (and

both live in upstate New York). What about Narissra Punyanunt-Carter? There

you’ll find around five hundred hits, including her research, books, and an article

about speed dating that cited her. When you look up Mark Ward, you’ll find

about 120 million hits. However, on the first page of Google we find that the

Mark Wards include a UK footballer, a statistics professor at Purdue University,

a web designer, and a technology reporter for the BBC. As you can see, our first

two coauthors have more unusual names than our third coauthor. However, once

we look for Mark Ward Sr., we immediately start finding information about our

coauthor. So even though “Mark Ward” is common, adding that other

characteristic narrows the field quite quickly. For this reason, you need to look

up yourself and all the variations of your name. If you happen to be named John

Smith, type in John Smith and your hometown or John Smith and your birth

date. You may be surprised at how much information actually exists about you

on the Internet.

Some people freak about the Internet and decide to abandon it and keep a very

low profile. Although this may make your name nonexistent online, the lack of

an online presence raises red flags as well. In fact, it’s very common today for

businesses to seek “social proof” that you are who you say you are. According to

the 2013 JobVite social recruiting survey, in a 1,600-person sample of recruiting

and HR professionals, 94 percent (a 4 percent increase from 2012) said they are

currently recruiting future employees using social media, and 78 percent have

made a hire through social media. [17] As the report notes, “LinkedIn remains the

king of searching (96 percent), contacting (94 percent), vetting (92 percent) and

keeping tab of candidates (93 percent).” Not having a social presence is

preventing potential recruiters from finding you. Furthermore, many recruiters

question that a candidate might have something to hide if no information is

found online.

Network, Network, Network

Our last major suggestion is to network, network, network. Getting a job is often

admittedly about who you know more than what you know. Some organizations

screen applicants blindly, but many will give a leg up to someone they already

know. In fact, one of the reasons internships are such an important part of higher

education is because these internships often lead to full-time jobs. Even if the

internship organization doesn’t have anything for you, your internship supervisor

may have other connections in the field.

Another way to network is through those professional associations we discussed

earlier. If possible, attend their conferences and conventions. If you cannot

attend, find out if the associations have LISTSERVs, Facebook pages, Twitter

accounts, or LinkedIn groups that you could take advantage of. These new

digital forms of networking can help you learn about the modern challenges

these industries are facing. The more you know about what is facing an industry

when you meet and interact with people from that industry, the more impressive

you will look. One note, however: avoid jumping into the conversation right off

the bat. Remember, the goal is to network, so you need to see how the group

functions and operates first. Many college students forget that these types of

groups are seen as professional (even on Facebook), so you need to ensure that

you mind your Ps and Qs when you are interacting within an online world.

KEY TAKEAWAY

There is no one specific definition of organizational

communication. However, you can learn to sell your degree and

the skills you learned in college.

Selling your degree involves helping future employers see how

you bring specific and interesting skills and knowledge to their

organization that others do not possess.

College students must start thinking about their futures earlier and

earlier in the twenty-first century. Good jobs are often hard to

come by, so the earlier you get started, the better off you’ll be in

the long run.

EXERCISES

1. Go through the different competencies for workplace

professionals in organizational communication. Put checks next to

those that you think you are average on. Put check-pluses next to

those that you are above average on. And put a check-minus next

to those that you are not yet up to average on. From your

interpretation of the different competencies, where should you put

in more work?

2. Create your thirty-second elevator pitch. Try it out on a few of your

family members and friends and get their responses.

3. If you are not a member already, go ahead and create a

professional LinkedIn profile. Then find at last one group to join

that involves a possible industry you would like to see yourself in,

in the future. Watch the various discussions in the group for at

least a week and make a list of all the major topics you see

people talking about within the field.

[1] The Chronicle of Higher Education and Marketplace. (2013). Survey

of employers who hire recent college graduates with bachelor’s degrees.

