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1 Organization Development: An Introduction to the Field, Its History, and Practices

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Learning Objectives

After reading this chapter, you should be able to:

Describe the �ield of organization development in terms of its purpose, philosophy, and de�initions.

Summarize the history of organization development, including the key practices of each period.

Explore the roles, values, competencies, professional associations, and ethics of an organization development practitioner.

More than 2,500 years ago, the Greek philosopher Heraclitus observed, “Change is the only constant” (Mark, 2010). This sentiment is still true today. From �luctuations in weather and seasons to the growth and aging of your own body, change is not an option—it is a fundamental principle of existence. What changes have you experienced recently? Perhaps you became ill or recovered from an illness, enrolled in or dropped out of a class, were promoted at work or changed jobs, ended a relationship or got married, or simply changed your mind about something.

As these examples suggest, sometimes change is intended, but just as often it is unanticipated or even unwanted. For example, few of us welcomed the recent global economic downturn, which required us to adjust our budgets and behaviors to cope. Were these changes planned or unplanned?

Unplanned change refers to changes that were unexpected, like the loss of a job, surprise successes, the sudden death of a loved one, a failed relationship, natural disasters, or new opportunities. What unplanned changes have been the most signi�icant in your life?

Assessment: Change Readiness

Most people think they are open to change. But are they? When change comes, do you �ind yourself curious and even exhilarated, or are you angry, frustrated, and worried that you are unprepared? Take a few minutes to assess your readiness for change.

http://www.ecfvp.org/�iles/uploads/2_-change_readiness_assessment_0426111.pdf (http://www.ecfvp.org/�iles/uploads/2_-change_readiness_assessment_0426111.pdf)

Planned change refers to shifts that are intended and prepared for, such as getting an education, learning new skills, moving to a new city, starting a new hobby, or �inding a new job. Over the past few years, what signi�icant changes have you planned? Have you been successful at implementing these changes?

Tips and Wisdom

Bebop was about change, about evolution. It wasn’t about standing still and becoming safe. If anybody wants to keep creating they have to be about change.

—Miles Davis (1926–1991), U.S. jazz musician and composer

Embracing change is not always easy, but it rewards us with new experiences, new insights, and new creations.

©ImageZoo/Corbis Organization development (OD) helps organizations cope with change on a global scale.

1.1 What Is Organization Development?

Like individuals, organizations are continually required to adapt to a dizzying number, variety, and pace of change if they are to thrive. These unplanned changes include globalizing markets, emergence of the knowledge economy, advancing technology, growing customer diversity, shif-ting customer preferences, economic upturns or downturns, natural disasters, unanticipated competition, and abrupt reorganizations or changes in management. To navigate such shifts, organizations engage in planned change, an intentional process in which they take action to solve problems or overcome challenges. Examples of planned change in organizations include intentional shifts in products or markets, mergers and acquisitions (at least for the controlling company), prearranged reorganizations, expansion into new regions or countries, and new product development.

Although individuals often manage planned change independently, organizations frequently seek help so that the planned change is systematic, effective, and lasting. This assistance is known as organization development (OD). On its simplest level, OD is a process of helping individuals, groups, and organizations become more effective through planned change.

De�ining OD

Among the many de�initions of OD, no single one is universally accepted. Beckhard (1969) offers an early de�inition that is now considered classic: “Organization development is an effort (1) planned, (2) organization-wide, and (3) managed from the top, to (4) increase organization effectiveness and health through (5) planned interventions in the organization’s ‘processes,’ using behavioral-science knowledge” (p. 9).

Beckhard’s (1969) de�inition points to several key aspects of OD:

1. It is a planned, intentional process to address a problem or issue that needs to change. 2. It is organization wide, based on an understanding that the organization is an integrated system and that a

change made in one place may have rami�ications in others. 3. Top management provides buy-in and support of the OD effort. 4. OD activities address both the effectiveness and the health of the organization by boosting its performance

while making it a more humane place to work. 5. It is an intentional process, grounded in evidence derived from the behavioral sciences.

You can see Beckhard’s points in other popular de�initions of OD, such as this one from Cummings and Worley (2009): “Organization development is a system wide application of behavioral science knowledge to the planned development, improvement, and reinforcement of the strategies, structures, and processes that lead to organization effectiveness [emphasis added]” (pp. 1–2).

Similarly, Anderson (2012) advocated: “Organization development is the process of increasing organizational change through the use of interventions driven by social and behavioral sciences knowledge [emphasis added]” (p. 3).

In other words, OD is an intentional change process that involves the total system. It takes an evidence-based approach to planning change that improves the effectiveness and health of the organization. Moreover, management

is personally invested in making the organization more effective and healthy. Consultants who work with organizations to identify and implement appropriate interventions practice OD.

OD Consultants and Clients

Many organizations rely on professionals to steer them through complex and changing environments with planned responses to problems and challenges. These professionals are known as organization development consultants. Also known as OD practitioners, human resource developers, human resource managers, or learning and development professionals, OD consultants are skilled at assessing problems, providing direct feedback to the organization, and in�luencing change. OD consultants lead organizations through interventions that are based on careful study and preparation and are grounded in the behavioral sciences.

The key stakeholder in the OD process is known as the client. Sometimes there is more than one type of client. For instance, the person who initially contacts the OD consultant may provide introductory information about the problem but not be the owner of the problem or the person paying for the services. It is important for OD consultants to correctly identify the client—an issue we will cover in Chapter 3.

When Is OD Warranted?

Beckhard (2006) notes there are certain conditions that warrant an organization engaging in an OD effort. These include when a client or organization wants to

1. change a managerial strategy; 2. develop an organization that better meets the needs of employees, the organization, and the environment in

which the organization works (markets, community, and so forth); 3. change cultural norms; 4. change structure and roles; 5. build intergroup collaboration; 6. improve communications; 7. improve planning; 8. tackle issues related to mergers; 9. address motivation issues among the workforce; and

10. better adapt to a changed environment.

Have you experienced an OD effort at an organization you have worked for? If so, what motivated it?

Interventions

When someone decides to make a change, they usually do something speci�ic. For instance, if you decided to rein in your spending, you might establish a budget, create a spreadsheet to track it, switch to electronic banking, visit a �inancial planner, or change your saving habits. Actions like these that are taken to improve a situation are known as interventions. What are some problems you have experienced and interventions you have made?

In OD an intervention is a corrective action made to resolve problems or address challenges. Interventions in OD focus on tackling organization challenges such as low morale, quality defects, shifting markets, new management, leadership problems, strategic planning, and so forth.

Philosophy of OD

Most of us want to do meaningful work in an organization that has pleasant working conditions, with colleagues who are respectful, and where our work is recognized and rewarded. OD seeks to honor the individual and advance

organization goals. This commitment to bene�it all organizational stakeholders is grounded in the philosophy of humanism.

Humanism is the belief in the inherent good of human beings, their capacity to reach full potential in life, and their right to be treated fairly and humanely. “The OD value is not about change but about change that makes people better—humanistic values” (Marshak in Wheatley, Tannenbaum, Yardley Grif�in & Quade, 2003, p. 4). OD experts herald OD’s humanistic values as the �ield’s distinguishing feature (Greiner & Cummings, 2004; Porras & Bradford, 2004; Wirtenberg, Abrams, & Ott, 2004), embracing the notion that “the individual has to gain in the long-term for the organization to gain in the long-term” (Porras & Bradford, 2004, p. 401).

Wirtenberg, Abrams, and Ott (2004) capture this sentiment:

The need in organizations to manifest socially responsible values and create win–win business results has never been greater. OD is in an excellent position to seize the opportunity to build bridges, �ind common ground, and address organizational and cultural divides. (p. 479)

If you are fortunate enough to work in an organization with a highly functioning OD process, you should observe an operation engaged in continual improvement for individuals, teams, and the organization itself. As you read the case study on Sparklite, ask yourself if this company is engaging in humanistic practices.

Case Study: Is Sparklite a Candidate for OD?

Sparklite, a spark plug manufacturing plant, underwent a management change 6 months ago when John Stevenson became the plant manager. Stevenson replaced Al Smith, who was a beloved manager and had run the plant for 20 years. Smith was a hands-on manager. He was always willing to roll up his sleeves and work on a problem, whether it involved a machine in the plant or a con�lict with a customer. He was not a micromanager; rather, he would work closely with the team to solve problems. He listened to input, whether from the janitor or the vice president. He expected all management personnel to behave similarly. People who worked in the plant respected Smith and felt respected by him. Over time a true community atmosphere evolved, and the plant was one of the highest performing in the company.

Stevenson, on the other hand, spends a lot of time in his of�ice, reading over production numbers, talking on the phone, and holding meetings with his management team. Rarely does he go out onto the manufacturing �loor and talk with employees or listen to their ideas. When one of his managers suggests, “It might be helpful if you spent more time getting to know our workers,” Stevenson barks, “That is what I pay the supervisors to do. My time is better spent on �inding ways to cut costs and improve our margin.” Stevenson is very driven by numbers: When they are not good, he slams his �ist on the table and demands that the next shift “pick up the slack.”

It does not take long for the supervisors to become afraid of Stevenson and to quit coming to him with problems. The convivial atmosphere the plant had enjoyed for so many years quickly erodes into an atmosphere of fear. Soon the plant’s performance begins to suffer. Morale sinks. Members of the management team begin applying for transfers to other locations. Longtime workers are exploring other employment options. This only makes Stevenson more frustrated, agitated, and frightening to the workers.

One day a corporate vice president comes for a plant tour and visit. It is immediately clear to her that the plant has taken a turn for the worse. She talks with several employees and can see that something has to change.

Critical Thinking Questions

1. How might planned change play a role in turning things around at Sparklite? 2. How aligned with humanism is the organization emerging under Stevenson’s leadership?

Characteristics of OD

As we have already learned, OD is a planned change process that is grounded in a humanistic philosophy. It also has the following key characteristics (Beckhard, 2006, p. 9).

OD Is Systems Based

OD interventions are planned with consideration for the whole organization as a system. Like medicine, OD intends to “�irst, do no harm.” Recall that the tenets of humanism require that OD bene�it all stakeholders. This means, for example, that before implementing a change to work �low, the OD consultant would check to make sure the adjustments do not have a negative impact elsewhere in the organization. For instance, a work-�low change might expose employees to repetitive-motion injuries or make the work �low in another area unmanageable.

Top Management Is Committed

Effective OD secures management’s awareness of and commitment to the chosen intervention and its management from the very beginning. Employees look to management for approval and example, and it is imperative for organization leadership to visibly support any change effort. OD consultants play a key role in holding management accountable for demonstrating sustained and visible commitment to the OD change process.

The Intervention Is Tied to the Organization’s Mission

A key aspect of securing management commitment is helping leaders see how the OD initiative helps actualize the organization’s mission. It is also important for employees to understand this connection. For example, in the Sparklite case study, the organization’s mission to produce quality products on a timely basis was facilitated by a collegial, collaborative atmosphere that was being eroded by Stevenson’s behavior. If an intervention were made to help Stevenson and other managers change their managerial style to a more participative one, everyone would have to understand and buy in to how the new behaviors would help the organization meet its mission.

There Is Long-Term Commitment to Implementing the Intervention

Although OD interventions can sometimes be relatively simple and quick to implement, they often require a long- term commitment, sometimes 2 to 3 years or more. Interventions that change work practices, beliefs, or standards do not succeed overnight. Making lasting organization change needs long-term commitment and action from all levels of the organization.

Consider a large change made by your organization—perhaps a shift to a new database, marketing plan, or procedure. How long did it take? Make a list of a few changes you can recall and estimate how long they took. Chances are, the more complex changes required more time and resources.

OD Has a “Bias for Action”

Management guru Tom Peters, coauthor of In Search of Excellence, one of the best-selling business books of all time, became famous for saying that

Shannon Fagan/Taxi/Getty Images The goal of OD is to take timely, meaningful action to address problems, challenges, and opportunities within the organization.

effective organizations have a “bias for action” (1982; 2004). This means that an organization engages in active decision making and moves quickly to action, rather than being caught in an incessant cycle of planning without action. Although OD implementation can take a long time, it is based on taking action, analyzing how the action is working, tweaking it, and repeating the process for as long as necessary.

OD Focuses on Changing Attitudes or Behavior

Lasting change occurs when people alter their ways of thinking and doing. This is why OD can be powerful and can also take a long time to implement. For example, when leaders experience opportunities for leadership development and receive feedback that indicates they are not as effective as they think they are, they usually engage in introspection and change. Becoming less autocratic may not happen overnight, but real, lasting change occurs as leaders experiment with new ways of thinking about their role as leaders and when they implement new behaviors, such as listening or including others in decision making.

OD Tends to Incorporate Experiential Learning

We will learn throughout this book that when people change, they learn new ways of thinking and doing. OD favors action; thus, interventions often create opportunities for employees to experience new ways to think and act. Can you recall a time when you participated in a change that prompted new learning? For example, when I participated in a leadership development initiative, I learned how to coach employees in a way that focused on helping them solve problems on their own, rather than me giving them the answer. Although there was a chance to learn about coaching from books, I did not internalize it until there was an employee in front of me with a problem and I made a conscious effort to behave differently.

OD Is Largely a Group Process

Most OD is not done in isolation. Even when consultants make individual interventions such as providing training or coaching, the goal is usually to help the person function better with others. Similarly, changes in processes require that groups understand and collectively implement the changes. As we will discover, the �ield of group dynamics and facilitation grew out of OD.

Realities and Misconceptions About OD

To better understand what OD is, it is useful to explore what it is not. Table 1.1 compares some common realities and misconceptions about OD.

Table 1.1: OD Realities and Misconceptions

OD realities OD misconceptions

OD is a systematic process of planned change to address organization problems or issues. It follows the action research model (introduced later in this chapter).

OD is not management consulting or performance improvement activities that focus on making speci�ic expert, functional interventions that are disconnected from the organization system.

OD realities OD misconceptions

OD is humanistic in that it seeks to improve organizations through performance enhancements and improvements to people that make an organization a better place for all stakeholders.

OD is not oriented toward processes that only bene�it the organization and economic values of performance and productivity.

OD is strategic, and its interventions include a range of activities.

OD is not simply training and development initiatives, although often these interventions are erroneously prescribed to address problems.

OD is a long-term commitment to change that requires buy-in at multiple levels.

OD is not a short-term, quick �ix for problems.

OD interventions are customized to address needs speci�ic to the organization and its goals.

OD does not come with a one-size-�its-all set of interventions. Matching the right consultant with the problem is important for effective OD.

The next section of this chapter examines OD’s origins and the interventions that have developed over the past 70 years.

Take Away 1.1: What Is Organization Development?

People constantly experience both planned and unplanned change in the course of their personal and work lives. OD is a planned change effort that is supported by management and applied system-wide to increase organization effectiveness and health through interventions targeted at organization challenges or problems. OD is practiced by individuals who help the organization cope with and respond to change, also known as OD consultants. They work with the key organizational stakeholders or clients to resolve problems. OD is grounded in the philosophy of humanism that assumes human goodness and seeks to do no harm to the individuals or their organizations when making changes. Key characteristics of OD include: it is systems-based, top management is committed, the intervention is tied to the organization’s mission, there is a long-term commitment to implementing the intervention, there is a bias for action, it focuses on changing attitudes or behavior, it tends to incorporate experiential learning, and it is largely a group process.

1.2 The History of OD

If you work at a company, belong to a nonpro�it board, participate in a professional organization, or are a member of a church, it is likely you have engaged in team-building exercises, �illed out climate surveys, collected data about the organization, solved problems, developed talent, devised strategy, or sought to change the organization. These activities emerged during the historical evolution of OD, beginning in the 1940s. These interventions are discussed in chronological order in this section, which also introduces you to some key terminology used in the �ield. (Refer to the Key interventions in the history of OD interactive timeline for a summary of OD’s historical development.)

Key interventions in the history of OD

T-Groups and the Emergence of OD (1940s)

Kurt Lewin (1898–1947) is widely regarded as the father of OD for his innovations in group dynamics and action research, although he died before the term organization development came into use in the mid-1950s. It is dif�icult to overstate Lewin’s contributions to the �ield. As Burke (2006) notes, “His thinking has had a more pervasive impact on organization development, both directly and indirectly, than any other person’s” (p. 25).

Associated Press Kurt Lewin contributed to OD with innovations in group dynamics and action research. For this reason he is often referred to as the father of OD.

Author of the well-known saying “If you want truly to understand something, try to change it” (as cited in Neill, 2004), Lewin applied his logic by working in organizations to facilitate change. His practice and research led to some of the most important discoveries about group dynamics and factors that help organizations make effective change. Lewin founded the Research Center for Group Dynamics at the Massachusetts Institute of Technology (MIT) in 1944. His key contributions include understanding group facilitation, inventing action research, and demonstrating that social interactions could be studied with controlled experiments. Lewin developed many of the classic OD interventions still in use today. These are discussed further in this chapter and throughout this book.

Can you recall a time when you discussed a process with a group you belong to? Or a situation in which it would have been helpful to re�lect on issues such as “What were your assumptions when you disagreed with the decision?” “What did you really want to say?” “What just happened here?” or “How did our behaviors impact the meeting?” When a group engages in such conversations, it is known as a training group, or T- group. This is a small group in which participants receive input about their own behaviors and discuss how they affect the group dynamics. Lewin accidentally discovered the process used in T-groups, known as laboratory training or sensitivity training. This “accident” represented the founding of OD.

The �irst T-group occurred in 1946 when Lewin, then a faculty member at MIT and director of the Research Center for Group Dynamics, conducted

a training program aimed at improving community leadership and interracial relationships for the American Jewish Congress of New York’s Commission on Community Interrelations. The T-group evolved when program participants were invited to observe the daily posttraining debrie�ing between community leaders and program facilitators.

The observers did not remain in that role for long; instead, they jumped into the discussion to clarify, build on, or dispute the observations raised by the trainers and researchers. Lewin’s “aha moment” during these interactions was the power of this act of re�lecting on the day’s experience and questioning the assumptions and behaviors of the individuals in the training program. These re�lections, in other words, were more powerful than the training itself, particularly in enabling participants to transfer their new insights about group process back to relationships in their workplace.

You may have unknowingly experienced an informal T-group if you have ever met with coworkers to debrief a meeting in which you spoke frankly and tried to make meaning of your own and others’ actions during the meeting. Sometimes this is known as “the meeting after the meeting.” These exchanges are often much more enlightening and educational than the formal meetings themselves.

Who Invented That? The Flip Chart

Ronald Lippitt and Lee Bradford are among those who helped popularize the use of the �lip chart, a �ixture in most meeting rooms today. They used the �lip chart to record group insights and issues raised during the 1946 T-group sessions (French & Bell, 1999).

Although T-groups are still used today, their popularity has waned because it is challenging to transfer insights from the experience back to the workplace. Moreover, T-groups tend to focus on individual behaviors and therefore are not always effective at moving the group or organization to the next level. Eventually, these limitations led to the emergence of team building, representing OD’s �irst shift from the individual to the group unit of analysis.

Sociotechnical Systems (1940s)

During the post–World War II era of rapid industrialization in which T-groups emerged in the United States, changes were also afoot in the United Kingdom, where Eric Trist and Ken Bamforth of the Tavistock Institute (http://www.tavinstitute.org/) encountered problems in their consultancy with a coal mining company. The mining teams were cohesive work groups that were responsible for managing their work and received pay based on group effort. However, they experienced problems when management improved their equipment and technology in ways that fractured their previously cohesive working arrangements.

Trist and Bamforth (1951) worked with the company to reestablish the social elements that worked so well before the technology changed. This was the �irst time that a relationship between social and technical systems was recognized. Both aspects had to be considered when implementing change because they affected each other. In short, organizations were now understood as sociotechnical systems in which social and technical systems are interrelated and interdependent.

Consider your own experience in school or at work. What are the social and technical systems? How do they impact each other? How has one affected the other?

Action Research and Survey Feedback (1940s–1950s)

Lewin is known for saying, “There is nothing so practical as a good theory” (as cited in Smith, 2001). He believed that organizations should only enact interventions that are based on sound data. Just as it is good practice for a doctor to run tests to diagnose illness before prescribing treatment, so too should organizations make data-based diagnoses before prescribing treatments for organization challenges. Kurt Lewin, John Collier, and William Whyte believed that research and action had to be connected to help organizations make and manage change. Based on this belief, they developed a process of diagnosing organizational ills in the 1940s known as action research.

Action Research

Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. It is essentially a cycle of action and research, followed by more action and research. For example, Yvette might use a new meeting format with her team (action) and decide to interview team members about its effectiveness (research). What she learns is then shared with the team, the meeting format gets modi�ied (action), and so on. The action research process helps the organization collect, analyze, and apply data to make informed decisions and not waste time and money on inappropriate interventions.

The steps of action research include

1. collecting data about organizational problems or functioning, 2. analyzing data to understand the issue, 3. devising and implementing interventions to solve the issue or problem, 4. collecting additional data to evaluate the results, and 5. repeating the cycle (back to step 1).

For example, suppose an organization is experiencing high turnover. Rather than just guessing about the cause and trying a program to address it, such as providing training, the action research process would investigate the

turnover issue �irst by collecting data. Data might be collected by conducting exit interviews with former employees, surveying current employees about their intentions to leave, conducting a climate survey, or talking with managers.

The second step, analyzing data, involves interpreting the �indings of the data collected in the previous step. The action research process is iterative; that is, the cycle of data collection and action are often repeated, and they inform future action. So in the case of turnover, exit interviews with former employees might reveal that the issue is related to pay, which the organization may want to investigate further by collecting industry data.

Once enough data are collected and analyzed, the organization is ready to move on to the third step, devising an intervention. The best solution in this case might be to adjust the pay scale.

Finally, the organization is ready for step 4, evaluating results. This often involves additional data collection and analysis, such as monitoring the turnover rate to see if the intervention worked. If it did not, then the action research cycle repeats (step 5).

We will return to this action research model throughout this book. Together, the humanistic philosophy and the action research process distinguish OD from other organization problem-solving pro-cesses. Action research is a valuable model to memorize and follow, whether or not you intend to work in the OD �ield.

Tips and Wisdom

A knee-jerk reaction to organization problems is often to prescribe training. Yet training is one of the costliest interventions to implement. When training is an inappropriate intervention, not only have time and money been wasted designing and delivering it, but the root cause of the original problem has gone unaddressed. This outcome can lead to further problems, frustrated employees, and lower organizational performance.

Survey Feedback

Organizations often collect data on employee satisfaction. Have you ever received a survey asking you to rate organization variables related to management, innovation, and satisfaction along a continuum from strongly disagree to strongly agree? If so, you have completed a Likert scale (Likert, 1932) for an OD intervention known as survey feedback.

Survey feedback is usually shared in meetings by providing a consolidated analysis of the results to work groups and their supervisors. During the feedback meetings, the data are discussed and next steps determined. Survey feedback is widely used in all types of organizations today and can be especially useful for monitoring change. Likert became a leading proponent of participative management, probably as a consequence of his immersion in data about management practices through his work in developing survey feedback.

Who Invented That? The Likert Scale

Rensis Likert (1903–1981), a colleague of Kurt Lewin, is best known for creating organization attitude surveys and the commonly used 5-point Likert scale. Likert developed these scales for organizations to measure employee satisfaction on a range of issues. They yield more sensitive results than a simple yes or

no. Today it is easy to create Likert scales with the help of web-based programs such as SurveyMonkey®. You can also purchase surveys from various vendors or work with a consultant to create a customized one for your organization. Likert was a founder of the University of Michigan Institute for Social Research. You can learn about its history and his involvement at the institute’s website: http://home.isr.umich.edu/about/history/timeline (http://home.isr.umich.edu/about/history/timeline) .

Participative Management (1960s)

Take a moment to recall managers you have known or worked with. They might have been teachers, pastors, bosses, coaches, board presidents, and so forth. Whom did you really like and respect? Why? Whom did you despise? Why? Chances are that you admired the managers who earned your respect and trust through behaviors such as listening, seeking your input, respecting you as a person, valuing your contributions, and admitting their own mistakes. These behaviors are typical of participative managers or participative management. The rise of participative management emerged as OD consultants sought to apply OD’s humane and democratic principles to management. Likert (1977) developed a categorization of management types and styles that helped popularize participative management. These include:

Exploitative–authoritative: characterized by decision making from the top with little teamwork or communication (other than threats). Benevolent–authoritative: characterized by a master–servant relationship between management and employees, in which rewards are used to motivate, with minimal teamwork and communication. Consultative: characterized by a relationship of trust among management and subordinates, in which both rewards and involvement are used to motivate and there is a higher level of shared responsibility for meeting goals with moderate amounts of teamwork and communication. Participative: characterized by managerial trust and con�idence in employees such that goals are collectively determined and rewarded, the responsibility for meeting organization objectives is shared, work is collaborative, and communication is open.

Which management de�inition typi�ies the organization(s) you belong to? Now that you have guessed, take this management-style quiz to �ind out.

Assessment: Management-Style Quiz

Participative management differs from traditional authoritative management styles that seek minimal input from workers in running the organization and are built on top-down management, decision making, and communication with little lateral interaction or teamwork. Participative managers, in contrast, engage all levels of employees in decision making, problem solving, and strategic planning. Participative management techniques have been found to increase productivity, quality, and satisfaction. OD consultants are trained to help managers become more participative in their managerial practice through activities such as management development and executive coaching.

Use this Leadership Style Survey to assess your management style: http://www.nwlink.com/~donclark/leader/survstyl.html (http://www.nwlink.com/~donclark/leader/survstyl.html) . How would you classify it? Are you happy with it, or do you have some work to do?

Quality of Work Life (QWL) (1950s–1970s)

The quality-of-work-life (QWL) movement emerged in the 1950s and 1960s. It focused on enhancing organizations’ sociotechnical systems by incorporating union–management cooperation, emplo-yee involvement, and self-directed work teams. QWL was grounded in the idea that organizations should promote individual well- being, team functioning, and overall organization health. The in�lation and escalating energy costs characteristic of the 1970s shifted QWL’s focus to global competitiveness, productivity, and employee satisfaction and became known as total quality management (TQM). W. Edwards Deming is credited with being one of TQM’s founders, although his ideas did not develop traction in the United States until the 1980s. He was embraced in Japan much earlier. Typical QWL–TQM activities include quality circles (groups of employees that meet and identify process- improvement projects), employee involvement, employee empowerment, process improvement, team decision making, and self-directed work teams.

Tips and Wisdom

The TQM movement is alive and well today. Certi�ication in TQM is offered by organizations such as the American Society for Quality (http://asq.org/learn-about-quality/total-quality - management/overview/overview.html (http://asq.org/learn-about-quality/total-quality- management/overview/overview.html) ) and iSix Sigma (http://www.isixsigma.com /methodology/total- quality-management-tqm/eight-elements-tqm (http://www.isixsigma.com/methodology/total-quality- management-tqm/eight-elements-tqm) ). Many organizations also apply for the Malcolm Baldrige Award, which recognizes outstanding quality performance (http://www.nist.gov/baldrige (http://www.nist.gov/baldrige) ). The International Organization for Standardization provides international standards for quality management (ISO 9000) (http://www.iso.org/iso/home /standards/management-standards/iso_9000.htm (http://www.iso.org/iso/home/standards/management-standards/iso_9000.htm) ), with which many organizations also seek to comply.

Who Invented That? Kaizen

Kaizen (Imai, 1986) means “improvement” or “change for the best” in Japanese. The Kaizen principle captures the notion of continuous improvement that became a dominant in�luence in post–World War II Japan and a key idea in the TQM movement. The Kaizen principle applies to work processes, individuals, groups, and all levels of the organization. Deming originated the quality improvement principles that helped Japan develop into a manufacturing powerhouse in the United States, although they did not receive traction in the United States until it became a competitive necessity to improve quality in manufacturing.

Organization Culture (1980s)

As OD practice shifted from individuals to groups, the natural progression was to expand that focus to the organization itself and how it could be more effective and ef�icient. With this shift, OD looked to the unique rules, values, and rituals that governed the beliefs and behaviors of organization members; that is, to the study of organization culture. Jacques (1951) de�ines organization culture as

the customary or traditional ways of thinking and doing things, which are shared to a greater or lesser extent by all members of the organization and which new members must learn and at least partially accept in order to be accepted into the service of the �irm. (p. 251)

Schein (1991), a prominent culture scholar, de�ined culture as a pattern of basic assumptions that are invented, discovered, or developed by a given group as it learns to cope with its problems of adaptation to the external environment. He suggested that when we understand culture, we can understand how it impacts its members’ thoughts, feelings, and actions. Think of a culture you belong to and identify some of its beliefs, activities, and customs.

Although the issue of culture was addressed in the study of organizations as early as the 1950s, organizational values and culture were rarely studied systematically until the early 1980s (Peters & Waterman, 1982). The notion driving this shift was that organization culture needed to align with strategy. Consider high tech as an example. Today the culture of these companies values creativity, innovation, and speed. Companies such as Google or Apple demand innovation on what is often referred to as “Internet time”—intense hours and quick turnarounds on projects. In return for the high expectations and long hours, the work environments are casual and cater to every need employees might have, including grooming, eating, health care, child care, and even pet care. This type of culture supports these companies’ strategy of being �irst with the most innovative products and services. In contrast, companies focused on �inance or manufacturing have a very different organization culture.

Every organization has a culture governed by spoken or unspoken rules. For example, some organizations are highly hierarchical, and it would be culturally taboo to skip rank to raise issues with upper management. Although this cultural rule may not be written anywhere, violating it would result in quick correction by the culture’s members. Culture also has artifacts that express its values and rules. The Apple corporation’s icon represents its mantra of “think different” and has become an iconic representation of a culture of innovation and design. Major university sports teams have logos and mascots that carry meaning. For example, the mascot of the University of Georgia is the English bulldog. This symbol holds many meanings, and people often refer to the university as “the Bulldawg Nation” and have a ritual of barking during kickoff at football games.

Planned and Strategic Change (1980s–1990s)

When you set a goal for yourself and intend to be successful, you typically have a plan. Consider your pursuit of a college degree. You have probably plotted your course work, determined your time line, and sought out people and other supports to help you succeed. Without some sort of strategy, your chances of success are slimmer. Similarly, organizations make plans to help achieve their goals. In OD these steps are known as planned and strategic change. The movement toward planned and strategic change emerged as OD consultants recognized the importance of linking organization change initiatives to the broader strategy and goals of the organization.

Earlier in the chapter, OD was described as planned change. OD interventions such as updating software, shuf�ling managers, or introducing new procedures typically �low from decisions to make changes that are associated with a higher performing organization. In contrast, strategic change involves aligning the organization’s strategy with its mission while accounting for technical, cultural, environmental, social, and political systems (Beckhard & Harris, 1977). For example, the organization might reach out to its local community regarding recycling or pollution reduction (environmental and political strategy), adopt a new social networking marketing campaign (technical strategy), or make deliberate efforts to shift the organization culture through leadership development, management reorganization, or mergers and acquisitions (cultural strategy). Strategic change usually follows some type of upheaval that may be unplanned, such as a change in government regulations, competition, new technology, or a

new leader. Such strategic disruptions have occurred on a national scale in the United States—for example, with health care legislation, the rapid and broad adoption of smartphones, and the election of President Barack Obama.

Organization Learning and the Learning Organization (1990s)

OD’s concentration on culture and strategic change fueled the interest in learning as a key lever in creating high- performing organizations in the 1990s. The shift to learning also parallels the rise of the knowledge society, the cultural and social shift away from industrialization to an economy based on service and intellectual work.

How an organization acquires and uses knowledge is known as organization learning. It involves ongoing, collaborative learning among the employees. Song, Joo, and Chermack (2009) describe organization learning “as the collaborative learning process of individuals . . . [the] learning processes that transform local or individual knowledge into collective knowledge” (p. 47). A key bene�it of organization learning is that it can help organizations be more competitive when they enhance their capacity to create, share, and preserve knowledge.

When organizations attempt to use learning as a strategic advantage and create infrastructure and interventions to do so, they are striving to become a learning organization. This concept was popularized by Peter Senge’s 1990 book The Fifth Discipline: The Art and Practice of the Learning Organization. Senge (1990) de�ined learning organizations as “organizations where people continually expand their capacity to create the results they truly desire, where new and expansive patterns of thinking are nurtured, where collective aspiration is set free and where people are continually learning how to learn together” (p. 56). Watkins and Marsick (1993) suggested “a learning organization is one that learns continuously and can transform itself” (p. 8). They developed the Dimensions of the Learning Organization Questionnaire (DLOQ), which measures learning organization capacity in seven areas:

1. Continuous learning: Opportunities for ongoing education and growth are available, and learning is built into the work itself to promote on-the-job learning.

2. Inquiry and dialogue: The organization culture is built around developing the capacity to listen and inquire into the assumptions and perspectives of others. Questioning and feedback are welcome behaviors.

3. Team learning: Teams are expected to learn and create new knowledge together. 4. Embedded system: Systems to capture and share learning exist and are integrated with work and available

for employees to access. 5. Empowerment: Organization members are involved in creating and implementing a shared vision and share

responsibility for attaining it. 6. System connection: The organization is connected to its broader communities. 7. Strategic leadership: The leaders are committed to using learning as a business strategy and support

learning efforts.

You can take the assessment below to evaluate your organization’s readiness to become a learning organization.

Assessment: Dimensions of the Learning Organization Questionnaire

Take the DLOQ to see if your organization is a learning organization at this site: http://www.partnersforlearning.com/instructions.html (http://www.partnersforlearning.com/instructions.html) .

A simple way to think about the difference between organization learning and a learning organization is that organization learning describes how an organization learns. A learning organization is what an organization does to strategically leverage organization learning to improve performance and outcomes.

Contemporary Trends (2000s)

“Organization effectiveness” and “employee engagement” are the newest buzzwords on the OD scene. Both terms have gained prominence only in the last decade.

Anderson (2012) explains that the idea of organization effectiveness is not notably different from organization development and that it was part of Beckhard’s (1969) classic de�inition. However, the shift may be away from development, which some viewed as a “soft” term, and more toward more practical efforts to quantify OD activities and outcomes. Nevertheless, former PepsiCo chair Roger Enrico is noted for saying, “The soft stuff is always harder than the hard stuff” (as cited in LeadershipNow, n.d.), meaning that working on “soft” human relations issues such as communication, leadership, team cohesion, con�lict resolution, and the like are much more challenging than repairing “hard” problems related to machinery, correcting defects, and analyzing organizations’ �inancial waste.

To learn about the essentials of an effective organization and how they relate to productivity, Haid, Schroeder- Saulnier, Sims, and Wang (2010) conducted a global study of nearly 29,000 employees from 10 major industry sectors in 15 countries in the Americas, Europe, and AsiaPaci�ic. Review the report “Organization Effectiveness: Discovering How to Make it Happen” at http://www.right.com/thought-leadership/research/organizational- effectiveness -discovering-how-to-make-it-happen.pdf (http://www.right.com/thought- leadership/research/organizational-effectiveness-discovering-how-to-make-it-happen.pdf) .

Interventions that promote employee involvement and satisfaction are collectively known as employee engagement. This trend may harken back to the employee involvement and empowerment initiatives that were characteristic of QWL/TQM programs in the 1980s. Anderson (2012) noted that this return to individual concerns may be a measure to counteract the emergence of organization effectiveness. Noting that organization effectiveness and employee engagement may be too young to gauge as true OD trends, Anderson (2012) observed that they are receiving attention in practice, if not research.

The interventions pro�iled in this section have traced OD from its beginnings in the 1940s with T-groups focusing on individual behavior and accountability, to strategic interventions focusing on the organizational system’s effectiveness and health. OD is both change oriented and learning oriented, and each of these innovations has advanced organization practices and policies.

Now that you have a better sense of what OD involves, you may be wondering who implements it. The next section explores the values, competencies, and ethics of the OD consultant.

Take Away 1.2: History of OD

Historically, OD evolved from T-groups that focused on individual interventions to more systemic and strategic interventions that target overall organization health and functioning. OD has helped us understand organizations as sociotechnical entities in which the social and technical systems affect and are affected by each other. OD has been instrumental in making the workplace more humane with its advocacy of participative management, quality of work life, and total quality management. OD contributed some key tools to organizations during the 20th century, including the �lip chart, Likert scale, action research model, and survey feedback. Contemporary OD seeks to be more strategic and to foster learning, organization effectiveness, and employee engagement.

Great Stock/Corbis OD practitioners collaborate with clients to plan and implement change. They can be either internal or external to the organization.

1.3 Becoming an OD Consultant

If you are excited about what you are reading or perhaps are already involved in change efforts at work, you might be interested in pursuing a career in OD. Even if this is not the �ield for you, awareness of OD can help you participate more effectively in an organizational intervention or prompt you to decide to talk to an OD consultant to facilitate organization change. This section describes OD consultants and identi�ies the values, ethics, and competencies needed for effective practice as well as professional communities.

Tips and Wisdom

Advanced graduate training is recommended for those interested in pursuing a career as an OD consultant. There are several outstanding graduate programs in OD and human resource development that can provide this specialized training. The Academy of Resource Development maintains a comprehensive listing of graduate programs in this area. See http://www.hrd -directory.org (http://www.hrd- directory.org) .

Who Is the OD Consultant?

There are at least three types of OD consultants (Cummings & Worley, 2009):

The �irst type includes internal or external consultants. Internal consultants are employed by the organization as permanent employees. External consultants are not members of the organization and are hired on a temporary basis. OD consultants typically have advanced training in the �ield, ascribe to humanistic values, and have expertise in group dynamics, facilitation, decision making, coaching, leadership, and other social process areas. The second type are often management consultants working in content-oriented �ields related to OD, such as total quality, organization design, reward systems, information technology, or business strategy (Cummings & Worley). They work in conjunction with OD consultants to implement interventions. The third type includes managers who apply OD to their own functional areas. Although they may not be formally trained in OD, their organizations provide training, and they gain experience from interventions they are responsible for managing. This manager-as-OD- practitioner is on the rise as organizations attempt to rapidly implement change. Managers often build this expertise by working with OD consultants in ongoing change programs in their organizations.

Cummings and Worley (2009) note that the distinctions between these three types of OD consultants are blurring. See the Tips and Wisdom in this section for advice on pursuing an OD career.

OD Values and Ethics

Humanism has already been introduced as an underlying philosophy of OD. People who embrace humanism seek to trust and respect others and help them develop and grow. They also value democracy, equity, and fair treatment. In OD this translates into creating healthy, equitable, af�irming organizations for all members.

Anderson (2012) translated OD’s history of humanism into modern-day values that include

1. participation, involvement, and empowerment; 2. groups and teams; 3. growth, development, and learning; 4. valuing the whole person; 5. dialogue and collaboration; and 6. authenticity, openness, and trust.

Each will be discussed in the following sections.

Participation, Involvement, and Empowerment

OD is not about consultants prescribing change in isolation. Rather, it is a collaborative, democratic partnership in which organization members have input throughout the process and co-own the change. This value re�lects an understanding that changes only endure when system members have involvement and say in the changes chosen (Schein, 1990). That is why interventions that promote organization members’ participation, involvement, and empowerment are so highly valued in OD. Examples of these types of interventions include participative management, T-groups, survey feedback, quality of work life, and learning organizations.

Groups and Teams

An organization relies on groups and teams to do its work. Groups and teams are often the focus of OD interventions. Beckhard (1969) emphasized that “the basic building blocks of an organization are groups (teams)” (p. 26). A key competency for OD practitioners is to understand group dynamics and strategies for facilitating group process. High-performing groups and teams are built on productive relationships among members, high levels of communication, clearly de�ined roles, speci�ic goals, the ability to resolve con�lict, and recognition for goal attainment. When groups and teams are high performing, they create great results for the organization.

Growth, Development, and Learning

“Perhaps the value that differentiates organization development from most other management and consulting work is its emphasis on growth, development, and learning” (Anderson, 2012, p. 42). This value is also in sync with the reality that adults are continually learning, developing, and changing throughout their lives (Merriam & Bierema, 2014). A signi�icant amount of adult learning happens in the workplace, whether it is formal education in a �ield such as accounting, formal training on how to use computer software, informal learning where workers observe or ask coworkers how something is done, or incidental learning that is a byproduct of something else (for instance, one might observe interpersonal dynamics between colleagues during a meeting and conclude they do not like each other). Valuing growth, development, and learning also �its with OD’s humanistic philosophy that through learning and development we can turn around nonperforming individuals and teams; learn what is preventing optimal performance; and create organizations that promote, rather than impede, learning.

Valuing the Whole Person

Consider yourself. You probably have a job title, but this is not the totality of who you are. In addition to that, you have roles, hobbies, interests, and relationships outside work. Sometimes in organization life we typecast people based on their positions and fail to consider their input or interest in issues beyond the scope of their job. For example, a secretary might be heavily involved in community service, serving on nonpro�it boards, holding key leadership roles, facilitating meetings, and leading strategic planning. These experiences could provide valuable insights to her organization, yet when it comes to setting organization strategy, no one thinks to engage her because she is a secretary. Valuing the whole person means seeing organization members as people, not positions. It involves treating people with respect and inviting their participation. It also incorporates creating an environment that values diversity and inclusion—one where people feel welcome and valued regardless of age, race, gender, class, national origin, sexual orientation, ethnicity, religion, physical ability, and so forth.

Dialogue and Collaboration

“A key value in organization development is the creation of healthy environments that promote collaboration rather than competition, with the assumption that a win–win solution is both possible and more desirable than con�lict” (Anderson, 2012, p. 44). How individuals and groups communicate with each other has a signi�icant impact on whether collaboration is possible. Our cultural communication pattern in the United States is debate centered. That is, people often take a win–lose stance in conversations. The exchange is not about creating meaning or understanding, but rather about swaying the other person to your way of thinking. This type of advocacy-based conversation is known as discussion (Ellinor & Gerard, 1998; Senge, 1990). Discussion is not necessarily bad, since advocating ideas is necessary for us to make decisions. Where it breaks down is when an advocacy stance is the only mode of discourse used. All you need to do is turn on talk radio or television to see daily—if not hourly—examples of this highly confrontational, negative, nonproductive form of discourse at its extreme. Sadly, it has become the default way of communicating in many social settings, including organizations.

An alternative form of discourse is one in which you do not seek to prove your views as right or superior, but rather to understand differing, perhaps contradictory viewpoints. This is known as dialogue, or inquiry-based communication. To effectively dialogue, you must suspend judgment of various viewpoints, identify your assumptions, truly listen to others, and practice inquiry and re�lection (Ellinor & Gerard, 1998). When we dialogue, rather than trying to determine who has the right answer, we usually generate new meanings and ways of thinking no one had thought of previously. OD practitioners must become experts at dialogue because it effectively invites the client into the conversation. Rarely should an OD practitioner give clients the answer or tell them what to do. Instead, the consultant might say: “What is not working?” “What is one thing we could do today to begin addressing the problem?” “What I hear you saying is . . .” “Would you say more about that?”

Learning how to dialogue is important for implementing effective philosophy and practicing OD because it helps build collaborative relationships and bridge understanding. It also builds knowledge and tolerance since it is based on inquiry rather than advocacy and explores new ideas. Discussion is useful when the group is ready to make a decision—ideally after the group or organization has done its best thinking and meaning making—through dialogue. The key is to �ind ways to better balance the use of discussion and dialogue.

Authenticity, Openness, and Trust

Authentic behavior with a client means you put into words what you are experiencing with the client as you work. This is the most powerful thing you can do to have the leverage you are looking for and to build client commitment. (Block, 1999, p. 37)

Authenticity as an OD practitioner involves candidly sharing observations or asking questions of clients without alienating them. Being authentic means sharing honest feedback with the client in a way that saves face. Valuing

authenticity, openness, and trust enables OD practitioners to identify the “elephant in the room” in a tactful and respectful manner.

A consultant once worked with a very command-and-control president whom most employees feared. She found herself greatly affected by his mood. In one of their meetings, he shared that he was perplexed about how to better motivate his workforce. She looked at him and said, “You know, I think you should just try smiling for a change and see what kind of results you get.” The president was furious at the “frivolous” suggestion and threw her out of his of�ice. Nonetheless, after about 3 weeks, he called the consultant back and admitted, “You were right.” He could not believe the effect a visible change in his demeanor had on his employees. The consultant in this story risked being authentic with the client and in the end was able to have a profound in�luence on him when he realized his effect on the organization. When OD practitioners are successful with authenticity, clients become more open and trust the relationship. See the Tips and Wisdom in this section to see how other OD consultants use smiling as an intervention.

Tips and Wisdom

5 Reasons to Smile More as a Leader

1. It helps others relax. 2. It draws people to you. 3. It enables you to connect. 4. It creates positive culture. 5. It elevates your mood.

For more on these reasons, visit http://us2.campaign-archive1.com/? u=52d5c7778a3adfda535c3b349&id=da7bef9cf2&e=6302681a5f (http://us2.campaign-archive1.com/? u=52d5c7778a3adfda535c3b349&id=da7bef9cf2&e=6302681a5f) .

OD Code of Ethics

OD practitioners abide by the International Society for Organization Development and Change’s code of ethics. They are available at: http://www.isodc.org/resources/Pictures /CodeofEthics.pdf (http://www.isodc.org/resources/Pictures/CodeofEthics.pdf) .

OD’s humanistic orientation is evident throughout this code, in its emphasis on quality of life, health, justice, dignity, win–win outcomes, holistic perspectives, and participative decision making. What aspects of the OD code of ethics resonate with you? How well are you living up to this code? How well is your organization living up to this code?

Competencies of OD Practitioners

“A consultant is one who provides help, counsel, advice, and support, which implies that such a person is wiser than most people” (Burke, 1992, p. 173). According to Cummings and Worley (2009), OD consultants need the following foundational competencies to be effective at OD. Foundational competencies represent the theoretical knowledge that is helpful when doing OD work. This theoretical knowledge includes an understanding of the following:

organizational behavior, individual psychology,

group dynamics, management and organization theory, research methods and statistics, comparative cultural perspectives, and functional knowledge of business.

Beyond this theoretical knowledge is a host of competencies related to facilitating an OD process and engaging with your client interpersonally. The Organization Development Network has provided a comprehensive list of OD competencies on its website (http://www.odnetwork .org/?page=ODCompetencies (http://www.odnetwork.org/? page=ODCompetencies) ). You can download a PDF of the list here: http://c.ymcdn.com/sites/www.odnetwork.org/resource/resmgr/docs/od_competencies.pdf (http://c.ymcdn.com/sites/www.odnetwork.org/resource/resmgr/docs/od_competencies.pdf) .

The list includes 16 areas with 141 competencies that make OD practitioners effective. The 16 areas include the following:

1. Marketing services as an OD practitioner or consultant. 2. Enrolling the client by building trust. 3. Contracting with the client to establish the boundaries of the consulting relationship. 4. Conducting a mini-assessment to clarify issues, pinpoint biases, and identify power relations. 5. Diagnosing the root problem using a process of data collection and analysis. 6. Sharing feedback of the data analysis with the client. 7. Planning the appropriate intervention based on data analysis and feedback. 8. Facilitating participation of key stakeholders in the decision making and implementation of the intervention. 9. Implementing the intervention to address the root problem.

10. Conducting evaluation to assess whether the intervention effectively solved the problem. 11. Following up with the organization to monitor and adjust the changes made as a result of the intervention. 12. Monitoring the client’s adoption of the changes. 13. Facilitating the separation of the consultant from the organization (promoting client independence). 14. Developing and enhancing self-awareness to ensure you are functioning at a high level of mental, physical,

spiritual, and intellectual health. 15. Honing your interpersonal skills in a way that makes you a role model to the client due to building trust with,

listening to, and respecting others. 16. Managing other areas of OD competency that build cultural sensitivity, technical competence, and ongoing

learning to stay current and relevant as an OD practitioner.

You may be thinking that this is a formidable list! The array of technical, diagnostic, and interpersonal skills is somewhat daunting and requires those who practice OD to engage in continuous learning, growth, and development. This ongoing self-improvement helps us develop into leaders and role models our clients want to listen to and emulate. These core competencies will be examine in more detail later in this book.

Burke (1992) states that having foundational and core competency is necessary but not suf�icient to do OD. He adds important interpersonal competencies for effective practice. These include:

Tolerating ambiguity. There are no recipes for OD because every organization and problem is unique and requires a customized solution. In�luencing the client. Consultants rarely have formal organizational power to implement interventions, making persuasive skills imperative. Block (1999) eloquently summed up the life of a consultant as having in�luence without power. Being direct. As discussed in the authenticity section, this requires confronting dif�icult issues that no one wants to raise. Providing support. Clients need support as they encounter challenges related to change, such as con�lict, resistance, or stress.

Controlling your own emotions. Your presence, behaviors, and comments signi�icantly impact the client and organization. Remember to behave calmly and respectfully. Recognizing and using teachable moments. OD is a learning process for the client, so it is important to recognize and use teachable moments as they arise. Maintaining a sense of humor. Consulting work can be challenging and stressful, so humor is a good tension breaker. Executive presence. This means exuding self-con�idence, interpersonal savvy, and a sense of mission about your work.

Professional Communities

Now that we have reviewed the types of OD practitioners and their values, ethics, and competencies, let us examine the professional community of OD. Organizations where OD professionals can network with each other include:

International Society for Organization Development and Change

http://www.isodc.org (http://www.isodc.org)

Organization Development Network

http://www.odnetwork.org (http://www.odnetwork.org)

These organizations have conferences, training, journals and newsletters, and other resources to support OD practitioners.