Retrieved from https://chronicle.com/items/biz/pdf/Employers Survey -

Annotated Instrument.pdf

[2] Society for Human Resource Management. (2013, June 11). SHRM

survey findings: Hiring 2013 college graduates. Retrieved from

http://www.shrm.org/Research/SurveyFindings/Articles/Pages/Hiring2013CollegeGraduates.aspx

[3] Pace, R. W., & Faules, D. F. (1994). Organizational communication

(3rd ed.). Englewood Cliffs, NJ: Prentice Hall, p. 358.

[4] McDermott, K. (2013). Why not a communication studies major.

Amazon Digital Services: Author.

[5] Robles, M. M. (2012). Executive perceptions of the top 10 soft skills

needed in today’s workplace. Business Communication Quarterly, 75,

453–465. doi:10.1177/1080569912460400

[6] Wrench, J. S. (2013). How strategic workplace communication can

save your organization. In J. S. Wrench (Ed.), Workplace communication

for the 21st century: Tools and strategies that impact the bottom line: Vol.

2. External workplace communication (pp. 1–37). Santa Barbara, CA:

Praeger. MS

[7] Parry, S. B. (1996). The quest for competencies. Training, 33, 48–56,

p. 50.

[8] Lucia, A. D., & Lepsinger, R. (1999). The art and science of

competency models: Pinpointing critical success factors in organizations.

San Francisco, CA: Jossey-Bass/Pfeiffer, p. 5.

[9] Career One Stop. (2014). ETA industry competency initiative.

Retrieved from Career One Stop. (2014). ETA industry competency

initiative. Retrieved from

http://www.careeronestop.org/competencymodel/ETA_industry_competency_initiative.aspx

[10] Arneson, J., Rothwell, W. J., & Naughton, J. (2013). ASTD

competency study: The training and development profession redefined.

Alexandria, VA: ASTD Press, p. 5.

[11] All definitions (unless marked with an asterisk) come from Career

One Stop’s Competency Model Clearing House (2012,

http://www.careeronestop.org/), which is freely available from the

Department of Labor.

[12] Definitions contained in the last two parts of the model

(Communication Professional Competencies and Two Functions of

Workplace Communication Professionals) were specifically created for

the Workplace Communication Competency Model. Wrench, J. S. (2013).

How strategic workplace communication can save your organization. In J.

S. Wrench (Ed.), Workplace communication for the 21st century: Tools

and strategies that impact the bottom line: Vol. 2. External workplace

communication (pp. 1–37). Santa Barbara, CA: Praeger.

[13] Wrench, J. S. (Ed.). (2012). Casing organizational communication.

Dubuque, IA: Kendall Hunt.

[14] Wrench, J. S., Schuman, J., & Flayhan, D. (2014). Casing public

relations. Dubuque, IA: Kendall Hunt.

[15] Tucker, D. L., & Wrench, J. S. (in press). Casing sport

communication. Dubuque, IA: Kendall Hunt.

[16] Cook, R. A., Cook, G. O., & Munter, M. (2011). Guide to business

etiquette (2nd ed.). Upper Saddle River, NJ: Prentice Hall.

[17] JobVite. (2013). 2013 social recruiting survey results. San Mateo,

CA: Author.

16.2 Get That First Job

LEARNING OBJECTIVES

1. Understand résumés and curriculum vitae.

2. Realize the importance of the résumé/vita for finding jobs.

3. Be able to write a good cover letter.

© Thinkstock/iStock

Tips for Finding Jobs

There are many ways to find jobs. You can do a search on the Internet or in local

newspapers. Many colleges will have career fairs. This gives you the ability to

meet face to face several potential employers in one location. Another way you

can find jobs is to network though friends and family. Some of your best

resources for finding a job can come from the people you already know and

associate with. In addition, you might consider doing an internship. Internships

give you experience and can allow you to network with people you might

typically not come into contact with. Some organizations will often hire their

interns, because they have personal direct contact with their job performance.