Journals dedicated to advancing both research and practice of OD include:

Human Resource Development International

http://www.tandfonline.com/toc/rhrd20/current#.UemsUGkS75h (http://www.tandfonline.com/toc/rhrd20/current#.UemsUGkS75h)

Human Resource Development Quarterly

http://onlinelibrary.wiley.com/journal/10.1002/(ISSN)1532–1096 (http://onlinelibrary.wiley.com/journal/10.1002/(ISSN)1532-1096)

Leadership & Organization Development Journal

http://www.emeraldinsight.com/products/journals/journals.htm?id=lodj (http://www.emeraldinsight.com/products/journals/journals.htm?id=lodj)

Organizational Dynamics

http://www.journals.elsevier.com/organizational-dynamics (http://www.journals.elsevier.com/organizational- dynamics)

Being an OD practitioner demands the best of you—to be a role model of change, behave humanistically, collaborate, and be versed in OD’s content and process. We will go into more depth about this dynamic and exciting �ield in the next chapters.

Take Away 1.3: Becoming an OD Consultant

OD can be practiced on multiple levels, including participating in a process in the course of your work life, managing a function in which OD is applied, assisting an OD process with specialized knowledge, or working as an OD consultant. OD’s values and ethics are grounded in its humanistic philosophy and include participative management, teamwork, continuous learning, collaboration, and a spirit of authenticity and openness. Being an OD practitioner or consultant involves developing book knowledge of OD foundations and theory, as well as process knowledge that will help the practitioner be a high-functioning role model for leadership and organization innovation.

Summary and Resources

Chapter Summary People constantly experience both planned and unplanned change in the course of their personal and work lives. OD is a planned change effort that is supported by management and applied system-wide to increase organization effectiveness and health. It uses interventions targeted at organization challenges or problems. OD is practiced by individuals known as OD consultants. They help the organization cope with and respond to change and work with the key organizational stakeholder or client to resolve problems. OD is grounded in the philosophy of humanism that assumes human goodness and seeks to do no harm to the individuals or their organizations when making changes. Key characteristics of OD include: it is systems-based, top management is committed, the intervention is tied to the organization’s mission, there is a long-term commitment to implementing the intervention, there is a bias for action, it focuses on changing attitudes or behavior, it tends to incorporate experiential learning, and it is largely a group process. Historically, OD evolved from T-groups that focused on individual interventions to more systemic and strategic interventions that target overall organization health and functioning. OD regarded organizations as sociotechnical entities in which the social and technical systems affect and are affected by each other. OD has been instrumental in making the workplace more humane with its advocacy of participative management, quality of work life, and total quality management. OD contributed some key tools to organizations during the 20th century, including the �lip chart, Likert scale, action research, and survey feedback. Contemporary OD seeks to be more strategic and foster learning, organization effectiveness, and employee engagement. OD can be practiced on multiple levels, from participating in a process in the course of your work life, managing a function where OD is applied, assisting an OD process with specialized knowledge, or working as an OD consultant. OD’s values and ethics are grounded in its humanistic philosophy and include participative management, teamwork, continuous learning, collaboration, and a spirit of authenticity and openness. Being an OD practitioner or consultant involves developing book knowledge of OD foundations and theory, as well as process knowledge that will help the practitioner be a high-functioning role model for leadership and organization innovation.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Describe your own work setting. How humanistic is it? 2. Lewin was famous for saying, “If you want truly to understand something, try to change it” (as cited in Neill,

2004). What does this statement mean to you? How does it relate to a change you have attempted to make? 3. What situations in your current work experience would be enhanced by an OD process, or what has been

your experience with OD? 4. Where have you observed a humanistic philosophy in action? How would you rate your organization in

terms of humanism? 5. What OD interventions pro�iled in this chapter have you experienced? 6. How will knowledge of OD help you in your current or future career?

Apply Your Learning: Activities and Experiences to Bring OD to Life

1. Identify your educational philosophy by taking the Philosophy of Adult Education Inventory located at http://ctl810.wikispaces.com/�ile/view/paei.tex.pdf (http://ctl810.wikispaces.com/�ile/view/paei.tex.pdf) . What is your dominant orientation? (Note: You might have more than one dominant philosophy.)

2. Conduct a web search of the historical �igures of OD noted in this chapter, such as Kurt Lewin, Richard Beckhard, Rensis Likert, Peter Senge, or Karen Watkins. a. Identify their key philosophy. b. Note their key contributions to OD.

3. Return to the Sparklite case study and revisit your answers to the questions. a. How are they different now that you have completed the chapter? b. If you were an OD consultant hired to help the employees, what would be your �irst steps? (You may want to return to your answers after you have �inished reading the entire book.) c. Think of questions you would like to ask the employees.

4. Visit a website like Monster or Indeed and conduct a search on OD jobs. This will be valuable information if you plan to seek a career in OD. Scan the job descriptions and note: a. job titles b. key training, skills, and competencies that regularly pop up in the postings c. salaries d. types of organizations e. other interests you may have

5. Identify two OD practitioners in two different organizations and interview them about their role. Ask them to describe: a. their training and preparation b. their career history c. OD interventions they are proud of and what characterized them d. mistakes they have made e. advice they would give new entrants to the �ield

6. Attend a local OD professional meeting. The Organization Development Network has local chapters in major metropolitan areas. a. What did you learn about the �ield? Its practitioners? b. Follow up with someone you met at the meeting and conduct an informational interview.

7. Attend a national meeting of an OD organization. a. What key trends did you notice? b. What did you learn from the attendees (insights, introductions, and so forth)?

8. Write a review of an article from one of the OD journals listed in this chapter. a. Consider how you might apply the ideas listed in the article. b. Identify your critiques of the article.

9. Identify and evaluate OD interventions you have experienced in your organization. 10. Review the list of competencies for OD practice. Which ones do you have experience with? Which ones do

you want to develop?

Additional Resources Media

Five Ways to Build a Resilient Organization

http://youtu.be/DMEodKZCNmg (http://youtu.be/DMEodKZCNmg)

Industry Atlas: The Pursuit of Happiness

http://youtu.be/N4WMoegOuHY (http://youtu.be/N4WMoegOuHY)

Web Links

Philosophical Re�lections on Change Inspired by Heraclitus

http://www.thedailyphilosopher.org/daily/000011.php (http://www.thedailyphilosopher.org/daily/000011.php)

International Organization Development Association, an international network of OD professionals, consultants, practitioners and social scientists.

http://www.iodanet.org/ (http://www.iodanet.org/)

Organization Development, consultant Don Clark’s site containing information and knowledge on performance, learning, training, and leadership.

http://www.nwlink.com/~donclark/history_management/od.html (http://www.nwlink.com/~donclark/history_management/od.html)

Action Research and Action Learning, by Australian consultant Bob Dick.

http://www.aral.com.au (http://www.aral.com.au)

Action Research International, a refereed online journal of action research.

http://www.aral.com.au/ari/arihome.html (http://www.aral.com.au/ari/arihome.html)

Canadian Journal of Action Research, a freely accessible, full-text, peer-reviewed electronic journal intended for elementary, secondary, and university teachers who are concerned with exploring the unity between educational research and practice.

http://cjar.nipissingu.ca/index.php/cjar (http://cjar.nipissingu.ca/index.php/cjar)

Organisation Development: The Ultimate Practitioners Guide for All Things OD, by consultant Carrie Foster.

http://organisationdevelopment.org (http://organisationdevelopment.org)

Learn more about Kurt Lewin, Rensis Likert, and action research at these links:

http://infed.org/mobi/kurt-lewin-groups-experiential-learning-and-action-research (http://infed.org/mobi/kurt-lewin-groups-experiential-learning-and-action-research)

http://infed.org/mobi/action-research (http://infed.org/mobi/action-research)

To learn about employee motivation and survey research, see:

http://www.businessballs.com/employeemotivation.htm (http://www.businessballs.com/employeemotivation.htm)

To learn more about organization culture, see the Free Management Library’s resources on the topic:

http://managementhelp.org/organizations/culture.htm (http://managementhelp.org/organizations/culture.htm)

The Tavistock Institute of Human Relations (TIHR), which applies social science to contemporary issues and problems. The Institute is engaged with evaluation and action research, organizational development and change consultancy, executive coaching and professional development, with the goal of supporting sustainable change and ongoing learning.

http://www.tavinstitute.org (http://www.tavinstitute.org)

Refer to Infed for a good overview of organization learning:

http://infed.org/mobi/learning-in-organizations-theory-and-practice (http://infed.org/mobi/learning-in- organizations-theory-and-practice)

Key Terms

action research

authenticity

client

dialogue

discussion

employee engagement

humanism

intervention

knowledge society

learning organization

Likert scale

organization culture

organization development (OD)

organization development consultant

organization effectiveness

organization learning

participative management

planned change

quality of work life (QWL)

sociotechnical system

strategic change

survey feedback

T-group

total quality management (TQM)

2 Organization Change

Lorna Wilson/Taxi/Getty Images

Learning Objectives

After reading this chapter, you should be able to:

Categorize change according to rate of occurrence, how it comes about, and scale.

Provide examples of personal and organizational interventions that represent developmental, transitional, and transformational change; �irst- and second-order change; and operational and strategic change.

Discuss the systems approach to change.

Describe three levels of change, including individual, group or team, and organization or system.

Compare and contrast �ive models of organization change.

Scott Anderson/The Journal Times/AP Blockbuster Video failed to anticipate change and could not compete with Net�lix and other digital movie sources.

Write down the names of �ive highly successful companies today that were just as dominant 25 years ago. Are you able to think of �ive? Companies, like living organisms, tend to have a limited life span. Very few remain competitive for more than a decade or two. Instead, as Newman (2010) pointed out, companies tend to lose their edge because they fail to innovate and change. As he put it, they become obsessed with competing in the present and lose sight of the future. Newman listed 10 examples: Blockbuster, Dell, Eastman Kodak, Motorola, Microsoft, Sears, Sony, Sun Microsystems, Toys “R” Us, and Yahoo. You can probably think of others. Let us look at a couple of these examples.

Blockbuster easily transitioned from VHS to DVD formats but failed to anticipate that content would become available via mail, vending machine rentals, video on demand, and video streaming. Companies such as Net�lix and Redbox did anticipate and adapt to this trend, however. Blockbuster became obsolete, closing hundreds of stores, accumulating debt, and struggling to regain its competitive edge.

Eastman Kodak dominated the commercialized camera industry for nearly a century, with innovations such as the Brownie camera in 1900, Kodachrome color �ilm, the handheld movie camera, and the easy-load Instamatic camera. In spite of such innovation, Kodak failed to anticipate the advent of digital photography. Today most of us use our cell phone, iPad, digital camera, and a variety of apps and websites to take, store, alter, print, and share photos. Like Blockbuster, Kodak struggled to innovate with forays into pharmaceuticals, memory chips, health care imaging, document management, and many other �ields. Unfortunately, these ventures did not restore the company’s pro�itability. In January 2012 the New York Stock Exchange (NYSE) suspended trading of Kodak stock following the company’s announcement that Kodak and its U.S. subsidiaries had �iled for Chapter 11 reorganization. In February 2012 the NYSE removed the entire class of the company’s common stock from its listing and registration.

It is challenging to convince an organization to change, particularly when things are going well, as things did for many years for both Blockbuster

and Kodak. Even when companies recognize the need for change, the process is complex and challenging, and most efforts do not succeed. In fact, change often fails to meet its intended outcomes (Grif�ith, 2002; Kogetsidis, 2012; Self, Armenakis, & Schraeder, 2007). Some have estimated that 50% of all change efforts fail (Quinn, 2011, and others estimate the failure rate even higher, at nearly 70% (Balogun & Hope Hailey, 2004; Burnes & Jackson, 2011; Higgs & Rowland, 2000). Simply put, organizations are not very good at planning and implementing change.

The purpose of this chapter is to explore organization change. We will identify a variety of types of change, discuss the systems approach to change, examine levels of change, and compare and contrast change models. Let us begin by considering the nature of change.

2.1 The Nature of Organization Change

Change is the alteration or complete transformation of people, processes, products, and places. As you know from your own experience, change may be impermanent, transitional, and even reversible (such as moving to a new city, then perhaps moving home again) or permanent and transformational (such as getting a college degree or experiencing the death of a loved one). Organizations, too, experience changes that can be subtle or transformational, temporary or permanent. Managing change effectively is considered a core competence of successful organizations (Burnes, 2004).

Three Categories of Change

There are several ways to classify change. Cao, Clarke, and Lehaney (2004) suggested change may be according to organizational function, process, culture, or power distribution. Senior (2002) took a different approach, organizing types of change according to three categories: (a) rate of occurrence, (b) how it comes about, and (c) scale.

Rate of Occurrence

Change happens at varying paces. Often it is discontinuous and episodic. There is only one event or episode of change that makes a signi�icant break from what has gone on before. Examples of discontinuous or episodic change might include a natural disaster, economic cycles of recession and expansion, or something more personal like the onset of illness or a one-time change in work.

The opposite of discontinuous or episodic change is continuous change—an ongoing process of shifts that can lead to signi�icant alterations over time. People experience continuous change with technological innovations. Just a few years ago, the idea of a smartphone seemed far-fetched, yet today they are widely owned. Continuous change is also prevalent in health care, where new drugs and treatments have prolonged life—at least in industrialized countries.

How Change Comes About

Another way of describing change is the way in which it occurs. Planning is one way that change comes about, particularly in OD. Change can also be unexpected, without planning. This might also be considered evolutionary change, which happens gradually and amounts to substantial shifts over time. Organizations may be involved in continuous improvement projects that gradually result in the adoption of new technologies and improved management practices such as participative management or organization learning.

Change may also come about due to contingency—when organizations are forced to respond to unique, unanticipated variables that require special action and changes. For example, lacking a necessary raw material might require emergency alterations to product design. Another way change comes about is via choice. Organizations can choose what changes to make, such as deliberately deciding to change their leadership style.

Change According to Scale

The scale of change ranges from moderate ongoing changes at a department level to wholesale transformation of the organization culture. Revolutionary change, although much less common than evolutionary change, represents a shock to the system that alters it permanently. The terrorist attacks of September 11, 2001, created revolutionary change in Americans’ national identity and sense of safety, as well as signi�icant changes in air travel. Another revolutionary change was the economic downturn of 2008 and its consequences. These changes forced both individuals and organizations to adapt.

©John Harper/Corbis Apple was able to transform itself into one of the most important technology innovators of our time.

Developmental, Transitional, and Transformational Change

Change is one of those words that serves as a melting pot for scores of concepts and methods. Like the Inuit expression for snow (of which there are 20 or more shades of meaning), change means many different things to us. (Ackerman, 1997, p. 45)

Ackerman (1986) characterized change as developmental, transitional, or transformational. Developmental change is the growth and learning people experience as they acquire new skills, manage relationships, and take on new challenges. This type of change might involve problem solving, work assignments, con�lict resolution, group dynamics, team building, meeting management, role negotiation, survey feedback, or training.

When people make incremental steps toward a preferred status over a speci�ied period, they are making a transitional change. Transitional change includes increasingly using a device like a smartphone or gradually reducing calorie intake in order to lose weight. On an organization level, transitional change might occur through reorganization, technology integration, new product development, mergers or acquisitions, or globalization.

Transitional change seeks to accommodate the new state while maintaining functionality during the conversion. Employees usually view this change as a disruption in standard operating procedures. For example, a large public university recently switched the platform for its online courses. The change began with an informational campaign. Then, over two semesters, faculty could volunteer to be early adopters of the technology. During this phase the early adopters provided feedback to the information technology department to help the entire organization fully transition to this new technology. This strategy enabled the university to continue to deliver online learning in both the old and new formats while the technology was still in development. The entire university was then able to change to the new platform the following year.

A change that revolutionizes the organization and the ways its members think and act is known as transformational change. Transformational change is generally not reversible, because processes, behaviors, or beliefs become fundamentally different from those that characterized the previous state. Transformational change may be due to crisis, leadership transitions, culture or strategy alterations, dramatic shifts in markets, or executive coaching.

Some companies have managed to transform themselves and stand the test of time. IBM transformed from a mainframe computer company into one that makes software, personal computers, and storage solutions. Apple started as a transformational company: In a market dominated by large, unsightly computers with complex software and awkward user interfaces, it introduced small, user- friendly Macintosh computers with aesthetically pleasing designs. Apple gained an ardent fan base, but as its competition caught on, it almost faded into obscurity. Then, under the leadership of Steve Jobs, the company underwent a series of transformational changes that transformed our relationship with personal digital assistants via the iPad, iPhone, and iPod. Transformational change usually requires a charismatic leader who inspires others with a vision to achieve the desired change and willingness to take risk.

First- and Second-Order Change

Change in OD has been historically classi�ied as �irst order and second order. When individuals simply alter the intensity, frequency, or duration of a behavior but otherwise continue doing more or less what they have already been doing, they are making a �irst-order change. For instance, Jordan might decide to increase his exercise

Cathy Keifer/iStock/Thinkstock Just as a caterpillar transforms into a butter�ly, so too is second-order change an irreversible process that alters ways of being.

sessions from once to twice a week. Or a management team might decide to communicate monthly instead of quarterly about organization issues.

First-order change is considered easy to implement and readily reversible. It does not require new learning, so it is usually impermanent. Jordan might decide to go back to once-weekly exercise sessions or to slack off on his regimen all together. Or management may later decide to communicate less frequently and implement that change easily.

Early OD focused on �irst-order change that involved moderate adjustments to the organization, people, and processes. These interventions were largely individualistic; that is, practitioners modi�ied aspects of individuals’ behavior, believing that these individual changes would translate into organization effectiveness. This mindset caused OD consultants to overlook the big-picture, systemic issues affecting the organization. As a result, early OD often was ineffective.

Radical change that alters thinking, behaviors, or processes in irreversible ways is known as second-order change. This level of change requires a fundamentally different approach to issues, as well as new learning. It is generally not reversible and tends to be revolutionary or transformational. For example, rather than simply increasing his number of weekly exercise sessions, Jordan might meet with his doctor to assess his overall health, get up earlier each day to exercise, hire a personal trainer to work with him, consult a registered dietitian, take a healthy cooking class, or otherwise alter his mindset about exercise and health. Or, management might restructure or fundamentally change how it communicates, altering not only the frequency but also the content and delivery mode. The rise of online social networking offers an example of how organizations have new platforms for communicating. Platforms such as instant messaging, Twitter, wikis, social networking, teleconferencing, e-mail, and collaboration apps (e.g., Basecamp) have radically changed the way employers, employees, and customers communicate, and have also made information more timely and comprehensive.

Contemporary OD, in its quest to change systems and cultures, focuses on second-order change. Examples include executive coaching that transforms a leader’s behavior, performance feedback that improves individual and group performance, leadership development that shifts how leaders think and act, group and team facilitation that revolutionizes interpersonal dynamics, diversity and multiculturalism initiatives that make the organization more inclusive, total quality management that improves products and services, life–work balance programs that reduce stress, or organization restructuring that changes work processes.

What �irst- and second-order changes have you made in your life? How successful were you at maintaining them? What changes have you noticed in your workplace? How effective are you at helping others change? Take the change leader style assessment to evaluate yourself.

Assessment: What Is Your Own Change Leader Style?

Take this self-assessment to gain insight into your change style. The survey covers 60 attitudes and behaviors of leaders related to change management. It should take about 20 minutes to work through the assessment.

http://www.careacademy.org/Change Management/Session 3/Change Style Assessment/Managing Change- Your Style Assessment.pdf (http://www.careacademy.org/Change Management/Session 3/Change Style Assessment/Managing Change- Your Style Assessment.pdf)

It is dif�icult to create change within an organization. In the video, a manager encounters resistance from his team when introducing a change in work systems.

Operational and Strategic Change

When organizations make shifts that affect day-to-day functioning or operations, they are making an operational change. Examples include shifting the production schedule to accommodate supply of raw materials, hiring temporary workers to help cover a short-term increase in product demand, adding overtime to meet production numbers, problem solving around a quality issue, or creating a newsletter to better communicate with employees.

Tips and Wisdom

Notice the signs of approaching change: Pay attention to your organization and the environment. What do you notice, hear, and suspect? Ask yourself: “What is the worst thing that could happen if change X occurs?” Acknowledge that the only thing you control is yourself. How do you want to show up during the change? Look for opportunities within the change to think differently, take on new responsibilities, and learn new things. Help others cope. It will help take your mind off the uncertainty and position you as a leader.

When the organization shifts its tactics to better achieve its mission and vision, it is making a strategic change. Strategic changes might include shifting the culture, management, and rewards systems to be more inclusive as a means of recruiting and retaining a diverse workforce; �iring an executive and bringing in a person with a track record for business turnarounds; hiring workers to pursue a new market, product, or service; realigning people and resources to focus on a goal of becoming number one in sales or quality; or conducting a new marketing campaign to reach new customers.

Whether operational or strategic, change can be stressful, but strategies exist for coping with change.

Accepting Change

Take Away 2.1: The Nature of Organization Change

There are several ways of describing the nature of change in OD, which is the alteration of the complete transformation of people, processes, products and places. Change can be classi�ied according to (a) its rate of occurrence, (b) how it comes about, and (c) its scale. OD can focus on �irst- or second-order change. First-order change is a gradual or incremental change that usually involves making moderate adjustments to existing procedures and practices. Second-order change signi�icantly and irreversibly alters thinking, behaviors, or processes. Developmental change is associated with the growth and learning people acquire through experiences and formal education or training. Transitional change involves making incremental steps toward a desired state over a speci�ied period. Transformational change revolutionizes the organization and the ways its members think and act. Change can be operational or strategic. Operational change involves shifts that affect day-to-day functioning or operations of the organization. Strategic change involves more revolutionary shifts in tactics to better achieve organization mission and vision.

Accepting Change: Cutting Edge Communications Comed...

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2.2 General Systems Theory and Organization Change

Chapter 1 established OD as a data-driven, humanistic process that seeks to foster the health and effectiveness of individuals, groups, the organization, and the broader community. OD is concerned with how change is integrated within an organization; that is, OD studies the ways in which an intervention in one area might affect another area. In other words, OD is concerned with the entire system.

Freedman (2013) explained the value of this concern with the system:

Organizations bene�it when their leaders think and act systemically. Systems-oriented leaders consider organizational changes in the context of the total system and its interactions with its environment, rather than merely focusing on the primary element that attracts critical attention. By thinking and acting systemically, leaders focus their attention on the interactions among the interdependent parts and levels of their organizations . . . [making them] more likely to set realistic, comprehensive goals and establish viable strategies and plans for change. (p. 411)

Many changes are localized when they affect only parts of the system. Medical specialties exist to treat parts of the body system. Yet treating disease in one system can be problematic when the impact on the body as a whole is not considered. This is also true in organizations in which a change might be made to a section of a manufacturing assembly line without considering how it might affect manufacturing at other points along the line. Another example is when there is a change in raw materials that negatively impacts the �inal product. OD is different from other more localized interventions in that it takes the total organization system into consideration.

General Systems Theory

Thinking and acting systemically about organizations originated with Ludwig von Bertalanffy’s general systems theory, or GST (1950, 1968). Katz and Kahn (1978) called it a social systems approach. Also known as systems thinking, systems design, system dynamics, or holism, GST views the organization as a system of interconnected, interdependent subsystems. These subsystems might be people, technology, processes, the external environment, competitors, government, customers, and other stakeholders. GST views the organization as drawing inputs from the outside world and transforming them into products and services.

Von Bertalanffy (1950, 1968) contended that the primary purpose of an organization is survival. He regarded organizations as perceived wholes with interdependent components that affect each other over time and help advance the system’s purpose. He identi�ied systems as having �ive fundamental elements:

1. Semipermeable boundaries �ilter inputs and outputs across the organization’s borders and separate its inside from its outside. Boundaries are not just physical spaces like the walls of the building, but also subject to time and social construction in terms of the organization beliefs, history, values, and leaders. Systems can also exist within systems. For example, our solar system is distinct from the rest of the Milky Way galaxy and has changed over the billions of years of its existence. An organization today is distinct from that same organization last year.

2. Inputs represent the raw materials and resources needed from the external environment for the organization to produce its outputs (goods and services). Inputs include a quali�ied workforce; market data pinpointing customer requirements for goods and services; prevailing political, economic, regulatory, technological, and social trends; competition; raw materials; capital; and information.

3. Throughputs entail the transformation of inputs into goods and services (outputs). Throughputs involve the line production of goods and services (e.g., an assembly line that manufactures vehicles) as well as support functions that indirectly contribute to the production of goods and services, such as human resource management or �inance. A modi�ication in throughput usually stimulates signi�icant change in the organization.