Most important, when looking for that perfect job, you need to be flexible. You

might search other similar positions or look in various geographic locations. The

key is to keep applying and trying, because new jobs are always being created,

and if an employer sees your application often, then he or she knows that you are

highly interested.

Target Your Résumé/Curriculum Vitae

Most organizations that you will apply to typically require a formal process. This

might include an application, interview, and submission of your curriculum

vitae (CV or vita for short) or résumé. For many students, a résumé/vita is

your way of advertising yourself when you are not present, and it can help get

you an interview. It highlights your accomplishments, training, education,

experiences, and qualifications. For that reason, you need to modify and adapt

your résumé/vita to the specific job that you are applying for. To write and

prepare a good résumé will take some time and energy. Just like writing a

research paper, you will need to do some research. You will have to investigate

the organization and ways to tailor your résumé for that organization.

When researching the organization, try to find information that can help your

vita stand out among all the others. Usually, the job description and the desired

skills in the employment ad will highlight what the employer is looking for. You

should also arrange for an informal meeting if possible. Most organizations are

open to these meetings because they can give you a better perspective of what

you will be doing. You can mention your informal visit in your cover letter or

interview because it illustrates that you are interested and motivated to work for

that particular organization.

Your résumé can be chronological, functional, or a mixture. A chronological

résumé highlights your most recent experiences first and provides a timeline of

your past experiences. This style showcases how you have grown and

developed. Functional résumés focus on your skills and abilities. Functional

résumés are noteworthy because they display your professional skills effectively.

Some people like to use a combination of both styles. Be sure to keep your

résumé short and concise. It should be easy to read and should highlight your

strengths while minimizing your weaknesses. Be sure to keep your résumé to

one page.

Each job advertisement will have certain requirements or desired skills that

employers want. You should make sure that you include those skills in your

résumé. Find the best examples of your experiences and ways to emphasize them

to employers. Your résumé/vita is a reflection of who you are, and you need to

make sure that there are no careless errors or grammatical mistakes. Choose

paper that is professional and high quality. Your vita/résumé needs to be neat and

organized. Use bullet points and short sentences rather than being too wordy.

Moreover, you should use words that employers seek in future employees, such

as good communication skills, team player, and flexible. These words can help

set you apart from the other candidates.

When you list your employment history, start with your most recent experience

and provide a brief synopsis. You should focus on what you learned or gained

from each experience. List any achievements or honors that you are proud of and

what makes you unique. Avoid giving personal details such as your age or

marital status. Communicate how your interests are related to the job. In

addition, provide the names and contact information of at least two references

from your professional/academic career.

Cover Letter

Although a lot of information was covered on how to write your vita/résumé,

you should also spend some time on your cover letter. Your letter is the first

thing that your employer will read. Hence you should strive to make a good first

impression. In your cover letter, you can talk about your experiences and

accentuate your best features. Your goal in this letter is to provide a nice

summary of your interest in the job and what you can provide. Make sure your

cover letter is professional and printed on quality paper.

It is important that you address the letter to the specific person whenever his or

her name is provided. If you are not sure of the name, try to find out. If that is

not possible, then you should state in your letter the specific job that you are

applying for. Clearly state who you are and why you are applying for the job.

Next, present noteworthy details in your résumé/vita. You could mention why

you are applying to this particular organization and why you would like to work

for them. End your letter positively with an expectation to hear from the

organization in the future.

Résumé/Vita Checklist

Make it professional.

Use quality bond paper, 8½ x 11 inches.

Keep it free of errors and clean.

Send an original rather than a copy.

Use action verbs (managed, created, organized).

Quantify whenever possible (supervised four employees, obtained $2

million grant, raised $250,000).

Organize your experiences from most recent to least recent.

Focus on experiences and achievements.

Avoid using hard-to-read fonts and unusual colors.

Proofread for spelling and grammar errors.

Ask for feedback on your vita/résumé.

Curriculum Vitae (CV Or Vita For Short):

Résumé:

KEY TAKEAWAY

Your résumé/vita is important when applying for jobs.