AP Photo/Carlos Osorio Raw materials undergo the throughput process in their journey from input into the factory to output as vehicles.

4. Outputs represent the goods and services produced by the organization and demanded by customers. Ancillary outputs include wages and salaries employees spend and contribute to their local economies. Outputs also include waste, recycling, and dividends to stockholders.

5. Feedback loops provide information to the organization about how well the system components are meeting needs and expectations. Feedback loops are negative or positive and signi�icantly impact a system’s behavior (Größler, Thun, & Milling, 2008). These loops might include relationships between subsystems or the relationship between one of these �ive system elements. When the organization falls out of equilibrium, feedback loops can help leaders �igure out how to get the organization back on track. Figure 2.1 features a diagram of an organization system.

Figure 2.1 Diagram of an organization system

This �igure depicts a simple system model that shows how inputs or resources are introduced to a system and are transformed during the throughput process and released as outputs in the form of goods or services. The process is continuous, and the output informs future input through a feedback process.

Consider your experience as a college student as an example of a system. Semipermeable boundaries might include the community where the university is situated and its history. Other boundaries might be through social networking, sports teams, or other extracurricular activities that connect the university to the outside world. Your inputs might be the courses you take, the quality of your instructors, the books you read, and the experiences you have. When these are put into your system and become throughputs, particularly through learning processes, they transform into accrual of new knowledge and skill. The output might be a paper, insight, or project. Feedback loops happen via relationships you have with professors and peers, grades you receive on papers, and ultimately, meeting the requirements for graduation and attaining a degree.

Automotive manufacturing is another example of a system. Semipermeable boundaries include the community where the plant is headquartered, the industry, market conditions, and the economy. Inputs include design, steel, computer systems, and so forth. These inputs become throughputs, which transform during manufacturing to become outputs (vehicles). Feedback loops include whether the vehicle meets quality standards, achieves favorable external rankings, generates sales, and captures return customers.

Think of other systems you belong to and see if you can identify the �ive elements:

1. semipermeable boundaries

2. inputs 3. throughputs 4. outputs 5. feedback loops

Tips and Wisdom

An organization is a totality, a whole system with interacting parts or components. To alter a part of the system may represent a change in the organization, but it is not necessarily OD. Change can occur at different points in an organization. For instance, a company might change its order intake process. The change to order intake procedures does not become OD unless it is considered in terms of its impact on the entire system and embraces OD philosophy and steps of action research.

The Whole Is Greater Than the Sum of Its Parts

When systems theory is applied to OD, it means the larger system is taken into account at all times. For instance, if managers are put through a leadership development program, how will their new knowledge and behaviors affect their subordinates? The vignettes about Blockbuster and Kodak at the beginning of this chapter show how the companies ignored the broader systems of their business and lost their competitive edge.

Change Readiness

Life and work are characterized by constant change. OD considers change from the system view. Systems will not change when readiness is nonexistent. Part of the OD process is facilitating readiness of individuals, groups,

Who Invented That? The Notion of a System

Greek philosopher Aristotle originated the adage “The whole is greater than the sum of its parts.” Aristotle’s quote has great signi�icance for understanding system dynamics. It means that system parts have synergy when working together that they lack when they are separate. System parts are interdependent and work together to create something special like a body, solar system, or car. Aristotle’s wisdom captures the understanding that parts may be nonfunctional when separate but create the system when combined. For example, the separate systems of the body—cardiovascular, respiratory, digestive, etc. —only sustain an organism when they work together. Similarly, a bunch of car parts scattered about a garage does not make a car until the parts are combined to form the system of a vehicle. Simply reading books will not make someone a college graduate. The same principles operate in groups. The output of a coherent group is likely to be higher than that of its members working in isolation.

Within the system of an organization, if employee turnover increases, it is not enough to provide more training to existing workers. The product, employees, management, work environment, competitors, response time, training, transportation, and other variables must be considered to understand what other system factors might be affecting turnover.

organizations, and systems.

Although this book’s focus is organizations, sometimes it is easier to relate to the process of change when we think about it in our own lives. When we undergo change, we may experience crises of identity, relationship challenges, or worries about making a difference. In fact, a change in one area of your life can affect others—in essence, changing your personal system. Imagine you move to a new city. Suddenly your relationships, work life, and recreational options have all changed, which alters your life system.

In OD the changes that occur within the organization system often reverberate in your personal life. Change, in OD terms, is not something that happens to you. Rather, it is an intentional process that seeks to improve something in the organization, since it is a planned change. You can take steps to prepare yourself for change. Let’s start by assessing your readiness for it.

Assessment: Readiness for Change

William Bridges has written several books about the change process on both personal and organization levels. How ready for change are you? Take his assessment and evaluate yourself: http://www.wmbridges.com/articles/assessment_tools.html (http://www.wmbridges.com/articles/assessment_tools.html) .

Table 2.1 offers a comparison of typical changes most people face at one time or another in life and at work; compare these to your own experience.

Table 2.1: Typical life and work changes

Typical life changes Typical work changes

Leaving home for the �irst time Becoming a college or graduate student Falling in love Leaving a relationship Losing a loved one Awakening to a cause Experiencing a change in �inancial circumstances Traveling abroad

Reorganizing or downsizing Receiving a promotion Experiencing new colleagues or leaders Repositioning business to be more competitive Becoming global Altering our behaviors Merging with or acquiring other businesses

Take Away 2.2: General Systems Theory and Organization Change

OD is more effective when it takes the entire organization into account to understand how changes might reverberate throughout the organization. The systems framework for understanding organizations originated with the development of general systems theory, or GST. In keeping with Aristotelian philosophy, it is worth remembering that “the whole is greater than the sum of its parts” when systems are created and altered.

Both individual and organization readiness to change can vary as people navigate the many changes presented in their personal and work lives.

2.3 Levels of Change

As discussed, change might be very personal or might affect an organization or even an entire community. This section examines changes typical of the individual, group, and organization levels and explains when they constitute OD.

Individual Change

Change that involves activities related to employee staf�ing, training, or coaching is individual change. Although individual change efforts are often not OD, they become so when implemented to help the organization system change or adopt a new direction. There are three types of individual OD changes.

Staf�ing and Talent Management

Burke (2014) noted that activities related to the recruitment, selection, replacement, and displacement of workers are fundamental to assembling a team of the right people to help achieve the organization’s change initiative. This is known as staf�ing (or talent management). Think about your own experience of change in an organization. How often were the players changed in order to implement a new direction? Losing football teams recruit new players and replace old coaches, growing schools select and retain new teachers, and failing businesses displace and replace the management.

Training and Development

Training and development activities can also be classi�ied as individual-level OD when they advance systemic organization change. As mentioned in Chapter 1, training is a costly intervention and should only be conducted when it clearly addresses a problem or desired change. Training is probably an OD intervention when it is used for management and leadership development to reposition the organization strategically or culturally or to train employees around a total quality implementation that changes how groups interact, problems are solved, and quality is ensured. What types of training have you experienced? Would you classify them as OD?

Coaching

A third individual OD intervention is coaching. Coaching aims to identify and improve dysfunctional behaviors that prevent employees from having productive relationships in the organization (Corbett & Colemon, 2006). Just as the other individual interventions pro�iled here, coaching is not OD unless it is tied to a broader organization change effort. So when coaching is used for an individual who has very nonproductive behaviors that negatively affect the work team, that is not OD. Coaching becomes an OD intervention when the organization commits to a strategy such as participative management and provides it to all managers to help them make a cultural and leadership shift.

Individual Responses to Change

This section has pro�iled three individual change interventions and shown when they become OD. Whenever we are tasked to change, we experience a range of emotions and responses, including resistance and coping (Anderson, 2012). Hall and Hord (1984, 2011) developed a model to illustrate the concerns individuals have when experiencing change. According to their model, people experience a hierarchy of concerns. Each stage of concern must be resolved before a person can move to the next stage of implementing change.

JLP/Jose L. Pelaez/Corbis Effectively responding to change involves addressing employee concerns throughout the process.

Hall and Hord’s (2011) model (see Table 2.2) identi�ies seven stages of concern (numbered from 0 to 6) associated with implementing change. Stage 0 is unconcerned. If you are unaware of an impending change, you will not have any apprehension about it. So the model only becomes relevant once there is awareness of change. The �irst two levels of the model relate to how the change will affect the self. If we become aware that a new software program is being implemented, usually the �irst thing we want to know is “What is it?” With this inquiry we move into Stage 1, learning information about the change. Stage 2 relates to personal concerns. Now that we have more information about the change, we begin to wonder, “How will it affect me?” Next, in Stage 3 we become concerned about the task or management of the change. “Will I have time to do this?” “Will this slow down my work?”

The next three stages pertain to the impact of the change. Stage 4 concerns are about the consequences of the change on other people in the

system. We wonder, “How will this new software affect work �low, scheduling, customer service, and response time?” Once these concerns are resolved, we are ready to move on to Stage 5, collaboration. At this point, most of our self and task concerns have been resolved, and we begin integrating the change into our daily lives. Collaboration involves working with colleagues on how to integrate the change. We might ask, “How can we work together to use this new software to improve scheduling?”

Finally, we are ready for Stage 6, refocusing. This level of concern is aimed toward building on the change and perhaps improving it or moving on to new issues. You might hear, “Now that the software has so revolutionized scheduling, what other processes can we automate?”

Table 2.2: Hall and Hord’s stages of concern model

Concern clusters

Stage number

Stage of concern

Impact 6 Refocusing

You focus on exploring more universal bene�its from the change, including the possibility of major changes or replacement with a more powerful alternative. You have de�inite ideas about alternatives to the proposed or existing form of the change.

5 Collaboration

You focus on coordination and cooperation with others regarding the change.

4 Consequence

You focus on the impact of the change on others within their immediate sphere of in�luence. Concerns relate to the relevance of the change for employees, evaluation of outcomes, and changes needed to improve outcomes.

Task 3 Management

You focus on the processes and tasks of using the change and the best use of information and resources. Issues related to ef�iciency, organizing, managing, scheduling, and time demands are utmost.

Concern clusters

Stage number

Stage of concern

Self 2 Personal

You feel uncertain about the demands of the change, your adequacy to meet those demands, and your role with the change. You may be questioning the change and your role as it relates to rewards, organization structure, and decision making. You might consider potential con�licts with existing structures or personal commitment. Financial or status implications of the program for yourself and colleagues may also be re�lected.

1 Informational

You are generally aware of the change and interested in learning more about it. You are not worried about yourself in relation to the change, but rather curious about the change characteristics, effects, and requirements for use.

Unrelated 0 Awareness

Little concern about or involvement with the change is indicated.

Source: Adapted from Hall & Hord, 2011.

Group or Team Change

Chapter 1 established that groups and teams do the primary work of the organization. When the change implemented involves activities related to action learning, team building, or network formation, it is a group or team change. Groups are very important because they (a) create the context for which individuals experience the organization, (b) represent the interface between the individual and the organization, (c) bound the primary social relationships people experience in the organization, and (d) determine employees’ perceptions of the organization (Burke, 2014).

Consider, for example, that you are on the board of a nonpro�it organization. The board—which is �iscally and strategically responsible for the organization—creates the context (leadership) and the relationships you experience with the other board members, volunteers, donors, and bene�iciaries of the nonpro�it’s program. The social experiences in the organization range from business meetings to fund-raisers, and these experiences determine how members perceive the foundation—which is likely different for each member.

Distinct types of group or team OD initiatives include action learning, team building, and networks.

Action Learning

Chapter 1 de�ined a learning organization as a strategic commitment and infrastructure to capture and share learning to improve the organization. A common way to achieve this culture is to apply a cycle of re�lection and action on problems that plague groups and teams. This is known as action learning.

Action learning is a process of addressing the team’s real problems, in real time, in the real workplace. So if the team experiences interpersonal con�lict, rather than send members to an off-site training on con�lict resolution, an action learning approach would engage members in re�lection and dialogue about the con�lict, much like a T-group. A course of action would be decided collectively (for instance, to follow ground rules during meetings or avoid taking things personally). The new action would be tried for a time, and then the team would reconvene to re�lect on how it

©Zero Creatives/Image Source/Corbis Effective teams have clear goals and priorities.

worked and commit to new action. The process is ongoing and helps build a culture of learning within the organization.

Team Building

Since groups and teams are so fundamental to achieving the work and goals of an organization, it is desirable for them to function at a high level, set goals, have clear norms and roles, and build strong interpersonal relationships. Activities to enhance team functioning are known as team building. Team building serves four purposes:

1. to establish goals or priorities; 2. to determine roles and responsibilities; 3. to examine group process (norms, decision making,

communications); and 4. to examine interpersonal relations (Beckhard, 1972).

Beckhard (1972) viewed this listing of purposes as hierarchical. For instance, if goals are not clear, there will be problems in the succeeding three areas (roles and responsibilities, group process, and interpersonal relations). A common mistake in team building is to assume that interpersonal relations need intervention, when they can usually be addressed by the �irst three purposes. Team building is an OD intervention when the work of the team supports making an organizat-ion change.

Network Formation

Groups of employees that band together to support one another are known as a network, in-company network, or af�inity group. It is common for groups that share gender, race, or sexual orientation to assemble to strategize and collectively represent group interests. These networks form in order to serve as a collective voice, raise awareness about their issues, and create mutual support. Network formation is OD when it is linked to an organization strategy such as becoming more diverse and inclusive.

Group or Team Responses to Change

The more that work units in the organization are involved in helping to plan and implement change, the more they are likely to embrace rather than resist the organization change. Resistance by organizational groups, on the other hand, can take at least four forms. (Burke, 2014, pp. 120–121)

These four forms include:

1. Turf protection and competition: Different groups become secretive, are unwilling to share information and resources with other groups, and compete for things like budgets, the best employees, and so forth.

2. Closing ranks: A group will close in on itself and refuse to work with others or join ranks with other groups. 3. Changing allegiances or ownership: A group may seek to separate from the organization as a means of

avoiding change. 4. The demand for new leadership: At times the change situation may warrant a new leader. Just as often,

though, calls for new leadership are a diversion tactic to attempt to put off change.

Helping groups cope with change is similar to helping individuals, as discussed in the stages of concern model. Most people have concerns that must be addressed before they can fully embrace the change. Additionally, the group will bene�it by closure activities such as conducting a “funeral” for past ways of operating and then celebrating the new change. It is also productive to provide a platform for people to share their feelings about the change. It can be useful

to take the group to an off-site location to engage in problem solving related to change implementation. Creating new group compositions may also be helpful and even necessary for the group to transition successfully through a change process (Burke, 2014).

Organization or System Change

Change rarely begins at the organization or system level, especially if the organization is large (Burke, 2014). Instead, organization or system change typically originates with individuals and groups or teams around training or strategic plans that incorporate change. Alternatively, change may begin within a subsystem of the organization. For example, one division may try new practices in a manufacturing process and, if successful, promote the change to other divisions.

OD consultants may also intend change to be rolled out to the organization, but usually large changes are piloted with small groups �irst and then extended across the organization. For example, a mentoring program might be piloted with a certain group of employees, modi�ied, and then expanded.

Organization or system change can also involve multiple interventions that would be implemented gradually. For example, a change to increase the diversity and inclusion of the organization might involve recruitment and retention practices, rewards systems, leadership development, and sensitivity training.

OD is key to successful organization or system change because it provides a planned process to implement the change as well as a value system geared toward employees’ participation and involvement, which helps support the change. Three examples of organization- or system-level change include survey feedback, large-scale interventions, and mergers and acquisitions.

Survey Feedback

As discussed in Chapter 1, survey feedback is an organization- or system-level change in which members of the entire organization are surveyed about the climate, the management, and their overall satisfaction. This information is then analyzed, and the results are shared with employees in a series of feedback meetings. During these, the results are processed and a set of action items are determined. This type of intervention impacts the organization as a whole in multiple ways and is effective when trying to improve or change the culture. It was one of the earliest OD interventions and is widely used today to provide data to justify change.

Large-Scale Interventions

Imagine a company bringing its top 100 executives together to examine its mission. This type of activity is known as a large-scale intervention and entails assembling a strategically important, large group within the organization to problem solve, plan strategy, or revise mission statements. These types of interventions have also been used by the entire organization to create shared vision in a collaborative, participative manner. Conducting a large-scale intervention requires careful planning and attention to logistics, but it can be very impactful for activating change.

Mergers and Acquisitions

Much system-level change occurs as a result of mergers and acquisitions, when the organization is forced to make changes to integrate separate cultures. Companies merge when it becomes advantageous to share resources and �ind cost-effective ways to operate. Yet smoothly merging two separate organizations is dif�icult. These types of interventions often fail when employees do not understand the organization’s goals. They also suffer when power and expertise imbalances prevail, there is a lack of realistic understanding about the success of the merger and a lack of perceived equity, and there are no contingency plans (Burke, 2014).

Sean De Burca/Corbis The ability to clearly communicate changing operating procedures is crucial to overcoming employees’ resistance to change.

Organization or System Responses to Change

Burke (2014) identi�ies �ive ways organizations or systems resist change and offers suggestions to combat them. First, the organization’s effort to revolutionize may devolve to evolution. This means that the ambitious efforts to change, perhaps by merging businesses or entering new markets, result in the adoption of a few changes, but the original culture remains intact. Such an outcome can be prevented by involving affected employees at the beginning of the process so they have input and a sense of ownership, and understand the reasons for the change.

A second response is when the organization fails to develop a sense of urgency to change. People resist by questioning, “Why change?” Or they adopt an attitude of, “If it ain’t broke, don’t �ix it.” Employees may lack motivation or be skeptical of the change. Such responses can be avoided if the organization achieves closure on the previous ways of operating. For example, a session that identi�ies the old operating procedure’s challenges may help those affected see the advantages of shifting to a new procedure. In addition, management needs to make a compelling case for change and ensure that organization members are actively involved in making the change.

A third way organizations resist change is when their employees assume they have “been there, done that” and chalk up the change effort to another attempt to do the same old thing. To prevent this resistance, leaders need to show how this change effort is different and why there is a compelling need for it. They also need to demonstrate that the organization is committed to making the change over the long term.

A fourth way organization members may respond to change is by creating diversionary tactics that demand resources and time that would have otherwise been devoted to the change. People might also complain about the change’s timing or that they lack the resources to implement it. This form of resistance requires management to pay attention to and defuse or redirect efforts that divert individuals, groups, and the organization from fully implementing the change. Ensuring the ready availability of resources necessary to implement the change also helps avoid this type of resistance.

Fifth and �inally, organizational resistance to change can take the form of refusing to follow the leader. This usually involves employee collusion. These behaviors require leadership to be steadfast in its commitment to the change and set clear expectations around supporting it across the organization. Saboteurs must also be dealt with swiftly and strictly (job changes, retirements, or severance).

Take Away 2.3: Levels of Change

Organization change generally occurs on one of three levels: individual, group or team, or organization or system. Examples of individual change include staf�ing and talent management, training and development, and coaching. Individuals more readily accept change when their concerns about how the change will personally affect them are addressed. Examples of group and team change include action learning, team building, and network formation. A key to helping teams and groups embrace change is to have them participate in its planning and implementation. Examples of organization and system change include survey feedback, large-scale change, and mergers and acquisitions. Change at the organization or system level is the most complex, and

several forms of resistance can occur during implementation. Management and OD consultants need to pay close attention and intervene quickly when organization change begins to derail.

2.4 Models of Change

This section introduces �ive models by which OD practitioners promote lasting, effective organization change.

Lewin’s 3-Step Change Model and Field Theory

Lewin, regarded as “the intellectual father of contemporary theories of applied behavioral science” (Schein, 1988a, p. 239) made signi�icant contributions to what is known today as OD, including originating the �ield of group dynamics and creating action research. He also designed a 3-step model for creating successful change and invented �ield theory—a process of mapping change.

Lewin’s 3-Step Model

Lewin’s (1947) 3-step model of system change (Figure 2.2) depicts change as an ongoing, �luid process of unfreezing, moving, and refreezing.

Unfreezing is a stage in which people become aware of a need to change and wish to create a change. One might think of it as a releasing from the way things were. Unfreezing may occur due to a crisis, learning, or feedback. For example, if Jill suffers a heart attack (crisis) she becomes aware of the need to change her lifestyle. If Morrie receives negative feedback about his performance, he becomes aware of a need to improve it.

Figure 2.2: Lewin’s 3-step model of change

This �igure shows Lewin’s change model, which goes through the steps of unfreezing (recognizing the need for change), moving (taking action to change), and refreezing (permanently incorporating the change).

The stage in which one takes action to change the system is known as moving. Moving involves both initiating interventions and providing support to implement them. Returning to the example of the heart attack, Jill might enroll in a cardiac rehabilitation program. An organization team might decide to improve its meeting effectiveness and commit to learning new methods and taking roles to make this change. Moving represents the actual process of changing.

After moving, an organization needs to reinforce the change and ensure its permanence. This step is known as refreezing. Just as �itness gained in a cardiac rehabilitation program needs to be reinforced with daily exercise and healthy eating, the organization team that adopts improved meeting management must continue practicing its new procedures and sharing them with other groups. Changes fail when they lack infrastructure to support the movement that has occurred; in this case, conditions are likely to return to the pre-unfreezing state.

Field Theory

Lewin viewed change as a complex activity mired in social context that created tension between initiating the change and resisting the change. Lewin called the group environment a “�ield,” noting that individual behavior was a function of it. Changes in behavior stem from changes in the �ield. Lewin (1943) noted, “One should view the present situation—the status quo—as being maintained by certain conditions or forces” (p. 172). These forces function either to restrain change—and thus reinforce the status quo—or to drive change. Think about a change you have experienced at work. What were the forces preventing change? What forces facilitated it?

Restraining and driving forces affect both individual behavior and group structure. These forces can be depicted in a diagram known as force �ield analysis. Both driving and restraining forces impact a change effort. Creating a force �ield analysis helps illustrate how to maximize forces driving the change and minimize the forces restraining the change.

Case Study: Implementing Team Change

“Meetings, meetings, meetings!” Alex mutters as he looks at his calendar for the week. “We need to do something to have fewer, more productive ones if we want to meet our production goals.”

His colleague, Dave, hears Alex’s lament and strolls over to his cubicle. “Alex, I feel your pain. I was just reading a book about improved meetings and think there are some things we can do to improve here. Plus, I know that Julie, over in OD, has some tools to help us.”

Dave gives Alex a copy of his book, which Alex reads as he waits for his �irst meeting of the day—which, like most, starts late. He runs into Julie on his way to his next meeting. “Hey, what are you reading?” she asks.

“Oh, I’m fed up with nonproductive meetings and want to do something about it,” Alex answers. “I hear you know some strategies. Can you help?”

Julie, Alex, and Dave meet the next week, and she gives them a tutorial with some key things they can immediately do to improve their group meetings. Dave and Alex decide to invite Julie to their next team meeting to introduce some ideas.

The entire group suffers from meeting fatigue, and thus are skeptical when they hear that yet another meeting is scheduled. However, most group members remain optimistic that a �ix might be available. After Julie presents some options, the group reaches consensus on some things they can try to improve their meetings. They agree to make changes in how they create agendas, assign roles, record tasks and decisions, and evaluate their process. The team realizes its new meeting agenda is a learning curve but likely worth it in the long run.

After some practice, trial and error, and adjustments, the team meetings become shorter, more productive, and more engaging, since the agendas are thought out in advance, everyone is more engaged as they take on roles, and people are more organized about recording action items and holding each other accountable. The team members feel they are on to something, although staying on track requires discipline, since it is easy to slip back into their old mode of meetings.

The team members also meet resistance when they invite non-team members into their meetings. This resistance includes remarks like, “What are you doing?” or “My, aren’t you all getting a bit formal here?” Still, the team members persist with their new changes. Other departments take notice when team members begin pressuring other company employees to improve their meetings by being more action oriented or by adopting roles.

After about a month of trying, the team members meet to assess how their change implementation is going. They create a force �ield analysis to evaluate their progress to date (Figure 2.3).

Figure 2.3: Lewin's force �ield analysis

This �igure shows how Lewin's force �ield analysis would be used to evaluate a team's progress to date.

Schein’s Modi�ied 3-Step Change Model

Schein (1987) elaborated on Lewin’s 3-step model by adding “how to’s” and further detail to make it more comprehensive. Moreover, Schein observed that the stages occur rapidly and may overlap, making them dif�icult to accurately identify.

Stage 1: Unfreezing

At Stage 1, Schein (1987) identi�ied three ways unfreezing happens: (a) discon�irmation or lack of con�irmation, (b) guilt or anxiety about the problem situation, and (c) creation of psychological safety to make the change.