Do your research.

Make sure that your vita/résumé is professional.

EXERCISES

1. Look for organizations that you would like to apply to and see

which experiences/skills they are looking for most. Is there a

theme?

2. Create two résumés for the same job and ask people what they

like and do not like about them.

3. Create two different cover letters for the same job and ask people

what they like and do not like about them.

KEY TERMS AND DEFINITIONS

Also known as curriculum vitae. Document commonly used in medical and academic institutions. Gives an overview of your experiences and qualifications.

Document that lists your skills and experiences for employment purposes.

16.3 The Job Interview

LEARNING OBJECTIVES

1. Learn what to do before the interview.

2. Discuss what to do during the interview.

3. Discover what to do after the interview.

Before the Interview

After searching and searching for your desired job and then spending time

writing the perfect vita/résumé as well as cover letter, you might apply for some

jobs and never hear back from them. However, you might apply for some jobs

and will most likely get an interview. Do not get discouraged if you don’t hear

back from some organizations. The key is to keep networking and trying to work

on your vita/résumé.

Many people put a lot of time and effort into the steps before the interview (the

cover letter and résumé), but they put hardly any time into practicing for the

interview. You need to prepare yourself for the job interview. Ask friends and

family members to conduct mock interviews if necessary. Many college

campuses have career placement centers that can help as well. In addition, many

Internet sites offer sample questions that employers like to ask future employees.

You need to be able to sell yourself in the best possible way to the organization.

Because a great résumé isn’t the only thing organizations look at, you need to

prepare well for your job interview. You should do a self-analysis to determine

what you value, admire, do well, accomplish, and would like to achieve.

Research as much as you can about the organization. Then, in your interview,

you can share this information with your interviewer. Your interviewer can ask

you specific questions about the organization, and your answers will show that

you are prepared and interested. At the same time, avoid questions that deal with

salary and promotion at the beginning of your interview. Asking about salary

and promotion gives interviewers a bad impression and the perception that you

are more interested in advancement than in being hired.

Besides researching the company profile on the Internet, ask others about the

organization. Figure out why you want to work for this organization as opposed

to other similar organizations. Try to determine what problems or issues the

organization is dealing with and how you can be an integral part in helping

resolve them.

When going to your job interview, it is best to wear a business suit and select

basic colors such as navy, black, gray, or brown. Choose clothes that are

comfortable and stylish. Your confidence will show when you present yourself in

the best way possible. Even if you do not have the funds to purchase the best

outfit, you can use accessories to make a strong impression. These accessories

could be a nice briefcase, tie, scarf, or cuff links. Every business setting has its

own specific rules and norms for how people look and behave. As such, you

want to make sure you fit in. One simple way to fit in is to know how to dress

appropriately in the professional world. Even in higher education where dress is

often more relaxed than in other industries, there are still norms. Any body-

adornments that make you stick out in a professional environment will detract

from your credibility in many organizations (e.g., brightly dyed hair, giant ear

rings, facial tattoos, rumpled clothes, etc.). One of our coauthors actually knows

a CEO who decides whether or not to really listen to an interviewee based on the

condition of the applicant’s shoes. The CEO believes that if the shoes are

polished and well kept, then the applicant is someone who knows how to pay

attention to details.

During the Interview

You need to pay attention to your interviewer. Research shows that interviewers

who converge their speaking style and nonverbal behaviors to the interviewer are

more likely to get higher ratings and possible job offers. You need to also

elucidate aspects that are not obvious to the interviewer. An interviewer may not

realize that you are an artist or a math prodigy. You should highlight how you are

different from all the other candidates applying for the job. Most important, you

need to relax your nerves before your interview. Some people get so excited,

anxious, or nervous about their interview that they lose their train of thought

and/or say things without thinking. You need to stay calm and focused.

Successful Interviewing Checklist

Be calm and focused.

Dress appropriately and professionally.

Be on time and courteous.

Bring extra copies of your résumé and work.

Ask appropriate questions.