First, motivation and readiness to change may arise via discon�irmation or lack of con�irmation. Employees embrace change when they perceive a need for it. This perception of need can be prompted by discon�irmation; for instance, a manager’s perception of her leadership might be contradicted by critical feedback from an employee survey. Lack of con�irmation—for instance, the lack of evidence for a manager’s belief in his leadership abilities—may also motivate a change.

Second, guilt or anxiety may drive change. Individuals who eat an unhealthy diet or fail to exercise may harbor guilt about their lifestyle because it contradicts their health goals or self-image. Anxiety over anticipated health consequences (obesity, heart disease, etc.) may motivate change. Or a manager may feel guilty for being autocratic and commit to being more participative.

Third, Schein observed that neither discon�irmation nor induction of guilt is enough to motivate change. The creation of psychological safety is key to unfreezing. Psychological safety means that making the change will not humiliate others or diminish their self-esteem. OD practitioners ease this stage by helping those experiencing change save face and feel safe. This means helping individuals make health changes by �inding an exercise group in which they do not feel self-conscious or pointing out a manager’s skills while also helping him see the need for and bene�its of change.

Stage 2: Moving

Schein modi�ied stage 2, moving, by incorporating two processes: (a) identifying with new role models; and (b) environmental scanning. When we identify with a new role model, boss, coach, or consultant, we develop new views and perspectives. OD practitioners help clients surface their own perspectives and learn to appreciate those of others. This might involve helping the heart attack survivor connect with other survivors who have successfully adopted new health behaviors or connecting the manager with a coach who can provide feedback and perspectives from others on the manager’s performance.

Scrutinizing surroundings to learn what other leaders or organizations are doing is known as environmental scanning. This process can propel us toward change as we learn new strategies for achieving our goals. The heart attack survivor might read health-related magazines or journals or join a support group to learn what other survivors are doing. The manager might attend conferences, read management literature, follow management links on social media, or observe other successful managers and then implement the best practices discovered.

Stage 3: Refreezing

Recall that, in refreezing, people solidify the change and integrate it into permanent practice. Refreezing is where changes get integrated into one’s self-concept and understood by others. The process involves incorporating new behaviors, habits, and thinking into our repertoire, whether in life or work. The refreezing process shares similarities with transformative change and usually relies on support and feedback from family members or work colleagues. Refreezing requires patience because it may require practice with new ideas and time for roles and behaviors to stick. This is also an important phase for feedback so adjustments can be made if the change permanence appears at risk. As Schein noted, the rapidity and overlapping of the three stages can make them challenging to distinguish. There may be shifting between refreezing and the prior two stages until the change becomes permanent.

These changes can be personal, as in the case of the heart attack survivor, or professional, as in the case of the manager. Integrating change is never easy, and some experts suggest it takes an average of 66 days before new behavior begins to feel natural (Lally, van Jaarsveld, Potts, & Wardle, 2010).

Lippitt, Watson, and Westley’s Change Model

Lippitt, Watson, and Westley (1958) expanded Lewin’s 3 steps to 5 steps and shifted the terminology from step to phases. The phases are:

1. Developing a need for change (Lewin’s unfreezing) 2. Establishing a change relationship 3. Working toward change (moving) 4. Generalizing and stabilizing change (refreezing) 5. Achieving a terminal relationship

This model assumes the role of a change agent, an individual who acts as a catalyst for the change and has in�luence over the process. Phase 1, development of a need for change, is prompted in one of three ways:

1. A change agent creates awareness of a problem or need for change. For example, a new leader seeks to change the culture.

2. A third party sees a need for change and brings it to the change agent. For example, a customer raises a quality complaint.

3. The client system becomes aware of a problem, such as declining revenues and shifting markets, and seeks the help of a consultant to respond to the problem.

Phase 2, establishing a change relationship, focuses on creating collaboration between the change agent and the client system. This is usually when an OD consultant enters the picture. In the case of the new leader aiming to change the culture, a consultant might help the leader engage with other managers to create a collective vision for the new culture.

In phase 3, working toward change, Lippitt and colleagues (1958) suggest three subphases that involve (a) clarifying or diagnosing the client’s problem via data collection and analysis, (b) examining alternatives for addressing the issue, and (c) transforming intentions into actual change efforts, or implementation. These steps are similar to the steps of action research.

The fourth phase, refreezing, involves spreading the change to other parts of the organization and creating infrastructure to reinforce the change. This phase is most effective when affected parties are involved in planning and implementing the change.

In the �ifth phase, termination, Lippitt and colleagues (1958) advocate ending the relationship between the client and consultant once the client can independently maintain the change. The client system becomes capable of problem solving, taking measures to maintain the changes, and refreezing.

Bridges’s Transitions Model

In his books Transitions (1980) and Managing Transitions: Making the Most of Change (2003), Bridges points out that people often erroneously equate change with beginnings, but it is really about endings. “It isn’t the changes that do you in, it’s the transitions. . . . Change is situational. . . . Transition, on the other hand, is psychological” (Bridges, 2003, p. 3). People get stuck hanging on to the end and therefore cannot move toward change. Bridges (1980) explains, “We have to let go of the old thing before we can pick up the new—not just outwardly, but inwardly, where we keep our connections to the people and places that act as de�initions of who we are” (p. 11).

Benetton: A Case Study in Failed Transition

Bridges (2003) recounts the story of Benetton, a large Italian clothing �irm that planned to diversify its business in 1999. It spent almost $1 billion acquiring some top sporting goods companies (Nordica, Kästle, Rollerblade, Prince, and Killer Loop) with the idea that it could cross-market these goods with the workout and postworkout Benetton clothing line. The �irm erroneously assumed that all of the acquired companies would relish becoming part of an international brand, and it combined sales forces and marketing groups at a new headquarters in New Jersey.

What Benetton did not consider was what drew people to work in the sporting goods businesses in the �irst place— their love of the sport. The only way Benetton could lure the Rollerblade workers to New Jersey from Minnesota, for example, was by offering them raises, promotions, and a promise that if things did not work out, the �irm would move them back to Minnesota. The Rollerblade staff members were accustomed to spending their lunch hours skating in local parks near the headquarters. They found themselves in New Jersey, suddenly reporting to Nordica representatives and missing their easygoing natural environment to test in-line skates just outside the door. Soon 21 of the Rollerblade employees elected to move back to Minnesota.

The transition was managed badly, and Benetton went from making a pro�it of $5 million to posting a $31 million loss. What went wrong? Bridges (2003) explains this transition went badly because Benetton failed to help its workers navigate three phases:

1. The company did not provide a way for employees to let go of their old ways and identities. There was a blunt ending.

2. There was no support for navigating the in-between time when the old sporting goods company vanished but the new organization was not fully implemented. Bridges calls this the neutral zone.

3. There was no clear transition and new beginning that allowed for workers to establish a new identity as a Benetton employee or discover a new beginning and sense of purpose.

Endings

Bridges’s books explore why letting go is so dif�icult. “Endings begin with something going wrong” (Bridges, 1980, p. 109). When people experience an ending, willingly or unwillingly, they usually feel disengaged from activities, relationships, settings, or roles that were previously important. Bridges (1980) explains, “Divorces, deaths, job changes, moves, illnesses, and many lesser events disengage us from the contexts in which we have known ourselves. They break up the old cue-system which served to reinforce our roles and to pattern our behavior” (pp. 95–96). Not only did the workers from the various sporting goods companies get acquired, they also had to relocate, which signaled a very abrupt end to their work and passion for their product.

People may also feel lost when they encounter an ending in ways that shatter how they previously de�ined themselves—or what Bridges (1980) calls disidenti�ication—particularly when endings are vocational, perhaps due to a reorganization or downsizing. Endings can spur an identity crisis until people are more secure in their self- identity following a transition. Identity crises do not just af�lict individuals. Organizations can also lose sight of who they are, as seen in the stories of Blockbuster and Kodak and in the case of the newly merged Benetton. People can also become disenchanted when experiencing an ending: “separated from the old identity and the old situation or some important aspect of it, a person �loats free in a kind of limbo between two worlds” (Bridges, 1980, p. 98).

People can also become disoriented during an ending when they feel lost and confused and are unsure of where to go next. The next time you �ind yourself in transition, allow yourself some time to react to it and remember, you are going through a natural process of dealing with an ending.

Tips and Wisdom

Bridges (2003) offers advice to help people identify their losses during a change:

1. Describe the change in as much detail as possible. 2. Identify as many “domino effect” changes as you can (changes that will be caused by the primary

change). 3. Recognize that a chain reaction of changes is occurring for those affected. Consider who is going to

have to let go of something. 4. Acknowledge that some of the losses are not concrete—rather, they are caught up in values,

assumptions, and identities and our individual understandings of the way things are. 5. Beyond the individual, speci�ic losses may entail something that is over for everyone—perhaps a

chapter in the organization’s history or assumptions about how the employer will take care of its employees. Whatever has ended, Bridges (2009) recommends coming up with a phrase such as “We take care of our people” or “We promote from within” (pp. 25–26) to serve as a mantra going forward.

Beyond identifying who is losing what, Bridges recommends that leaders also accept the reality and importance of the subjective losses, expect overreaction, acknowledge the losses openly and sympathetically, expect and accept the signs of grieving, compensate for the losses, continually share information, de�ine what is over and what is not, mark the endings, treat the past with respect, let people take a piece of the old way with them, and show how endings ensure the continuity of what really matters.

Mikael Damkier/iStock/Thinkstock The neutral zone is that empty period between an ending and a new beginning. You may feel like a �ish out of water as you make this transition.

Neutral Zone

The transitional space in which we often �ind ourselves struggling to compose an ending and move on to the new beginning is what Bridges (1980) calls the neutral zone. He notes that this is an empty time or “fallow period,” especially if the ending did not provide a clear starting point—perhaps when someone experiences an unexpected loss. The newly reorganized and relocated Benetton workers were clearly stuck between the ending and the new, without much support for making a transition. When people are stuck in the neutral zone, they are often grieving the ending of something, rather than the change to something new. For example, the Rollerblade workers missed their skating trails and surroundings.

Sometimes people struggle with a change in health status, a life change such as becoming a new parent, or a job change or relocation as in the case of Benetton. Part of the dif�icultly of these changes is that people want to hang on to the way things were and �ind it very dif�icult to embrace the new. They cannot embrace the new change until they effectively navigate out of this neutral zone. Yet this is problematic because people often do not re�lect on how changes affect their lives. Bridges (1980) identi�ies the following changes that often pose challenges:

1. relationship losses 2. changes in home life 3. personal changes 4. work and �inancial changes 5. inner changes

The neutral zone can be frustrating. It can also be a highly creative time that lends itself to collaboration. It is important for organization members to have people they trust to follow during the neutral zone so they have role models for navigating the change. Assigning temporary roles, groups, and reporting relationships can also ease the neutral zone. Creating transition teams can be an effective strategy to get multiple individuals focused on working through the change.

Assessment: Holmes and Rahe Stress Management Quiz

Take the Holmes and Rahe stress management quiz (http://www.stress-management.net/stress- test.htm (http://www.stress-management.net/stress-test.htm) ) to identify key stressors in your life. These often tend to be within the categories of change identi�ied in Bridges’s model. You can interpret your scores in Table 2.3.

Table 2.3: Hall and Hord’s stages of concern model

Score Chance of illness or accident within 2 years

Below 150 35%

From 150 to 300 51%

More than 300 80%

As evidenced by this quiz, everyone experiences life transitions that cause stress. Realizing that life’s changes create stress helps people learn to recognize and cope with these changes.

Bridges (1980) urges people in the neutral zone of a change or transition to

1. �ind a regular time and place alone to re�lect on the change, 2. log their neutral zone experiences, 3. work on their autobiography, 4. use the time to discover what they really want, 5. think of what would be unlived in life if it ended today, or 6. take a few days to go on their own version of a passage journey.

New Beginning

Finally, the ending has brought a new beginning. After working through the ending and the neutral zone, Bridges recommends taking action to embrace the new change, identify with the change, and tune out fears of the new. Although Bridges writes about transition, Lewin’s in�luence is clear. Unfreezing is comparable to endings when people realize things cannot continue as they were. The neutral zone represents the moving phase when people prepare to embrace a new beginning, where the changes are refrozen. It is natural for people to feel ambivalent about new beginnings. Bridges (2003) recommended that leaders provide the four P’s to help employees start anew: A purpose, a picture, the plan, and a part to play.

Appreciative Inquiry

Change models tend to be de�icit oriented; that is, they look for problems, shortcomings, and ways to minimize negative outcomes. The positive model emerged as an alternative to Lewin’s and other similar change models that were critiqued for their de�icit basis. It was developed by David Cooperrider and colleagues during the 1980s and achieved popularity in the early 2000s. A strengths-based organizational change model, the positive model focuses on what the organization is doing right (Cooperrider & Whitney, 2005; Cooperrider, Whitney, & Stavros, 2008). In doing so, it uses an approach known as appreciative inquiry (AI).

AI is a strengths-based approach that attempts to shift away from the traditional problem-solving mindset that searches for things going wrong. AI is based on the assumption that every organization has things that are working effectively, and it seeks these variables out as the starting point for change (Doggett & Lewis, 2013). AI is more than a positive means to an end. AI attempts to collaboratively promote generative investigation that propels the organization to achieve a future that everyone has helped construct. AI is contrasted with traditional problem solving in Table 2.4.

Table 2.4: Problem solving versus appreciative inquiry

Problem solving Appreciative inquiry

Felt need

Problem identi�ication

Appreciating

Valuing the best of “what is”

Causal analysis Envisioning “what might be”

Problem solving Appreciative inquiry

Analysis of potential solutions Dialoguing about “what should be”

Action planning (treatment) Innovating “what will be”

Underlying belief: Organization is a problem to be solved.

Underlying belief: Organization is a mystery to be embraced.

Source: Adapted from Cooperrider & Srivastva, 1987; Doggett & Lewis, 2013.

AI’s Philosophical Principles

AI has �ive core philosophical principles (Cooperrider, Whitney, & Stavros, 2008; Doggett & Lewis, 2013):

The constructionist principle assumes that self-knowledge and the world are formed through our interactions with each other. Simultaneity is the assumption that inquiry and change are intricately linked and occur instantaneously. The poetic principle posits that organization life comes alive through storytelling. The anticipatory principle features the role of vision in propelling the organization toward a desired future. The positive principle is AI’s focus on the positive as an alternative to traditional problem-solving paradigms for promoting change.

AI’s 4-D Cycle

AI’s 4-D cycle asks a series of questions that make an af�irmative inquiry to help the organization discover, dream, design, and identify its destiny. AI can be done with work groups or teams or with a large, diverse group that is representative of the organization. The AI cycle can take up to 2 months to plan. The initial implementation takes from 3 to 4 days, with several months of further implementation and follow-up once the cycle is completed (Ludema & Fry, 2008). See Table 2.5 for an illustration of how the 4-D cycle works.

Table 2.5: The 4-D appreciative inquiry cycle

AI stage Inquiry

Af�irmative topic of choice (topic around which the inquiry is based, such as positive change initiatives in the organization): appreciating and valuing.

AI stage Inquiry

1. Discovery: Participants share stories and insights about achievements, strengths, values, and competencies.

The organization focuses on appreciating and valuing the best of what already exists. Participants answer questions such as:

What is a high point about working here—when you were most alive and engaged? What is it that you most value about yourself and your work? What is the key thing that gives life to this organization? Imagine the organization 5 years from now with everything the way you had envisioned it would be. What has happened? What is different? How have you contributed to this future?

2. Dream: envisioning The participants create and present a shared vision for how the high points identi�ied in the discovery stage can occur more frequently. Key questions at this step are: “What might our future be?” and “What do we hope to accomplish?”

3. Design: coconstructing a future A phase of earning, empowering, and improvising to sustain a future. The organization develops a formal statement or provocative proposition that expresses the new vision. The vision is described in the past tense to convey a sense that it is already occurring.

4. Destiny: action and Implementation Action plans are created to ensure the new vision is implemented. Priorities are created to actualize the plan.

Source: Adapted from Cooperrider, Whitney, & Stavros, 2008; Doggett & Lewis, 2013; Moore, 2008.

Critique of AI

AI has been critiqued for its Pollyanna-ish stance and failure to acknowledge and address negative issues. The positive approach risks silencing critical voices and maintaining unequal power relations (Doggett & Lewis, 2013; Zandee & Cooperrider, 2008). AI has also been criticized for lacking an emphasis on re�lection at the expense of taking action. Finally, some research has shown that AI practitioners have not adequately or authentically followed its principles and philosophy (Doggett & Lewis, 2013).

In spite of some of its challenges, AI alters the focus of the conversation and can shift a change effort’s focus from the negative to the positive. It can be especially powerful for teams and system-level change and may also help an organization make it through a transition more smoothly.

Take Away 2.4: Models of Change

Just as there are many ways to de�ine change, so too are there several models for describing the process. This chapter pro�iled �ive common change models.

Lewin created the �irst model of change, with three steps of unfreezing, moving, and refreezing. Most change models are a variation of these three stages. Lewin also created �ield theory and developed the force �ield analysis as a tool for evaluating the forces that both drive and restrain change. Schein and Lippit, Watson, and Westley all improved on Lewin’s 3-step model, adding more psychological explanation (Schein) and more steps, points on working on the client relationship, and description (Lippitt, Watson, and Westley). Bridges’s transition model describes why people and organizations tend to get stuck in the midst of change and how to help people successfully navigate the stages of endings, the neutral zone, and beginnings. Appreciative inquiry (AI) was created as a more positive alternative than other change models. Rather than focusing on problems, AI seeks to identify what is working well, rather than on what is not working, and capitalize on it to cocreate a vision of the future.

Summary and Resources

Chapter Summary There are several ways to describe the nature of change in OD, which is the alteration or complete transformation of people, processes, products and places. OD can focus on �irst- or second-order change. First-order change alters the intensity, frequency, or duration of a behavior and is easily reversed. Second-order change radically alters the thinking, behaviors, or processes of the organization in irreversible ways. Developmental change is stimulated when new skills, challenges, or relationships require growth and learning. Transitional change involves making incremental steps toward a desired state over a speci�ied period. Transformational change revolutionizes the thinking and actions of the organization’s members. Change can be operational or strategic. Operational change involves shifts that affect day-to-day functioning or operations. Strategic change involves more revolutionary shifts in tactics to better achieve organization mission and vision. The systems framework for understanding organizations originated with the development of general systems theory, or GST. In keeping with Aristotelian philosophy, it is worth remembering that “the whole is greater than the sum of its parts” when creating and altering systems. Both individual and organization readiness to change can vary as people navigate the many changes presented in their personal and work lives. Organization change generally occurs on one of three levels: individual, group or team, or organization or system. Examples of individual change include staf�ing and talent management, training and development, and coaching. Individuals more readily accept change when their concerns about how the change will personally affect them are addressed. Examples of group and team change include action learning, team building, and network formation. A key to helping teams and groups embrace change is to have them participate in its planning and implementation. Examples of organization and system change include survey feedback, large-scale change, and mergers and acquisitions. Change at the organization or system level is the most complex, and several forms of resistance can occur during implementation. Management and OD consultants need to pay close attention and intervene quickly when organization change begins to derail. Just as there are many ways to de�ine change, so too are there several models to describe the process. This chapter pro�iled �ive common change models. Lewin created the �irst model of change, with three steps of unfreezing, moving, and refreezing. Most change models are a variation of these three stages. Lewin also created �ield theory and developed the force �ield analysis as a tool for evaluating the forces that both drive and restrain change. Schein and Lippit, Watson, and Westley all improved on Lewin’s 3-step model, adding more psychological explanation (Schein) and more steps, points on working on the client relationship, and description (Lippitt and colleagues). Bridges’s transition model describes why people and organizations tend to get stuck in the midst of change and how to help people successfully navigate the stages of endings, the neutral zone, and beginnings. Appreciative inquiry (AI) was created as a more positive alternative than other change models. Rather than focusing on problems, AI seeks to identify what is working well, rather than on what is not working, and capitalize on it to cocreate a vision of the future.

Think About It! Re�lective Exercises to Enhance Your Learning

1. The chapter began with vignettes about failures to change at Blockbuster and Kodak. Re�lect on a personal failure to change or a failure to change that you have witnessed in another organization. What caused the failure? What were the consequences?

2. Re�lect on a change you made successfully. How did it differ from the failure? 3. Re�lect on the endings in your life, recalling Bridges’s (1980) transitions model of change. Bridges

recommends the following exercise (pp. 14–17). a. List all of the endings you recall, tracing all the way back to your childhood.

These endings might include major events such as the loss of a loved one or moving away from your hometown, to things that others might view as minor, such as a friend moving or losing a pet. Endings might be physical, relational, geographical, social, academic, civic, and so forth.

b. Note your reaction to the endings, including your feelings and thoughts. Bridges suggests that your old mindset is likely reactivated in the present whenever something ends in your life. How true is that for you? c. Do you notice a particular style for how you handle endings?

Is it abrupt or aimed at delaying the change? Do you take an active or passive role? How receptive are you to change? How in control of your fate do you tend to feel during change?

d. How does your approach to endings affect your ability to make transitions? 4. Review the �ive change models presented in this chapter. Which one resonates with you? Why?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. View the video links on change and identify the key challenges you think change presents to you and your

organization. 2. Review the results of the What Is Your Own Change Leader Style? and Readiness for Change assessments.

What insights did you gain from these assessments about how you approach change? 3. Create a map of a system you belong to and note its �ive elements (semipermeable boundary, inputs,

throughputs, outputs, and feedback loops). 4. Think about a change you are currently attempting. Perhaps you want to lose weight, keep a journal, or learn

a new skill. Create a force �ield analysis identifying the driving and restraining forces impacting your change efforts. Explain steps you can take to bolster the driving forces and minimize the restraining forces.

5. Recount a change you have experienced (personal, work, or community). You can keep a journal or �ind a family member, friend, or classmate and share your: a. reaction b. learning c. results

6. Conduct an appreciative inquiry on a personal or work issue using the 4-D cycle described in this chapter.

Additional Resources Web Links

Association of Change Management Professionals, a professional organization that offers professional development opportunities in change management.

http://www.acmpglobal.org/ (http://www.acmpglobal.org/)

The Society for Organizational Learning, an excellent resource, particularly for tools related to the systems approach in OD.

http://www.solonline.org/?home (http://www.solonline.org/?home)

Become a certi�ied change manager through the Association for Talent Development:

http://www.astd.org/Education (http://www.astd.org/Education)

5 Books to Help you Build Better Habits and Embrace Change (Fast Company).

http://www.fastcompany.com/3026359/work-smart/5-books-to-help-you-build-better-habits? utm_source=facebook (http://www.fastcompany.com/3026359/work-smart/5-books-to-help-you-build-better-habits? utm_source=facebook)

Key Terms

action learning A process of addressing the real problems of the team, in real time, in the real workplace.

appreciative inquiry (AI) A positive approach to planned change that seeks to identify what is working well, rather than what is not working, and capitalize on it to cocreate a vision of the future.

beginning As de�ined by Bridges (1980), the point at which we become ready to embrace change, after we have brought closure to the ending of the previous way of being and navigated through the neutral zone.

change agent An individual who acts as a catalyst for the change and has in�luence over the process.

developmental change A change associated with the growth and learning people acquire through experiences and formal education or training.

ending As de�ined by Bridges (1980), the “beginning” point for change; the cessation of a prior way of being that marks the start of a change process or transition.

environmental scanning The scrutinizing of the world for information to understand what others (competitors, innovators) are doing to learn ideas that might help predict the future.

�irst-order change A gradual or incremental change that usually involves making moderate adjustments to existing procedures and practices. First-order change essentially tweaks what is already being done and is easily reversed.

force �ield analysis A tool to depict the variables that both support or drive the change and those that restrain or prevent it.

group or team change Change processes involving two or more people and often the site of OD interventions.

individual change Change processes involving a single person.

inputs The raw materials that are entered into a system for throughput and output.

large-scale intervention

Processes involving strategically selected groups in organizations, such as the top executives, to implement change.

network A group based on af�inity or similarity that is usually disenfranchised in some way in the organization and bands together for collective voice and action.

neutral zone As de�ined by Bridges (1980), the fallow, lost space people �ind themselves in after an ending and before the beginning of a new change.

operational change Change that occurs when organizations make shifts that affect day-to-day functioning or operations of the organization.

organization or system change Alteration of the entire organization or system. This is the most dif�icult level of change.

outputs The products of a systems approach in which a series of inputs are put through the system to emerge as products or services.

refreezing The process of cementing change and ensuring it is stable and maintained.

second-order change A type of change that signi�icantly and irreversibly alters thinking, behaviors, or processes.

system Viewing the organization as an interconnected network of parts that are interdependent.

team building The practice of helping work groups develop effective working relationships, processes, and procedures.

throughputs The transformation of system inputs (raw materials and resources) into outputs (goods and services).

transformational change A change that revolutionizes the organization and the ways its members think and act.

transitional change Incremental steps toward a desired state over a speci�ied period.

unfreezing The process of becoming aware of the need to change and building the desire to create change.

3 The OD Consultant

Digital Vision/Thinkstock

Learning Objectives

After reading this chapter, you should be able to:

De�ine consultants and clients.

Describe the types, roles, and styles of OD consultants.

Identify the competencies of consultants.

Outline the elements of a good consulting contract.

The employees of the QuickCo shipping department are at each other’s throats. The department’s 10 employees have always worked long hours striving to �ill customer orders on time. But over the past year or so, the workload has

Cameron Whitman/iStock/Thinkstock Work on the QuickCo shipping dock was disrupted by interpersonal con�licts.

increased and the pressure to keep up has become incessant. The employees have strong personalities, and as multiple orders start backing up, their stress levels rise, their tempers �lare, and they say disrespectful things. People are on edge, interpersonal con�licts have developed, and no one seems very happy.

The supervisor of the department, Ned, is an easygoing guy who has taken a laid-back approach to the mounting stress levels and con�licts. His mantra is “Let’s not get emotional here. We’ve got work to do, so let’s get back to it.” Ned’s avoidance strategy is not helpful. The festering discontent and con�licts are reducing the department’s ability to ship accurate orders on time. Absen-teeism is up, morale is down, and people do not communicate with or help each other as they used to. When problems arise, no one speaks up because of the bad feelings that have developed and the resignation that Ned will not do anything about it anyway. So resen-tment builds.

Ned is feeling pressure from other departments as customers’ complaints about inaccurate and late orders mount. The manufacturing manager, Sarah, calls the shipping department supervisor into a meeting.

“Ned, your department’s performance for accurate, on-time delivery is plummeting,” Sarah says. “I looked back at the order procurement for the past year and your trend has been steadily downward. The past quarter is even worse. Customer complaints are rising, and other department heads are complaining. What is going on here?”

Ned replies, “We work like crazy, Sarah, but no one is working together. We are busier than normal but should have the staff to get the work done. There are long-simmering interpersonal con�licts and we aren’t working together like we used to. I keep telling everyone to get over it and get the job done, but no one seems to be listening.”

“It sounds like you need some help to get to the bottom of this problem,” says Sarah. “Let’s go see Jack in OD.”

Ned and Sarah set up a meeting with Jack. Although he has heard about the con�licts in the department, during their �irst meeting, Jack asks a lot of questions until he has a good idea of what is going on. Jack asks Ned point-blank, “What are you doing or not doing that might be contributing to the problem?”

Ned acknowledges, “I don’t have the patience or time for con�lict and just want everyone to get along and do the work.”

Jack then asks, “Are you willing to do the work to �ix this, even if it means that you might have to change or be more hands-on with con�lict resolution?”

Ned replies, “I won’t like it, but we have to do something. I’m in.”

Jack also asks Sarah if she will back Ned up on addressing this change. Once the two of them agree, Jack emphasizes, “I can work with you, providing we have an equal partnership. We all need to share the responsibility for diagnosing the problem and taking the necessary action to solve it.”

The three agree to work together on �inding a solution to the interpersonal con�licts and productivity issues in the shipping department. Before making an intervention, Jack wants to gather data, so he reviews the performance trends and customer complaints and interviews the members of the department individually. Once Jack has completed his data collection and analysis, he sets up another meeting with Ned and Sarah.

“Ned and Sarah, you have a dysfunctional team on your hands,” Jack says. “They have no ground rules, collaboration, or means of handling con�lict. Everyone needs to be more understanding and respectful toward each other. It would also be helpful to create some guidelines for how the team wants to operate and manage con�lict. Ned, you also need to take a more active role in resolving issues.”

Jack presents a few options to Ned and Sarah, and they settle on taking the group through a facilitated process to address communication and team effectiveness. They also agree that Ned could use some individualized executive coaching to help him learn behaviors that would be more productive for dealing with con�lict. They set up a time to make the intervention. To prepare, they have all of the department members take a behavioral-styles inventory so the team has data on individual differences. They then schedule a meeting at which they will share the inventory results and their interpretation.

As the meeting begins, everyone is tentative, their arms crossed. Ned kicks off the meeting by thanking everyone for their hard work and acknowledging that there are problems. He emphasizes that everyone has participated in creating the problems and that everyone must help solve them. He also admits his own role in the problems and reveals that he is working on improving his managerial skills to be more effective. Ned has everyone’s attention. Then Jack delves into presenting and interpreting the results of the inventory everyone has taken. The group becomes animated and even seems to enjoy sharing the differences among one another. The ice is broken, and people start to let their guards down a bit.

The group takes a break, and next the agenda shifts to more serious issues. The group spends some time identifying strengths and weaknesses of the team and lists things that would make the team more effective. By the end of the session, the team has come up with a tangible plan about how to be more effective and what speci�ic actions team members will take with each other. People are talking again and have agreed not to suffer in silence when they become upset.

Everyone goes back to work and tries to apply the new standards for team interaction. Jack works with Ned to make sure the agreements from the meeting are upheld. Ned also continues to work with his coach to change his behavior, and becomes more proactive and sensitive to con�licts when they arise. Jack also keeps in touch with Sarah to make sure she is supporting Ned’s efforts and getting the results she needed for departmental improvement.

The intervention has a dramatic effect: The percentage of orders shipped on time increases quickly, and customer complaints plummet. Why? Because all of the stakeholders were involved in a process that

1. created mutual understanding and insight about member differences and similarities, 2. jointly articulated the problems, 3. collectively devised a plan for dealing with them, and 4. was visibly supported by management.

As discussed in Chapter 1, participative activities usually result in buy-in because people want a say in things that affect their work lives. Although there will still be challenges as the group relearns how to function together, Ned, Sarah, and Jack facilitated an OD intervention that was collaborative, data based, and problem focused. The ability of Ned and the shipping department employees to resolve future con�licts will be the true test of whether the intervention was successful and helped the department build new capacity for dealing with problems.

The success realized by the QuickCo shipping department was due in part to the work of the OD consultant, Jack, who helped Ned and his team identify and address their problems in a way that was relevant, timely, and respectful. This chapter is about the OD consultant, the different types, roles, and styles of consultants, their competencies and skills, and the contracting process consultants engage in when working with clients.

3.1 De�ining Consultants and Clients

Chapters 1 and 2 introduced organization development and change. This chapter focuses on the people who practice OD, generally known as consultants. In Chapter 1 we de�ined an OD consultant as a person who practices OD. This person may be an internal employee or external to the organization. We de�ined an OD consultant as a practitioner of OD who has specialized knowledge of the action research process and facilitation skills to lead organizations through planned change. In reality, the terms practitioner and consultant are used synonymously in OD.

Who Invented That? Management Consulting

Arthur D. Little created the �irst management consulting �irm in 1886 at the same time management was also emerging as a �ield of study. At the time, Little focused on technical research and later shifted to management consulting. Frederick Winslow Taylor started an independent consulting practice in Philadelphia in 1893; however, he is better known as the creator of scienti�ic management, or Taylorism (a method of analyzing and synthesizing production work for ef�iciency). The consulting industry did not factor prominently as a resource organizations turned to for help until the late 20th century with the rise of major, global consulting �irms in the 1980s and 1990s. You can learn more about these �irms and their services at http://www.stormscape.com/inspiration /website-lists/consulting-�irms (http://www.stormscape.com/inspiration/website-lists/consulting-�irms) , which lists the 50 major consulting �irms and links to their websites. Forbes has also compiled a listing of the most prestigious consulting �irms, available at http://www.forbes.com/sites/susanadams/2011/08/25/the-most -prestigious- consulting-�irms (http://www.forbes.com/sites/susanadams/2011/08/25/the-most-prestigious-consulting- �irms) .

Consultants Are Helpers, In�luencers, and Persuaders

Consultants are often described as helpers (Lippitt & Lippitt, 1986; Schein, 2011). Schein (2011) comments:

Helping is a basic relationship that moves things forward. We take helping so much for granted in our ordinary daily life that the word itself often comes up only when someone is said to have “not been helpful” in a situation where help was taken for granted. (p. ix)

Think about people who have helped you. What about them made you seek or accept their help? They are likely people who made you feel that they understood you and you could trust them (Schein, 2011). Now think about people who are “unhelpful.” How are they different from helpers? Consulting is about helping—speci�ically about providing “helpful help,” rather than “unhelpful help” (Schein, 2011, p. 1). Simply, consultants specialize in creating understanding and trust with their clients via relationships.

Tips and Wisdom

Consultants generally do not have positional power within an organization, so if they are to in�luence thought and action, they need in�luence. Peter Block (2011), considered a master of OD consulting, explains:

A consultant is a person in a position to have some in�luence over an individual, group, or organization but [who] has no direct power to make changes or implement programs. A manager is someone who has direct responsibility over the action. The moment you take direct responsibility, you are acting as a manager. (p. 2).

Jack, the consultant in the QuickCo vignette, had little power over the shipping department and could not simply march in and give orders. But Jack and Ned were able to collaboratively intervene in a way that addressed the problems, and they developed new insights and skills to help the department handle future issues. Cockman, Evans, and Reynolds (1996) noted that consultants are

people who �ind themselves having to in�luence other people, or advise them about possible courses of action to improve the effectiveness of any aspect of their operations, without any formal authority over them or choosing not to use what authority they have. (p. 3)

Consultants are also persuaders. Although they have little power to implement change, they compensate by developing persuasive skills to promote change with their clients. These skills include prevailing on a person or organization to adopt a course of action through advising, urging, or providing compelling evidence. One example of persuading the client might be using the organization’s own performance data to show information that would motivate change, such as retention statistics, quality performance, or product rankings. A consultant might also persuade a leader to examine and perhaps change leadership style using feedback from employees.

“A consultant is one who provides help, counsel, advice, and support, which implies that such a person is wiser than most people” (Burke, 1992, p. 173). OD wisdom is developed through learning OD theory and process and having the ability to explain it to the client and persuade the organization to change its course.

Consultants Work With Clients

Consultants work for a person, team, or department, any of which can be a client. Block (2011) de�ined a client as anyone who

1. attends the initial OD planning meeting, 2. sets objectives for the project, 3. approves any actions to be taken, 4. receives the report on the results of the consultant’s work, and 5. is signi�icantly impacted by the OD effort.

Consultants seek to accomplish at least three things when working with clients, according to Block (2011). These include establishing a collaborative relationship, solving problems so they stay solved, and ensuring that both the business problem and the relationship with the client are given adequate attention. The QuickCo vignette highlights how these goals can be achieved.

Schein (1997) takes a broader view and distinguished six types of clients:

1. Contact clients: individual(s) who make the initial contact with the consultant to request services, ask a question, or raise an issue.

mediaphotos/iStock/Thinkstock A consultant works with clients to agree on parameters for the consulting agreement.

2. Intermediate clients: individuals or groups participating in data collection, meetings, and activities related to the OD project.

3. Primary clients: individual(s) who ultimately “own” the issue subject to OD consulting. They are also usually the ones who pay the bills or budget for the project.

4. Unwitting clients: members of the organization or system who are impacted by the intervention but not aware of it.

5. Indirect clients: members of the organization who know about and are affected by the OD intervention but are unknown to the consultant.

6. Ultimate clients: the community, wider organization, and other stakeholders affected by the intervention.

When beginning a relationship with a client, a consultant must �irst determine the identity of the primary client. That is why Schein’s typology is helpful. Novice consultants often mistake contact clients for primary clients. Let us say you are a consultant who is called by a department manager to help the organization do strategic planning. The manager was tasked with making the �irst contact because she recommended you as a potential consultant during a management team meeting. Her recommendation was based on some consulting you provided to a nonpro�it organization she belongs to. The person making contact was the contact client because she requested services. The primary client in this case would be the top executive of the organization whose job is to set strategy.

The primary client worked with you to plan a strategic planning process that was inclusive and involved a cross- section of representatives from the business who attended meetings and developed surveys to share with a randomized segment of the organization. These were intermediate clients, who participated in the process in some way. During the process, the employees who did not participate in any way and were not aware a strategic planning process was underway were the unwitting clients. The employees who were aware of the process but did not participate in any way were the indirect clients. Finally, the stakeholders of the organization—such as the community, other company divisions, and suppliers—were the ultimate clients because they were affected in some way by the strategies created.

Burke (2011) de�ined the ultimate client differently. He held that the ultimate client is the behavior in organizations represented by people’s interactions, relationships, and interfaces. He argued that these interactions are representative of the realities of organization life, and thus they were the focus of his consultancy. He focused his OD practice on how the organization manages subordinate relationships: managing up, managing laterally, and managing unit interfaces. Change happens through these relationships, and understanding their related issues and challenges ultimately helps the OD process.

Regardless of the type of client a consultant encounters, it is important to build a trusting relationship. If a client does not trust a consultant, it will be dif�icult for meaningful, impactful OD to occur. Think of someone you trust and note the reasons. Chances are you identi�ied interpersonal attributes such as honesty, dependability, responsibility, respectfulness, and believability. You might have also listed competencies like expertise, experience, or being a recognized authority. These elements help build trust with the client.

Take Away 3.1: De�ining Consultants and Clients

Consultants help, in�luence, and persuade their clients about how to proceed with OD and change, although they have no formal organization power.

There are several different types of clients during a typical OD process, including contact, intermediate, primary, unwitting, indirect, and ultimate. It is imperative that the consultant correctly identify the primary client.

Goodshoot/Thinkstock Some companies choose to retain internal consultants, whereas others hire external consultants on an as- needed basis.

3.2 Types, Roles, and Styles of OD Consultants

Steele (1969) likened OD consultants to detectives, noting the following shared attributes of each:

They have temporary involvement in a system. They focus on data gathering and problem solving. They offer the potential for “dramatics.” They are oriented toward action and excitement. They rely on experts. Their work involves juggling several stimulating cases simultaneously.

Today, Steele’s comparison still rings true as we consider the challenging, exciting work of implementing planned change in organizations. This section begins by distinguishing the two types of consultants—internal and external— introduced in Chapter 1. It then identi�ies a variety of roles of consultants and explores various consultant styles.

Internal and External Consulting

OD consultants can be classi�ied by type according to their relationship with the organization. People act as an internal consultant if they are a permanent member of the organization who facilitates OD, whether or not that is their sole or primary responsibility. For example, an internal consultant might work for the organization as a full- time, permanent employee with a client base of organization members and departments. Some internal OD consultants might have responsibilities that are broader than just OD, such as managing the human resource function or designing and delivering training. Others will be dedicated to providing OD services full time.

If, in contrast, someone has a temporary relationship with the organization and is not an insider or permanent employee, he or she is an external consultant. A consultant may be self-employed or work for a consulting �irm that provides services to a number of organizations and industries. Organizations usually contact external consultants when the needed consulting expertise is not available in-house. An example would be an organization that hires an external diversity expert to develop an inclusive recruitment and retention plan in the event that no one inside the organization has such expertise.

Advantages of Internal and External Consulting

Advantages for the internal consultant include possessing privileged historical and contextual organization knowledge that usually provides deep insight into its problems and challenges. Internal consultants typically have built long-standing, trusting relationships with other organization members.

External consultants also have advantages. Their temporary status gives them more leeway to take risks than internal consultants, and they enjoy higher prestige and ready credibility due to their peripheral, novel status.

Disadvantages of Internal and External Consulting

Internal consultants may be more vulnerable to organization politics; for example, if they are working on an unpopular change initiative, there may be backlash or undermining of them and future projects. They could also be

pressured to divulge con�idential information or take sides when individuals involved in the OD process disagree. Internal consultants are also more likely to be taken for granted since their skill set is readily available for the organization to use. Internal consultants have to live with the OD interventions they create, including maintaining relationships with other organization members who may not like the changes they have helped implement. These realities might cause internal consultants to be more personally invested in an intervention’s success but also more timid about taking necessary risks.

External consultants, on the other hand, have less insight into the organization and are rarely able to see the long- term impact of their efforts. Table 3.1 provides a more exhaustive list of the pros and cons of being internal and external consultants. There are more pros and cons associated with internal consultants.

Table 3.1: Pros and cons of internal and external consulting

Internal consultant pros Internal consultant cons

They have knowledge of the client and organizational problems. They have insight into the organization’s history, politics, and culture. They likely share similar values with the client. They know where to �ind information and resources. They understand the client and can predict reactions and behaviors. They have an established reputation. They have other colleagues internally who might be helpful. They can monitor and evaluate the effectiveness of OD intervention.

They belong to culture they are trying to change (this could also be a pro). Their department’s image might follow them (it helps if it is a good one). Their image might be a liability. Their services might be mandated by the organization. They might have insights they must keep con�idential. They might be challenged by con�identiality issues. They might be part of the problem. They might not be comfortable consulting outside their rank. They might have to confront people with whom they work. They might be discounted as a prophet in their own land. They might fear that giving bad news could adversely affect their advancement prospects.

External consultant pros External consultant cons

Their entry time line is usually short. They are viewed as novel. Their outsider status allows them immediate prestige and credibility. Their capacity to take risks is high. They have a neutral, objective viewpoint on the organization. They do not need to fear repercussions of addressing dif�icult issues or people.

They do not receive ready trust. They have limited knowledge of the client or organization history, culture, and politics.

Block’s Consultant Roles

Block (2011) identi�ied three roles played by consultants. These are the expert, pair-of-hands, and collaborator roles. They apply whether the consultant is internal or external.

Expert Role

©Zak Kendal/cultura/Corbis Collaborative consulting means that the client and consultant meet halfway and share responsibility equally for the OD process.

When clients have a problem and lack the time and interest to deal with it, they often turn to a knowledgeable consultant who serves an expert role by telling them what to do. For example, if two employees are on the warpath with each other, the client might hire a consultant who has expertise in con�lict mediation. Or if an organization wants to administer a survey, it might contract with an expert to conduct it. When consultants play the expert role, clients expect them to provide answers and usually give them authority to �ix the issue.

Pair-of-Hands Role

When a client has a task that needs to be completed and wants someone else to do it, they are seeking a consultant to play the pair-of-hands role. Usually, clients seeking this type of consulting also take little time or interest in the problem at hand. Instead, they hire a consult and tell him or her what to do, such as facilitate a meeting or implement a process.

Neither the expert nor the pair-of-hands role is ideal. A collaborative approach is generally preferred for its mutuality and effectiveness.

Collaborator

When the client and consultant mutually engage in and share responsibility for the OD effort, they are involved in collaborative consulting. The clear bene�it of collaborative consulting is that it helps clients diagnose their own problems and build capacity to become independent of the consultant. When a consultant helps clients learn the OD action research process and build capacity to solve problems and implement change in the future, the consultant has successfully completed a sustainable intervention. In the QuickCo vignette, Jack functioned in this role. See Table 3.2 for additional descriptions of these three types of consulting.

Table 3.2: Comparison of Block’s consulting roles

Expert role Pair-of-hands role Collaborator role

Manager plays inactive role.

Consultant assumes passive role. Consultant and manager are interdependent.

Consultant makes decisions about how to proceed.

Manager decides how to proceed and consultant follows manager’s direction.

Decision making is bilateral.

Consultant controls information and intervention.

Manager selects procedures for data collection and analysis.

Data collection and analysis are joint efforts.

Technical control rests with the consultant.

Control rests with the manager. Control issues become matters for discussion and negotiation.

Collaboration is not required.

Collaboration is not really necessary. Collaboration is considered essential and permeates project.

Expert role Pair-of-hands role Collaborator role

Two-way communication is limited.

Two-way communication is limited. Communication is two-way.

Consultant plans and implements main events.

Manager speci�ies change procedures for the consultant to implement.

Implementation responsibilities are determined by discussion and agreement.

Manager judges after the fact.

Manager evaluates results and judges from a distance.

Manager participates in a joint evaluation with the consultant.

Consultant’s goal is solving immediate problem.

Consultant’s goal is to make the system more effective by the application of specialized knowledge.

Goal is long-term problem solving— ensuring problems stay solved.

Source: Adapted from Block, 1999.

Lippitt and Lippitt’s Continuum of Consulting Roles

In their 1986 book, The Consulting Process in Action, Lippitt and Lippitt observed that consultant behaviors could be characterized as occurring along a continuum from nondirective to directive. To illustrate these ideas, consider a consultant named Miranda. When Miranda sits back and observes the client grappling with and solving a problem without much help, she is being nondirective. Nondirective consulting promotes client buy-in because the client is involved in identifying a problem’s root cause and proposing a solution. The consultant’s nondirective behavior would be to ask the client questions that promote re�lection and problem solving. Consultants in this mode are patient and will wait before taking a more active, forceful role with the client.

When Miranda is more assertive about telling the client what to do or providing answers, her behavior is known as directive. This consulting behavior is appropriate when the client lacks expertise to solve the problem. Whereas nondirective consulting merely provides information to the client and leaves it to the client to act, directive consulting assumes a leadership stance and initiates activities.

Lippitt and Lippitt (1986) identi�ied eight roles of consultants, which they placed along their nondirective–directive continuum as shown in Figure 3.1. They stressed that each of the eight roles can be appropriate to address a range of OD issues, as long as they are negotiated with and agreed on by the client. There is no one-size-�its-all role for OD consultants. The eight roles are described in the next sections, using the example of Miranda to illustrate their speci�ic functions and approaches.

Figure 3.1: Continuum of consulting roles

The eight consulting roles identi�ied by Lippitt and Lippitt are effective across a range of OD issues, but clients and consultants should determine the consultant’s role early in the process.

Source: Gordon L. Lippitt and Ronald Lippitt, from The Consulting Process in Action. Copyright © 1994 John Wiley and Sons, Inc. Reproduced by permission.

Objective Observer

When Miranda patiently waits for clients to discover the answer to their issue independently by creating the time, space, and right questions to bring it to the surface, she takes the role of an objective observer. This is the most nondirective, client-centered role she can take as a consultant.

To assume this role, Miranda must be highly effective at asking questions that help the client re�lect, clarify what is important, and make decisions. She keeps her opinions and ideas to herself and coaches the client toward the right answer. Although she shares feedback with the client based on her observations, she gives the client full responsibility for coming up with actions and implementing them. When being an objective observer works, the client will build con�idence, mastery of the change process, and independence from the consultant.

For example, Miranda might be working with a client named Larry on becoming a more participative leader. She might ask him, “What have you done in the past week to be more participative?” She could also ask follow up- questions that push him to re�lect on the situation and identify possible actions to try in the future, such as, “How is it working for you?” “What is one thing you can do to be more participative next week?”

Process Counselor

When Miranda observes a client engaging in problem-solving processes and offers suggestions for improvement, she is serving as a process counselor. To assume this role, Miranda collaborates with the client to jointly diagnose issues, and the client takes the lead in resolving problems. Her concern here is with the client’s interpersonal and intergroup dynamics that affect the problem-solving process. She would observe the client, collect data on the issue, and provide feedback to help improve client relationships and processes.

Returning to the example of the manager who seeks to become more participative, in this role Miranda would sit with the manager during a staff meeting and observe his behavior. After the meeting ends, she would offer comments on what she saw, such as when she saw him interrupt others, tell people what to do, or too quickly offer solutions without seeking input.

Chaos/Digital Vision/Getty Images A nondirective consultant sits back and lets the client solve the problem.

Fact Finder

Serving the client as a researcher who collects, analyzes, synthesizes, and interprets relevant information is a fact-�inder role. Data collection typically occurs in one of �ive ways: (a) interviews, (b) questionnaires, (c) observations, (d) analysis of records and documents, and (e) tests or surveys. Through fact �inding, a consultant learns about the client’s procedures and challenges and then uses the evidence to propose appropriate interventions.

Continuing with the example of the manager who seeks to become participative, as a researcher, Miranda might decide to conduct a 360- degree evaluation (discussed in detail in Chapter 7) that seeks input from direct reports, peers, supervisors, and other designated organization members. This data would be shared with the client, and steps to address

problems would be identi�ied.

Identi�ier of Alternatives and Linker to Resources

When Miranda helps the client generate alternative solutions to a problem and establish criteria for evaluating the alternatives, her role is to identify alternatives and link to resources. She leaves the �inal decision about the course of action to the client.

Once the manager has data on his participative behavior (or lack thereof), Miranda would identify several resources for continued learning. These might include books, seminars, other individuals the manager might want to emulate or seek mentoring from, or executive coaching. The client then decides on what will work best for him.

Joint Problem Solver

When Miranda works in conjunction with the client to diagnose and solve the problem, taking a major role in de�ining the results, she is a joint problem solver. This function consists of offering multiple interpretations of the problem, helping the client maintain objectivity, isolating problem causes, generating alternative solutions, evaluating alternatives, choosing a solution, and developing an action plan. She may also function as a third-party mediator when con�lict arises during the problem-solving process.