Offer time to listen to the interviewer.

Research the organization and be able to offer insights.

Present yourself in the best light possible.

Offer credentials.

Follow up with a thank-you note.

After the Interview

After your interview, you might think that it is over, but it is not. You should

send an e-mail or hand write a thank-you note to your interviewer. Not only is it

a nice gesture, but it can also influence whether or not you get hired. Many

employers can remember people who do not send notes. When you send a thank-

you note, it communicates that you are enthusiastic and interested in the job. As

with all your communications with the organization, make sure that there are no

spelling or grammatical mistakes.

KEY TAKEAWAY

Before the interview, be prepared, dress appropriately, and be

prompt.

During the interview, be sure to stay calm and engaged.

After the interview, be sure to write a thank-you note.

EXERCISES

Search on the Internet and find appropriate job interview attire.

Discuss your findings with the class.

Conduct a mock interview. Find a friend and pretend to be the

interviewer and then the interviewee. What did you notice?

Write a thank-you note. Discuss whether or not it is appropriate to

write it electronically and send it via e-mail or if it is better to hand

write it. What are the implications and perceptions?

16.4 Getting, Keepting, and Succeeding in Your First

Job

LEARNING OBJECTIVES

1. Discuss nonverbal communication.

2. Explain the importance of dress.

3. Elucidate the importance of chronemics.

@ Thinkstock/iStock

Nonverbal communication is the stimulation of meaning in the mind of another

via nonverbal channels. You convey a great deal of information without saying a

word. The way you use nonverbal communication in the workplace is an

important factor in the workplace environment.

You need to dress appropriately. Observe other people in the organization whom

you admire and feel could be role models. Pay particular attention to how they

dress. You need to dress in a similar fashion to the role you hope to one day

attain.

Try to be punctual or a little early to all work events and meetings. Don’t take an

overly long lunch hour or too many breaks. The more you are not working, the

more others might think you don’t care about your work. In the same fashion,

you need to manage your time wisely. Do not turn in late work. Everyone

appreciates work completed on time. If you are consistently late on projects, then

you delay the progress of the organization and possibly cost the organization

money.

Be sure to listen to others. Even though you may think you know what to do in a

particular situation, you should observe and listen to what others say. You may

be tempted to gossip, but you should try your best to refrain from gossip because

sometimes the gossip may not be true. In addition, you might lose others’ trust if

you engage in gossip.

If this is an organization that you see a future with for several years, then you

might seek an advisor or mentor who can help you achieve your organizational

goals. This person can help you understand the corporate culture and what is

inappropriate and appropriate in this work setting.

KEY TAKEAWAY

Nonverbal communication can impact how other people view you.

Always dress for success.

Always be prompt and timely.

EXERCISES

1. Discuss if you think nonverbal communication is important to

keeping your job.

2. Create a list of all the important things that employees should do if

they want to be promoted. How does your list compare to those of

other students?

3. How much time should one devote to a new job? How much

would you devote? Why?

16.5 Chapter Exercises

REAL-WORLD CASE STUDY

Stacy just finished college with honors. She is excited about the

possibility of working in the field with her communication degree.

Many of her fellow communication majors are pursing graduate

degrees. Stacy is sick of school and would like to find a job to gain

some experience before continuing her education. She has applied

for many jobs but has gotten only one offer. The organization said

they can offer her a set starting salary, and they are not willing to

negotiate. Stacy feels as though she has no other options.

She takes the job but finds that many of her coworkers are older

men who are not interested in her ideas. Many of her coworkers like

her working there because she is attractive, and they even tell her

how beautiful they think she is compared to employees who have

worked there in the past. Even though Stacy knows that she is

pretty, she feels like she only got this job because of her looks.

At her job, she is given so many restrictions and rules that she feels

like she is not able to do her job effectively. Due to budget cuts, she

is not able to get the materials she needs to do her job well.

Moreover, none of her coworkers will help her because they think

she is too young and inexperienced.