Let us suppose Miranda is consulting with a production team working furiously to meet a time line to introduce a new product line. There is a lot of con�lict in the group over roles, decision making, and best practices. Miranda has been brought in to help the team meet its goal within the time frame, quality speci�ications, and budget. Her actions as a consultant might be to mediate con�lict between warring members. She might also help them identify key problems in their process and possible ways to solve them.

Trainer-Educator

When Miranda organizes learning and development activities to address the client’s problem, she serves the trainer–educator role. Most OD consultants have formal training and experience in learning and development. A caution with this role is that training is often not the most effective intervention to prescribe. It can be costly and time-consuming, and when incorrectly prescribed, the organization’s problems will persist, and both organization morale and a consultant’s credibility will suffer.

Jon Feingersh/Blend Images/Getty Images Directive consultants actively engage in the OD process, using a more hands-on, assertive approach.

Continuing Miranda’s work with the production team, it becomes obvious that the team would bene�it from more formalized learning around con�lict management and project management. She organizes a daylong seminar to help the team learn about these issues.

Information Specialist

When Miranda provides expert knowledge, information, or answers to the client’s dilemmas, she is serving as an information specialist. Although there are times when a consultant’s expertise is needed, functioning primarily in this role can create client dependency and foster an inability to independently problem solve. Serving in this role also makes it more dif�icult to strike a collaborative relationship with the client.

For example, Miranda might decide to give the team some handouts she developed to provide shortcuts to con�lict mediation and project planning. However, she continues to allow team members to problem solve independently.

Advocate

When Miranda pushes the client in a direction of her preference, she is being an advocate. She uses her power and in�luence to promote certain ideas and values in the decision making process. This is the most directive consulting role and is considered to be consultant centered.

As an advocate, Miranda might start to push the team toward a certain meeting structure. Or she might promote certain speci�ic procedures for facilitating the team’s meetings.

Blake and Mouton’s Intervention Styles

In addition to assuming different roles, consultants also embody different intervention styles when they deal with clients. So far this chapter has covered several roles consultants can play. They are all potentially useful, depending on the client and the situation. Most consultants develop a unique style that capitalizes on their skills, interests, and comfort. Blake and Mouton (1976; 1983) identi�ied four roles that were later summarized by Cockman and colleagues (1996) in their book, Client-Centered Consulting. These are discussed in the following section using a hypothetical consultant named Benjamin.

Assessment: Consultant Style Inventory Score

Being a consultant is demanding and requires that a person works to serve the needs of individuals, groups, and the organization itself. Effective consulting requires being �lexible and adaptable in order to meet the clients’ needs as well as the consultant’s own. What works with one client may be inappropriate with another. Thus a consultant needs to be ready to intervene and adapt based on the people and situation. Your repertoire of behaviors with clients is usually based on your style as a consultant. If you tend to favor certain roles, you may need to remind yourself to check that they match the situation and adjust accordingly.

Acceptant Style

When Benjamin helps clients by listening with empathy and providing emotional support, he is employing an acceptant style. The acceptant style offers neutral, nonjudgmental support that helps clients relax their defenses, confront disabling emotional reactions, and solve problems independently.

For example, Benjamin might help a client distinguish an issue from a person. If the client is having an emotional reaction to a person that evokes anger, frustration, or confusion, the issue at hand may be clouded. Although the client may hate the CEO, that matter is separate from the need to implement the organization’s strategic plan created by the CEO. Helping the client see this distinction can be cathartic and get him or her focused on problem solving. By providing an atmosphere of acceptance in which a client feels accepted, safe, and not threatened, an acceptant style helps the client clear whatever is blocking him or her from dealing logically and rationally with the problem.

Catalytic Style

If Benjamin is skilled at helping clients gather data about the problem, analyze it, and decide its relative importance, he is using a catalytic style. Working from this style, Benjamin would help the client make an evidence-based diagnosis to identify intervention options and choose solutions. He would help the client focus on the who, what, why, when, where, and how related to the problem. In short, when Benjamin uses a catalytic style, he pushes the client to generate solutions based on the data. Results from an organization-wide attitude survey could provide impetus for management to make changes.

Confrontational Style

When Benjamin calls attention to discrepancies between the client’s professed values and how the client puts them into practice, he is using a confrontational style. You can probably think of examples when someone claims he or she values one thing, like being a good listener or seeking input in decision making, yet does the complete opposite when interacting with other people by interrupting or failing to get input. Consultants using a confrontational style point out these contradictions so clients can see the discrepancies and decide if they want to change.

For example, Benjamin might say to a client, “You told me you were a good listener, yet you constantly interrupted and talked over people during the meeting. What’s up with that?” This particular style can be highly effective at targeting and changing dysfunctional behaviors of individuals and groups during the OD process.

Prescriptive Style

When Benjamin listens to the client’s problem, collects the data the client requires, makes sense of the data from his own experience, and presents the client with a solution or recommendation, he is using a prescriptive style. This style is commonly used in OD, although it is not the most effective, because it tends to cast the consultant in the expert or pair-of-hands role. Consultants working from this style may assume that clients lack the skill, knowledge, or objectivity to effectively diagnose and solve problems. In reality, this is rarely the case. Consultants can be “experts” without driving the process and knowing when expertise is needed. This style is similar to the information specialist and advocate roles speci�ied by Lippitt and Lippitt (1986).

Take Away 3.2: Types, Roles, and Styles of OD Consultants

Consultants can be internal to an organization (permanent, full-time employees) or external (temporary and working for multiple organizations). Consultants often play one of three roles, including the expert, pair of hands, or collaborator. Functioning in a collaborative mode is considered the most effective role because it creates mutuality and accountability with the client. Consulting roles can also be understood along a continuum of nondirective to directive. The closer the consultant gets to directive roles, the more she or he will be functioning as an expert. Consultants also have different ways of intervening that include acceptant, catalytic, and prescriptive styles.

3.3 Competencies of OD Consultants

What does it take to do OD consulting well? In addition to following a change model (such as one introduced in Chapter 2) and an action research process (to be discussed in Chapter 4), a consultant must master certain competencies. This section pro�iles these competencies using the example of a hypothetical consultant named Bridget.

Block’s Competencies

Recall Peter Block, one of the most in�luential scholars of consulting. In his classic book, Flawless Consulting, �irst published in 1981, Block (2011) identi�ied two competencies essential for consulting: being authentic and completing the business of each consulting phase.

Being Authentic

When Bridget frankly and respectfully communicates her experience with the client and leverages commitment through communication and trust, she is being authentic. Authenticity means Bridget addresses issues directly with the client. When the client is defensive or uncooperative, she confronts the behavior in a way that does not alienate the client. Being authentic requires Bridget to give honest feedback, help the client save face in dif�icult situations, and provide coaching as needed. Clients will come to rely on her ability and willingness to identify the “elephant in the room” if she can learn to do it tactfully and respectfully.

Building a trusting relationship with clients centers on a consultant’s ability to be authentic. This involves the consultant asking clients whether they trust his or her con�identiality, addressing any doubts clients have about working with the consultant, and raising issues related to distrust when they arise. Without trust, it will be dif�icult to appear authentic.

As a personal example of being authentic, I was working for a new leader and received feedback that, at speaking engagements, he was leaving a negative impression about our organization. I knew I had to raise the issue in a respectful and helpful way. Sharing the feedback required some risk, since our working relationship was new. The encounter went something like this:

I said, “Part of my job is to make sure you’re successful. I’m hearing great things about you in the halls. I’ve also received feedback from multiple sources that when you make public speeches about our organization, your message is too gloomy. What do you think about adjusting the tone in future speeches?”

He looked a bit surprised at �irst, and then we talked about what changes he might make. The next speech he made was impeccable and re�lected favorably on both him and our organization. Being direct and respectful of clients is almost always appreciated, because they want to be effective. It also builds trust.

Completing the Business of Each Phase

The other requirement for �lawless consulting, completing the business of each phase, means a consultant follows the planned change process using the action research model. This model was brie�ly introduced in Chapter 1 and is the subject of Chapter 4. It means approaching the OD process by contracting with the client, collecting data on the problem, sharing feedback from the data analysis, identifying and implementing an appropriate intervention, and evaluating the results.

Technical, Interpersonal, and Consulting Skills

Sonja Pacho/Corbis Honing interpersonal skills involves �inding ways to connect with the client and the client system.

Being authentic and completing the business of each phase are important but are not enough to be an effective consultant. As Block (2011) observed, consultants also need technical, interpersonal, and consulting skills, each of which are discussed in the following section using a consultant named Miguel.

Technical Skill

The discipline-speci�ic knowledge Miguel brings to the consulting relationship is known as technical skill. OD is a technical skill in itself, but each consultant has a unique blend of technical skills in other areas. Cummings and Worley (2009) suggest these include an understanding of organizational behavior, individual psychology, group dynamics, management and organization theory, research methods, comparative cultural perspectives, and functional knowledge of business.

For example, Miguel might have expertise in banking and �inancial organizations that will be invaluable when consulting with clients in similar industries. Having appropriate technical expertise is necessary if you are to help a client. What are your technical skills?

Interpersonal Skill

Miguel’s ability to engage, communicate, and develop a mutual relationship with his client is known as interpersonal skill. Consultants form relationships with a variety of individuals and groups and need �lexibility, tolerance, respect, and adeptness to maintain these relationships. The role of a consultant is largely developmental: Miguel must meet the clients where they are, not where he thinks they should be. By demonstrating personal charisma, presence, and integrity, Miguel increases the likelihood that clients will want to work with and please him.

It is also helpful for Miguel to pay attention to his own reaction to the client. It is likely that others in the organization experience the client similarly, whether negative or positive. Miguel can identify important teachable moments for the client by being attuned to these subtle signals and acting on them.

The following interpersonal skills for effective consulting have been adapted from Burke (1992):

Tolerating ambiguity. Every organization and problem is unique and requires a customized solution. In�luencing the client. Consultant was de�ined in the beginning of this chapter as typically having in�luence without power, making it essential that consultants be effective persuaders and build trust with the client. Confronting dif�icult issues a client is reluctant to face. This competency is aligned with the importance of authenticity. Being direct and tackling dif�icult issues is never easy work, although it is often pivotal when addressing challenges in the organization and helping it move toward a change. Nurturing others, particularly during times of con�lict or stress. This involves using listening and empathy with clients. Recognizing your feelings and intuitions quickly and using them when appropriate and timely. Educating the client throughout the process. This involves grasping teachable moments and creating learning opportunities that help the client build capacity to maintain the change and manage future change when the consultant exits the picture. Maintaining a sense of humor. Consulting work can be challenging and stressful, so sustaining the ability to laugh and enjoy the process keeps both the consultant and the client grounded.

Exuding self-con�idence, interpersonal savvy, and a sense of mission. OD work is worthwhile and potentially helpful to others, and consultants must own that mission.

How would you rate yourself according to Burke’s list? What are your top three strengths? What are your top three weaknesses? What would you add to the list?

Consulting Skill

OD practitioners take their clients through a multistep process—known as action research—that begins the moment they meet. Consulting skill requires mastering each step of the action research process. Developing consulting skill is a daunting goal, but this book is devoted to helping you achieve it. Maintaining that skill is a lifelong endeavor that requires ongoing learning and personal development.

Freedman and Zackrison (2001) identify four areas of consulting skill: interpersonal, technical, consulting, and self- management. Table 3.3 offers brief descriptions of these competencies.

Table 3.3: Consultant skills

Interpersonal Technical—business or function speci�ic

Consulting Self-management

Confrontation Risk-taking ability Collaboration Con�lict management Relationship building

Engineering Project management Planning Marketing Manufacturing Personnel Finance System analysis

Analysis and diagnosis Strategic and implementation planning Change management Evaluation

Core values articulated Self-con�idence Self-awareness

1. Control and in�luence needs

2. Need for personal contact

3. Need to belong

4. Need for prominence

Freedman and Zackrison (2001) caution that experience is not necessarily equated with competence, but rather one’s capacity as a consultant to learn from experience. They recognize three types of consulting experience, including experience dealing with similar issues, experience at a speci�ic organization level, and experience with similar organizations or industries. Potential clients may ask about any one of these areas when assessing a consultant’s skill and competence.

Balancing Responsibility in the Consultant–Client Relationship

Earlier, the collaborator role was identi�ied as one of Block’s three key roles for consultants. An ability to balance responsibility in the consultant–client relationship is a key competency in this collaborator role. It begins with a mutual agreement that there is a 50–50 split in responsibility between consultant and client.

Tips and Wisdom

“Let’s hire a consultant so we have someone to blame.”

—David Bigelow, retired law enforcement of�icer who pursued art full time upon retiring in 2001. His paintings, drawings, and etchings have a whimsical quality that reveals life’s truths.

This advice, although perhaps cynical, serves as a warning: Avoid clients who need a scapegoat or want to dump their problems in someone’s lap. OD consulting centers on building mutual, collaborative relationships with clients. It is most effective when the client owns the problem and shares responsibility for authorizing, implementing, and maintaining the planned change. Thus, its success hinges on effectively balancing a consultant’s responsibilities with those of the client.

As discussed, effective OD consultants have strong interpersonal skills, with a heavy dose of emotional intelligence, patience, tact, and tenacity. Sometimes you have to trust your intuition about what your client is really committed to. Paying attention to your feelings—and those of your client—will yield valuable insights. How is the client working on the problem? Is there ownership? Accountability? Are there signs of resistance? Is the client getting appropriate support from upper management? If you sense that the client is reluctant to own the problem and share responsibility for the solutions, you need to directly and quickly identify and address the underlying issues.

Holding a client equally responsible for the change helps ensure that your own needs are being met in the consulting relationship. Block (2011) noted that it is easy for consultants to fall into a “service mentality” (p. 16) at the expense of their own needs. It is fair for you to expect access to and support from the organization, as well as inclusion among the team and validation that your work is having an impact.

Block (2011) recommends that you assess the balance of responsibility you and the client are taking in the OD engagement by completing the checklist in Table 3.4. If you discover that you are always required to take the lion’s share of responsibility or have very little responsibility, it is time for a frank conversation with the client and renegotiation of expectations.

Table 3.4: Checklist to assess the balance of responsibility

Client has major responsibility; consultant has little

50–50 shared responsibility

Consultant has major responsibility; client has little

De�ine the initial problem

Decide whether to proceed with the project

Select the dimensions to be studied

Decide who will be involved in the project

Select the method

Client has major responsibility; consultant has little

50–50 shared responsibility

Consultant has major responsibility; client has little

Do discovery

Funnel the data and make sense of it

Provide the results

Make recommendations

Decide on actions

Source: Adapted from Block, 2011, p. 36.

Take Away 3.3: Competencies of OD Consultants

Consulting guru Peter Block held that being authentic and completing the business of each phase are key to effective consulting. Effective consulting competencies also include technical, interpersonal, and consulting skills. Balancing responsibility in the consultant–client relationship helps assure support and accountability in the OD process.

3.4 Contracting

When our hypothetical consultant Miguel meets with the client to learn about the problem and de�ine the parameters of their working relationship, he is contracting. Also known as “gaining entry,” contracting can be initiated by the client contacting Miguel or vice versa, or a third party can connect him and the client. Once Miguel and the client are in contact, he immediately begins negotiating the boundaries of the project and building a relationship based on trust and openness.

This initial process eventually culminates in a meeting to draw up the contract (see Figure 3.2). Miguel’s sheer presence at the �irst client meeting is an intervention (Schein, 1988b), meaning that Miguel’s presence alone in�luences change, whether it is a change in behavior, attention to the problem, resistance, or readiness to commit to and implement change. This is true throughout the consultation. Because of this, it is essential that Miguel conduct himself with integrity from the instant he begins working with a client. He must be conscious of his every move and statement during this initial meeting.

Figure 3.2: Example of a consulting contract on leadership development for midlevel managers

This sample contract between a client and consultant shows the level of detail required for each of the key elements of contracting.

Since the consulting relationship depends on trust, the ability to put a client at ease and quickly establish an open relationship is critical to a consultant’s success. Clients may be initially suspicious or resentful of a consultant, especially if hiring someone like Miguel was not their idea or if he was hired to address a problem that they have not been able to solve. The image Miguel presents will have a direct impact on the outcome of the contracting, so he must be prepared, poised, and positive.

Fuse/Thinkstock Negotiating a written contract for OD consulting protects both the client and consultant and keeps the process on track.

Additionally, Miguel must be authentic. If a consultant is dishonest, exaggerates his skills, or tries to manipulate clients, he can expect problems related to trust and satisfaction with his work.

As discussed, each consultant develops a preferred style; it will be helpful to identify yours. Are you good at small talk? Can you identify something the client is interested in and talk about it? What can you ask about the business to show your concern and learn more about the organization? What can you share about your previous projects? Even though you may have a preferred style of consulting, you may have to adjust it to best accommodate the client or the situation.

It is also a good idea for Miguel to make time for the client to ask him questions about his background, style, and other issues of import to the client when he initiates a consulting relationship. Often, consultants provide a written biography or description of services that can help the client understand what they offer. These considerations are important to keep in mind so they can put their client at ease. Once that is accomplished, a consultant can move to the next steps of contracting.

Key Elements of Contracting

When Miguel and his client have agreed to engage in a consulting relationship, it is a good idea to detail that agreement in writing in the form of a contract. Block (2011) identi�ies key elements of contracting that can serve as a guideline for writing up a formal contract of engagement. Each aspect will be considered and then an example shared.

Boundaries of Analysis

During the initial entry or shortly thereafter, Miguel should clarify the problem or issue to be addressed by creating a simple problem statement that des cribes what he intends to do. In effect, this creates boundaries of analysis. For example, he might wind up with a simple statement such as:

The purpose of this OD engagement is to address retention problems of diverse employees at entry- and mid-level management.

The statement may also include information on what will not be addressed. For example:

This project will not address nonmanagerial positions.

Tips and Wisdom

Establishing boundaries of analysis requires correctly identifying the primary client (and it may not be the person who initiated the consulting relationship). Here are some tips to help ensure you have established clear boundaries:

Make sure you can identify the primary client. Ask questions until you are certain. Understand who serves to bene�it from the consulting: management, employees, customers? Establish clear expectations. Take time to discuss what you need and expect as a consultant and give the client a chance to do the same.

Know when to walk away from a project. Projects that hold little interest and do not fall within your expertise are compromised from the start. Projects that have wavering support and resources are also risky. Set an expectation for ongoing feedback to ensure the consulting stays on track and meets expectations.

Project Objectives

Once the boundaries of analysis are clear, Miguel is ready to generate project objectives. These might include solving technical or business problems (business objectives); creating new opportunities for the organization (business objectives); teaching clients how to solve a problem for themselves the next time it arises (learning objectives); improving how the organization manages itself (business or learning objectives); changing the culture (business or learning objectives); or other issues relevant to the client (Block 2011).

Useful Information to Seek

Once the boundaries of analysis and pro-ject objectives are determined, Miguel should seek out data relevant to solving the issue. Information sources will be fully discussed in Chapter 4, but generally there are at least three types of information that will be particularly useful to consultants. These include technical data, people’s attitudes, and roles and responsibilities (Block, 2011). During contracting, Miguel should identify the information he needs and how he intends to retrieve it (e.g., surveys, interviews, and so forth).

The Consultant’s Role

Earlier in this chapter we discussed the different types and roles of consultants. Usually, a consultant’s role is negotiated during the contracting process. In addition to determining if Miguel will serve in an expert, pair-of-hands, or collaborative role, he and the client also need to agree on a mutual partnership in which the client is accountable for the process and outcomes. As the consultant, Miguel is responsible for creating a process that allows the client to address problems. The client is accountable for providing the resources, support, and incentives for the change. If the client does not want to assume responsibility for the process, Miguel will want to carefully consider whether he should continue the project. This is also a good time to explain that he may play different roles that range from nondirective to directive.

The Product to Be Delivered

Next, Miguel should specify the product or service the client can expect him to provide; for example, a report, con�lict mediation, or coaching. He should work to be very speci�ic about the deliverables to avoid problems later. Here is an example of speci�ics from a contract related to recruitment and retention of technical employees:

Conduct a survey on retention issues. Interview employees who have left the company. Benchmark best recruitment and retention practices at competing companies. Analyze collected data and provide recommendations in a report by a speci�ic date.

The Support and Involvement a Consultant Needs From the Client

Block (2011) calls support and involvement from the client “the heart of the contract for the consultant” (p. 63). With this in mind, Miguel should describe in detail what he needs from the client for the project to succeed.

Examples might include one-on-one meetings with certain employees, access to organization records, clerical services, or managerial support. A budget for the project should also be developed at this stage. In addition, Miguel and the client should agree on a process for requesting approval for additional funds if necessary.

The Time Frame

Next Miguel should specify the time line of the project, including its start date, major milestones, and end date. It can be useful to establish a Gantt chart (Figure 3.3), particularly for long, complicated projects. Similar to the budget, the time line should be reviewed regularly to make sure the project is on track.

Figure 3.3: Example of a Gantt chart

Below is an example of a simple Gantt chart over a 7-month period detailing typical stakeholders and activities of an OD intervention. A consultant could take each intervention and make a much more speci�ic chart by week and activity.

The Con�identiality Expectations

Maintaining con�identiality and integrity promotes a strong collaborative relationship. External consultants may have more �lexibility with con�identiality than internal consultants because they can refuse to share information should higher management demand it. Internal consultants are in a tougher position and might be pressured to share data collected on a problem with someone higher up in the organization. Both internal and external consultants should negotiate how data will be used up front. A consultant will lose trust quickly if organization

members perceive that con�identiality has been breached. Writing con�identiality expectations into the contract will help avoid misunderstandings and problems later.

The Agreement for the Client to Provide Postintervention Feedback

Asking the client to provide feedback on the project after the consultant leaves or once the project is �inished can be a powerful accountability motivator for the client. It also gives the consultant a means of self-evaluation and providing evidence of his or her consulting skills to future clients.

Contracting Ethics

Ethics guide one’s activities as a consultant, including at the contract stage. Chapter 1 introduced OD’s code of ethics as put forth by the International Society for Organization Development and Change. The code emphasizes quality of life, health, justice, dignity, win–win outcomes, holistic perspectives, and participative decision making. Gellerman, Frankel, and Landenson (1990) recommend the following values to guide OD practice:

Promote quality of life. Enhance health, human potential, empowerment, growth, and excellence. Provide freedom and responsibility and give people choice in the process. Advocate justice. Pursue dignity, integrity, worth, and fundamental rights of all stakeholders. Seek all-win outcomes. Conjure authenticity and openness in relationships. Adopt a holistic, systemic perspective, mindful of all stakeholders. Invite wide participation in the process.

Freedman and Zackrison (2001) distinguished between OD consultants and what they termed “techspert consultants” (p. 179) who function in the expert role. These functions are contrasted in Table 3.5.

Table 3.5: OD consultants versus techspert consultants

OD consultants Techspert consultants

Participative Exploratory and experimental Empower leaders and organization members

Work in isolation De�initive, con�ident, and decisive about solutions Maintain control

Freedman and Zackrison (2001) consulted the International Council of Management Consulting Institutes to develop their code of ethics. Notice how many of these values pertain to the contracting stage:

preserving con�identiality creating realistic expectations avoiding any type of commissions, bribery, or kickbacks from third parties accepting only assignments that you have the skill and knowledge to perform creating contracts for services refraining from recruiting client employees for alternative employment without the client’s knowledge holding other consultants accountable for meeting ethical standards (Freedman & Zackrison, 2001).

Tucker (2006), in an article about forging successful consulting relationships between clients and consultants, advocated a relationship that values integrity, communicates with openness and completeness, holds the client’s objectives paramount, respects time and its constraints, and uses contracts.

Case Study: Ethical Scenarios for the OD Consultant

Evaluate the following scenarios based on the ethics information presented in this chapter.

Scenario 1: You are contacted by a company that needs some help with implementing a process you have little familiarity with. Although you could probably learn it, you would not be up to speed within their time frame. Still, you could really use the extra income right now. What are the implications for deciding not to do it? What are the implications for deciding to do it?

Scenario 2: Another consultant contacts you and offers you a chance to take a consulting job that she could not take because she is booked during the time the client needs a leadership development program. You are very skilled at this type of consulting and have not worked for this company before. At the close of your discussion, the consultant who has offered you the gig asks for 10% of your fee for the consulting since she referred you. What is your next step?

Scenario 3: You are working with a chemical company to reorganize its production process, which currently releases signi�icant greenhouse gas emissions into the environment. During the initial planning with the client, you suggest that the action research team be expanded to include some other stakeholders in the process, such as elected of�icials and community advocates. What competing interests and values might you expect to encounter from this diverse stakeholder group?