1. If you were Stacy, what would you do about your salary? Would

you try to negotiate with the risk of losing the job and/or lack of

other job opportunities?

2. How would you handle the comments about physical

attractiveness? How would you deal with the comments about

your youthfulness and inexperience?

3. How might you advise others who are looking to work with that

organization?

4. How would you communicate internally with others and externally

with others about the organization?

END-OF-CHAPTER ASSESSMENT

1. Which is the most important for applying for a job?

a. a good cover letter b. a good résumé c. a good interview d. a good background of experiences/skills e. all of the above

2. Your résumé should include all of the following except:

a. your skills b. your experiences c. your name d. your contact information

e. your astrological sign

3. Which of the following is appropriate to put on your résumé?

a. age b. religious preference c. career objective d. lies e. health issues

4. Which of the following is best to mention in your cover letter?

a. your photograph b. your criminal record c. your negative thoughts d. your political identity e. your informal visit to the organization

5. The best thing you can do during an interview is to be:

a. calm b. witty c. anxious d. talkative e. indifferent

Answer Key

1. e

2. e

3. c

4. e

5. a

  • Agreement
  • About the Authors
  • Acknowledgments
  • Preface
  • 1. Introduction to Organizational Communication: Why Communication Matters
    • What is an Organization?
    • What is Communication?
    • History of Organizational Communication
    • Approaches to Organizational Communication Research
    • Chapter Exercises
  • 2. Organizational Communication Ethics
    • Nature of Ethics
    • Business Ethics
    • Communication Ethics
    • Organizational Communication Ethics
    • Chapter Exercises
  • 3. Classical Theories of Organizational Communication
    • The Classical Perspective
    • Human Relations Theories
    • Human Resources Theories
    • Chapter Exercises
  • 4. Modern Theories of Organizational Communication
    • Rethinking the Organization
    • Rethinking Communication
    • Representative Modern Theories
    • Chapter Exercises
  • 5. Communicating Between and Among Internal Stakeholders
    • Formal Communication Networks
    • Informal Communication Networks
    • Chapter Exercises
  • 6. Organizational Communication Climate, Culture, and Globalization
    • Organizational Climate
    • Organizational Culture
    • Globalization and Organizations
    • Chapter Exercises
  • 7. Leader and Follower Behaviors and Perspectives
    • Approaches to Leadership
    • Followership
    • Mentoring and Coaching
    • Chapter Exercises
  • 8. Organizational Identity and Diversity
    • Identity and the Organization
    • Identity and the Organization Member
    • Diversity and the Organization
    • Chapter Exercises
  • 9. Teams in the Workplace
    • Group
    • Types of Teams
    • The Downside to Teams
    • Group Communication Roles
    • Chapter Exercises
  • 10. Recruiting, Socializing, and Disengaging
    • Recruiting
    • Socializing
    • Disengaging
    • Chapter Exercises
  • 11. Technology in Organizations
    • Technology, Society, and the Organization
    • Technology and Organizational Structure
    • Technology and Organizational Communication
    • Chapter Exercises
  • 12. Stress, Conflict, and Negotiation
    • Stress
    • Conflict
    • Negotiation
    • Chapter Exercises
  • 13. The Dark Side of Organizational Communication
    • Aggression in the Workplace
    • Dysfunctional Organizational Behaviors
    • Employee Deviance
    • Outcomes of the Dark Side
    • Chapter Exercises
  • 14. Corporate Communications: Communicating with External Stakeholders
    • Public Relations
    • Advertising and Marketing
    • Chapter Exercises
  • 15. The Professional Side of Organizational Communication
    • Organizational Development
    • Communication Analyses and Audits
    • Corporate Training
    • Human Performance Improvement
    • Chapter Exercises
  • 16. Appendix: Your First Job Out of College
    • You Have a Degree in Organizational Communication?
    • Get That First Job
    • The Job Interview
    • Getting, Keepting, and Succeeding in Your First Job
    • Chapter Exercises