Scenario 4: You have completed a consulting engagement with a company that conducted survey research and prioritized key actions needed to change the culture. Over the past year, the company has worked to address its top four priorities from the survey research. You are now at a point that organization members can continue the work without your regular involvement, and you are negotiating to maintain your consulting services only intermittently. You were really impressed with one of the members of the action research team. He approaches you after a meeting on-site and tells you how much he enjoyed working with you and learning from you. He asks if you have any positions open in your consulting �irm. Is it ethical for you to consider hiring this person? Why or why not? If you were to proceed, what is your responsibility to the client organization?

Take Away 3.4: Contracting

Key elements of contracting include determining the boundaries of analysis, identifying project objectives, deciding on the kind of information you are seeking, articulating your role as a consultant, specifying the product you will deliver to the client, identifying the support and involvement needed by the client, noting the time frame, discussing con�identiality, and planning for postintervention feedback.

Summary and Resources

Chapter Summary Consultants help, in�luence, and persuade their clients about how to go about OD and change, although they have no formal organization power. There are several different types of clients during a typical OD process, including contact, intermediate, primary, unwitting, indirect, and ultimate. It is imperative that the consultant correctly identify the primary client. Consultants can be internal to an organization (permanent, full-time employees) or external (temporary and working for multiple organizations). Consultants often play one of three roles: expert, pair of hands, or collaborator. Functioning in a collaborative mode is considered the most effective role because it creates mutuality and accountability with the client. Consulting roles can also be understood along a continuum of nondirective to directive. The closer the consultant gets to directive roles, the more she or he will be functioning as an expert. Consultants also have different ways of intervening that include acceptant, catalytic, and prescriptive styles. Peter Block held that being authentic and completing the business of each phase are key to effective consulting. Effective consulting competencies also include technical, interpersonal, and consulting skills. Balancing responsibility in the consultant–client relationship helps assure support and accountability in the OD process. Key elements of contracting include determining the boundaries of analysis, identifying project objectives, deciding on the kind of information you are seeking, articulating your role as a consultant, specifying the product you will deliver to the client, identifying the support and involvement needed by the client, noting the time frame, discussing con�identiality, and planning for postintervention feedback.

Think About It! Re�lective Exercises to Enhance Your Learning 1. The chapter began with a vignette about problems in the shipping department of QuickCo. See if you can

recall a situation from your experience that would have bene�ited from having an OD consultant assist. What would you have done as a consultant?

2. Recount a time you or someone close to you participated in an OD intervention led by a consultant. What were the outcomes and consequences? How well did the consultant do, based on the principles presented in this chapter?

3. This chapter has pro�iled different roles and styles consultants employ when working with clients. What are some of the similarities and differences in these approaches to working with clients?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Look up some job descriptions of consultants and identify the themes, salaries, and competencies required. 2. Develop a biography and description of your technical, interpersonal, and consulting competencies (current

or desired). Be sure to include a paragraph explaining the role and style you use for consulting. 3. Prioritize the technical, interpersonal, and consulting competencies you need to learn. 4. Review the results of your consultant style inventory score. What insights did you gain from this

assessment? 5. Develop a consulting contract.

Additional Resources

Media

What Should Consultants Do?

http://www.youtube.com/watch?v=vv3p6lMdC7c (http://www.youtube.com/watch?v=vv3p6lMdC7c)

Web Links

International Council of Management Consulting Institutes, an international membership organization and a network of the management advisory and consultancy associations and institutes worldwide.

http://www.icmci.org/ (http://www.icmci.org/)

Institute of Management Consultants USA, the certifying body and professional association for management consultants and �irms in the United States.

http://www.imcusa.org (http://www.imcusa.org)

Association of Management Consulting Firms, founded in 1929 as AMCE, the Association of Management Consulting Engineers.

http://www.amcf.org (http://www.amcf.org)

Consulting and Business Associations, an online consulting resource.

http://www.consulting-business.com/consulting-business-associations.html (http://www.consulting- business.com/consulting-business-associations.html)

Key Terms

acceptant style A consulting style characterized by neutral, nonjudgmental support of clients that helps them relax and let down their defenses so problems can be solved more easily.

authentic When you directly, frankly, and respectfully communicate your experience with the client and leverage commitment through communication and trust, you are being authentic.

catalytic style A consulting style that uses data and evidence to help clients diagnose and solve problems. The data usually provide impetus for action or change.

collaborative consulting The role a consultant assumes when the client wants a mutual partnership in solving problems and is willing to share responsibility from the beginning to the end of the project.

confrontational style A consulting style that challenges inconsistencies between what a client professes to value and what he or she actually does in practice.

consultants People who practice OD (or another technical skill) and combine it with technical, interpersonal, and consulting skills to help clients resolve issues and problems.

consulting skill

The skill a consultant develops that requires mastering each step of the action research process.

contracting The process of determining the parameters of a working relationship with a client. This is best put in writing according to the guidelines offered in this chapter.

directive A hands-on style of consulting in which the consultant is assertive about telling the client what to do or readily gives the answer.

expert role The role a consultant plays when a client wants someone with expertise who will tell them what to do. The client has a low level of involvement in the OD consulting in these situations.

external consultant Consultants who have a temporary relationship with the client or organization and are outsiders.

internal consultant Consultants who are employed by the client organization. They are insiders with a permanent relationship with the organization.

interpersonal skill A consulting competency to engage, communicate, and develop a mutual relationship with clients.

nondirective A hands-off style in consulting that involves patience, observation, and asking questions to subtly guide clients to �ind a solution on their own.

pair-of-hands role The role a consultant plays when the client wants a task completed and seeks someone else to do it. The client generally takes little interest in the problem or the process and simply wants the issue resolved.

prescriptive style A consulting style that involves listening to the client’s problem, collecting the data the client requires, making sense of the data from the consultant’s own experience, and presenting the client with a solution or recommendation.

technical skill Discipline-speci�ic knowledge that consultants bring to the consultancy. OD is one of these types of skills. Consultants are found in every �ield, from medicine to technology to agriculture.

4 Action Research: The Planning Phase

Monty Rakusen/Corbis

Learning Objectives

After reading this chapter, you should be able to:

Describe action research and compare Lewin’s model to those of at least two other OD theorists.

State the importance of a consideration of levels of analysis in the planning phase.

Identify the steps of the planning phase.

Describe different types of research and research methodologies.

Discuss �ive methods of gathering organization data, including strengths and weaknesses of each.

Discuss methods of analyzing the data collected.

Explain how to prepare for and manage the feedback meeting, including how to address con�identiality concerns and manage defensiveness and resistance.

Catherine Yeulet/iStock/Thinkstock Following the action research process helped the QuickCo shipping department resolve employees’ interpersonal con�licts.

In Chapter 3, the QuickCo vignette provided one example of how OD consultants work. Jack, the internal OD consultant at QuickCo, led his clients, Ned (the shipping supervisor) and Sarah (the manufacturing manager), through an action research process to solve communication and teamwork problems in the shipping department. Action research, the process OD consultants follow to plan and implement change, follows three general phases:

1. Planning. Data are collected, analyzed, and shared with the client to determine corrective action. 2. Doing. Action is taken to correct the problem. 3. Checking. The effectiveness of the intervention is evaluated, and the cycle is repeated as needed.

Let us return to the QuickCo vignette and examine the action research steps taken. Ned and Sarah met with Jack to outline how employees were at each other’s throats, letting con�licts fester, and failing to work well together. Their �irst meeting incorporated their planning phase. As explained in Chapter 3, this initial meeting is known as contracting. During the meeting, Jack asked questions to begin identifying the root cause of the con�licted department. The three struck a collaborative agreement and worked to devise a plan for resolving the issues.

The �irst action they took was to collect data. Jack reviewed the performance trends and customer complaints from the shipping department and interviewed the employees individually about their views on the problems.

The planning also involved analyzing the data Jack collected to arrive at a diagnosis. When he met with Ned and Sarah to share feedback from the data collection, Jack presented his analysis, noting: “Ned and Sarah, you have a dysfunctional team on your hands. They have no ground rules, collaboration, or means of handling con�lict. Everyone needs to be more understanding and respectful toward each other. It would also be helpful to create some guidelines for how the team wants to operate and manage con�lict. Ned, you also need to take a more active role in resolving issues.”

Jack laid the problems out in a matter-of-fact, nonjudgmental way. Once all the analyzed data were presented, the three worked jointly to plan an intervention to address the problems. They agreed to take the group through a facilitated process to address communication and team effectiveness. They also agreed that Ned would bene�it from individualized executive coaching to help him learn behaviors that would be more productive for dealing with con�lict.

The second phase of action research, doing, occurred when Jack, Ned, and Sarah scheduled the intervention with the shipping department and implemented it. The outcome of the inter-vention was a tangible plan for the department for how to be more effective, including speci�ic actions they would take to address con�lict.

The �inal phase, checking, involved Ned, Sarah, and Jack continuing to monitor the shipping department after the intervention. Ned helped the department uphold its new ground rules on a daily basis and coached employees to help them stick to the plan. He also asked for regular feedback on his own management skills as part of his ongoing coaching. Ned, Sarah, and Jack reviewed departmental data on productivity and customer complaints and learned that the timeliness and accuracy of shipped orders had signi�icantly improved. Jack followed up a few months later by conducting individual interviews with shipping department members. He discovered that the solutions had been maintained. If and when new con�licts arise or new members join the team, it may be time to start the action research process over again to address new issues.

The QuickCo vignette demonstrates all three phases of the action research process. This chapter focuses on the �irst phase, planning. Chapters 5 and 6 provide a similarly detailed look at the second

and �inal phases, doing and checking, respectively. But before turning to the planning phase, let us review action research.

4.1 A Review of Action Research

Chapter 1 de�ined OD as a process of planned change that is grounded in a humanistic, democratic ethic. This speci�ic process of planned change is known as action research.

De�ining Action Research

Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. As such, it involves data collection, analysis, intervention, and evaluation. Essentially, it is a repeating cycle of action and research, action and research. However, the words action research reverse the actual sequence (Brown, 1972), in that “research is conducted �irst and then action is taken as a direct result of what the research data are interpreted to indicate” (Burke, 1992, p. 54). Moreover, the cycle yields new knowledge about the organization and its issues that becomes useful for addressing future problems. It thereby allows organizations to improve processes and practices while simultaneously learning about those practices and processes, the organization, and the change process itself.

Action research provides evidence, thereby enabling a consultant to avoid guesswork about what the issue is and how to resolve it. According to French and Bell (1999):

Action research is the process of systematically collecting research data about an ongoing system relative to some objective, goal, or need of that system; feeding these data back into to the system; taking actions by altering selected variables within the system based both on the data and on hypotheses; and evaluating the results of actions by collecting more data. (p. 130)

Action Research Is a Democratic Approach to Problem Solving

Many theorists have characterized action research as democratic and collaborative:

“Action research is a participatory, democratic process concerned with developing practical knowing in the pursuit of worthwhile human purposes, grounded in a participatory worldview” (Reason & Bradbury, 2008, p. 1). “Action research is the application of the scienti�ic method of fact-�inding and experimentation to practical problems requiring action solutions and involving the collaboration and cooperation of scientists, practitioners, and laypersons” (French & Bell, 1999, p. 131). “Action research approaches are radical to the extent that they advocate replacing existing forms of social organization” (Coghlan & Brannick, 2010, p. 6).

In addition, Coghlan and Brannick (2010) identi�ied broad characteristics of action research to include:

Research in action, rather than research about action A collaborative, democratic partnership Research concurrent with action A sequence of events and an approach to problem solving. (p. 4)

These de�initions are similar in that they all characterize action research as a democratic, data-driven, problem- solving, learning-based approach to organization improvement. Can you recall a project in your organization that involved members in a collaborative problem-solving mission? Chances are it was action research, even if that terminology was not used. Some other examples of how organizations apply action research include a nonpro�it organization that surveys donors or bene�iciaries before engaging in strategic planning; a government department

that conducts a needs analysis prior to a training program; or a corporation that conducts exit interviews before initiating recruitment for positions. What other examples can you think of?

Action Research Helps Clients Build Capacity for Future Problem Solving

Although typically guided by a consultant, action research engages key stakeholders in the process. Indeed, its effectiveness depends on the active engagement and accountability of the stakeholders. As discussed in Chapter 3, OD consultants are responsible for in�luencing the action research process while at the same time exercising restraint to avoid solving the problem for the client.

An example can illuminate how action research helps the client build problem-solving capacity. Suppose an organization introduces a process of assimilating new leaders when they join it (action). The organization hires a consultant to survey team members about this initiative’s effectiveness (research). The client and the consultant collaborate to develop the survey and analyze the results. What is learned informs continued assimilation of new leaders and the way the process gets modi�ied (action). The client is initially engaged to learn the process so that it can be repeated in the future without the help of a consultant. The action research process helps the organization collect, analyze, and apply data to make informed decisions and not waste time and money on inappropriate interventions. Helping organizations become pro�icient at the action research process is the outcome of effective consulting, since the best consultants work themselves out of a job.

Who Invented That? Plan, Do, Check Cycle

Although often attributed to quality guru W. Edwards Deming, the plan, do, check cycle was created by Walter A. Shewhart of Bell Labs. Shewhart was an American physicist, engineer, and statistician who was one of the originators of statistical quality control that preceded the total quality movement.

Although this plan, do, check model seems to suggest that planning change is a neat, orderly, and rational process, in reality it can be chaotic, shifting continually in response to unexpected developments and outcomes. Nevertheless, learning the action research process equips consultants with a proven method for navigating such shifts as they work with clients on organization challenges.

Models of Action Research

Recall from Chapter 1 that action research originated with the work of Kurt Lewin, the father of OD. Lewin’s model (1946/1997) includes a prestep (in which the context and purpose of the OD effort are identi�ied), followed by planning, action, and fact �inding (evaluation). Several models of action research generally follow Lewin’s, although the number and names of steps may vary. See Table 4.1 for a comparison.

Table 4.1: Comparison of action research models to Lewin’s original model

Lewin’s (1946/1997) original action research steps

Cummings & Worley (2009)

Coghlan & Brannick (2010)

Stringer (2013)

Figure 4.1: Plan, do, check action research cycle

The plan, do, check model of action research was popularized by the total quality movement. The contemporary research cycle has more steps, although essentially accomplishes the same steps of diagnosing and designing (plan), implementing (do), and evaluating (check).

Lewin’s (1946/1997) original action research steps

Cummings & Worley (2009)

Coghlan & Brannick (2010)

Stringer (2013)

1. Prestep to determine context and purpose

1. Entering and contracting

1. Prestep 1. Look a. Gather relevant

information b. Build a picture;

describe the situation

2. Planning 2. Diagnosing 2. Planning action 2. Think a. Explore and analyze b. Interpret and explain

3. Action 3. Planning and implementing change

3. Taking action 3. Act a. Plan b. Implement c. Evaluate4. Fact �inding (evaluation) 4. Evaluating and

institutionalizing change 4. Evaluating action

The model of action research used in this book has three phases of planning, doing, and checking, paralleling Lewin’s (1946/1997) model (Figure 4.1). Each phase has substeps derived from multiple action research models:

1. Planning (the discovery phase) a. Diagnosing the issue b. Gathering data on the issue c. Analyzing the data gathered d. Sharing feedback (data analysis) with the client e. Planning of action to address the issue

2. Doing (the action phase) a. Learning related to the issue b. Changing related to the issue

3. Checking (the evaluative phase) a. Assessing changes b. Adjusting processes c. Ending or recycling (back to the planning stage) the

action research process

The action research steps may look simple, and it may appear that planning change is a neat, orderly, and rational process. In reality, though, it can be chaotic, political, and shifting, with unexpected developments and outcomes.

Take Away 4.1: A Review of Action Research

Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. The three phases of action research are planning, doing, and checking. A variety of OD theorists follow Lewin’s model, although the number and names of steps may vary.

4.2 Planning: The Discovery Phase

When beginning an OD intervention, the initial steps taken to identify the problem and gather data about it are known as planning. The planning phase is a diagnostic one. The client and consultant work with other organization stakeholders to study the problem and determine the difference between desired outcomes and actual outcomes. The discrepancy between what is and what should be is known as a performance gap. For example, if an organization aspires to be �irst in quality in the industry but lags behind in second or third place, that would be the performance gap between being �irst versus second or third.

Organizations perform gap analysis to assess reasons for a gap between reality and the desired outcome. The performance gap idea can also be applied to yourself. Let us say you aspire to a managerial position but have not achieved it. Upon analyzing the gap, you realize you lack the training and experience to attain the position. If you decide to eliminate the gap, you might enroll in a graduate program, attain a leadership certi�icate, or �ind a mentor to help you attain your goal. Consider a performance gap you have experienced and complete the chart in Figure 4.2. What other performance gaps have you experienced?

Figure 4.2: Performance gap analysis

Use this chart to assess your own performance gap. Identify a desired reality—perhaps running a 5K. Next, honestly note your current reality: Can you run around the block? Run or walk for a mile? Once you determine the gap, �ill out the middle column with speci�ic action steps to move closer to your goal—how will you close the gap? To download an interactive version of Figure 4.2, click here (https://media.thuze.com/MediaService/MediaService.svc/constellation/book/AUBUS370.14.1/{pdfs}�ig_4.2.pdf) . Please note that you will need to open the �ile with Adobe Acrobat to enable the chart’s interactivity.

Bene�its of the Planning Phase

Planning is a critical phase of OD, because poor plans will result in poor outcomes such as �ixing the wrong problem, wasting time and resources, and frustrating organization members. The bene�its of good planning include setting the OD process up for success through careful analysis and diagnosis of the problem; engaging organization members from the beginning in the processes of collaboration, ongoing learning, and capacity building in the action research process; and prioritizing issues.

Tips and Wisdom

Time management guru Alan Lakein is credited with coining the phrase “Failing to plan is planning to fail” (as cited in Delaney, 2011). This advice is to be heeded in OD. Planning is key to effective interventions. How does Lakein’s quote apply to your experience?

Levels of Analysis

Before we delve into the steps of the planning phase, we should understand the location of the OD effort; that is, the level at which the action research might occur. This is known as the level of analysis. The OD effort might focus on the individual, group, organization, or system. Each level comes with its own issues, needs, and appropriate interventions. These levels, along with appropriate interventions, were discussed in Chapter 2.

All levels of analysis, from the individual to the system, face similar issues. Cockman, Evans, and Reynolds (1996) categorize organization issues according to purpose and task, structure, people, rewards, procedures, or technology:

Purpose and task refers to identifying the reason the organization exists and how its members advance its mission. Structure pertains to reporting relationships and how formal and informal power relations affect the organization. People issues relate to relationships, leadership, training, communication, emotions, motivation and morale, and organization culture. Rewards systems include �inancial and non�inancial incentives available for performance and perceived equity among employees. Procedures include decision-making processes, formal communication channels, and policies. These are an important category for analysis. Technology involves assessing whether the organization has the necessary equipment, machinery, technology, information, and transport to accomplish its tasks.

Table 4.2 identi�ies questions to ask about each area of Cockman, Evans, and Reynolds’s levels of analysis.

Table 4.2: Cockman, Evans, and Reynolds’s organizational issues and diagnostic questions

Organizational issues

Diagnostic questions

Purpose and tasks

What business are we in? What do people do?

Structure Who reports to whom? Where is the power?

Organizational issues

Diagnostic questions

People How are relationships managed? What training is provided? Who communicates with whom? How do people feel? How high is motivation and morale? What is the culture?

Rewards What are the incentives to perform well?

Procedures What are the decision-making procedures? What are the channels of communication? What are the control systems?

Technology Does the organization have the necessary equipment, machinery, information technology, transport, and information?

Source: Cockman, Evans, & Reynolds, 1996.

Identify a performance gap you are aware of personally or professionally and see if you can answer Cockman, Evans, and Reynolds’s questions.

Steps in the Planning Phase

The steps in the planning phase include identifying the problem area, gathering data, analyzing the data, sharing feedback, and planning action. These steps illuminate the core problem and identify key information for making an intervention.

Step 1: Preliminary Diagnosis of the Issue

When an OD process is initiated, it is imperative that the problem be correctly de�ined. Doing so involves a process of diagnosis. A consultant’s job is to push the client to identify the root cause of the problem, rather than its symptoms. Considering the QuickCo example, it might have been easy for Ned to decide to put the department through a customer service training based on the symptoms of late, erroneous orders. Had he done so, however, it likely would have worsened matters, because no amount of customer service training would �ix the department’s interpersonal con�licts, poor communication, and ineffective con�lict resolution. It may take intensive study and data collection to accurately diagnose a problem, but doing so is well worth it.

The action research process begins by de�ining a problem that warrants attention. Consultants must ask good questions to illuminate a problem’s source. They can then move on to the next step in the planning phase. Questions a consultant might ask a client include:

“What do you think is causing the problem?” “What have you tried to �ix it?” “How has this attempt to �ix the problem worked?” “What has been stopping you from fully addressing this issue?”

In addition to asking questions to pinpoint the issue, consultants must ask questions about who else will be involved in the OD effort. Also, as Chapter 3 explored, a consultant needs to uncover the client’s expectations regarding the duration of the project and make sure the client is willing to assume an equal responsibility for outcomes.

�ilo/iStock Vectors/Getty Images Collecting data ensures the OD process is evidence based.

Good questioning enhances one’s authenticity as a consultant. How have you diagnosed problems in your organization? Have you ever misdiagnosed an issue? What were the consequences?

Step 2: Gathering Data on the Issue

Once QuickCo diagnosed the team’s lack of communication and interpersonal effectiveness as the source of the problem, it was ready to collect information to inform next steps. This is known as data gathering. Data can be gathered in many ways. The most common data collection methods in action research include interviews, questionnaires, focus groups, direct observation, and document analysis.

Jack, the internal QuickCo consultant, took several steps to better understand the problem. He reviewed performa-nce trends and customer complaints, interviewed department members, and relied on his own working knowledge and observations of the department to formulate a solid understanding of the issues. What types of data have you gathered to better understand organization issues? Methods of data gathering are explored in detail in the next section of this chapter.

Step 3: Analyzing the Data

Once data has been collected, it must be turned into something meaningful and useful for the client. Data collected to provide

information about a problem is not useful until it is interpreted in ways that inform the issue and provide clues to possible interventions. For example, a survey is not helpful unless it is examined within the organization’s context. Data analysis will be more fully de�ined in the data analysis methods section later in this chapter.

Step 4: Sharing Feedback with the Client

Once data has been collected and analyzed, a feedback meeting is scheduled in which results are presented to the client. In the QuickCo example, Jack met with Ned and Sarah to share his analysis. Feedback meetings require careful planning to keep the consultancy on track. Consultants should decide on the key purpose and desired outcomes for the meeting. For example, do they want the client to better understand the problem? Agree on a course of action? Confront some issues affecting the problem? Sharing feedback with the client involves determining the focus of the feedback meeting, developing the agenda for feedback, recognizing different types of feedback, presenting feedback effectively, managing the consulting presence during the meeting, addressing con�identiality concerns, and anticipating defensiveness and resistance.

Step 5: Planning Action to Address the Issue

The last step of the planning or discovery phase is to plan the action that will be taken. This planning might occur during the feedback meeting, or you might schedule a time at a later date to give the client an opportunity to digest the data analysis and feedback. The outcome of the planning is to design the activity, action, or event that will be the organization’s response to the issue. This is known as an intervention. The type of intervention selected depends on the organization’s readiness and capability to change, the cultural context, and the capabilities of the OD consultant and internal change agent (Cummings & Worley, 2009). The intervention will also target strategy, technology and structure, and human resource or human process issues. The consultant and the client will collaboratively plan the appropriate intervention(s) to address the issue. Chapter 5 will address interventions in detail.

Take Away 4.2: Planning: The Discovery Phase

Planning is an opportunity to conduct a performance gap analysis to examine the difference between what is and what should be. Bene�its of the planning phase include setting the OD process up for success through careful analysis and diagnosis of the problem, engaging organization members from the beginning in the process of collaboration, enabling ongoing learning and capacity building in the action research process, and prioritizing issues. The levels of analysis include individual, group, organization, and system. Issues to address at each of these levels include purpose and task, structure, people, rewards, procedures, and technology. Planning is the �irst phase of action research and consists of �ive steps: identifying the issue, gathering data on the issue, analyzing the data, sharing feedback with the client, and planning action to address the issue.

4.3 Types of Research

OD is a joint endeavor between the client and consultant that includes data gathering and analysis. Involving clients in the data collection process reinforces their commitment to the OD process. The consultant’s role in this process is to help the client focus on the root cause of the problem and to organize the data collection and interpretation. A consultant’s objectivity can be very helpful to clients, enhancing their understanding of how they might be contributing to the problem or how the issue plays out within the broader organization context.

Einstein is credited with saying, “If we knew what it was we were doing, it would not be called research, would it?” (as cited in Albert Einstein Site, 2012). People conduct research when they have questions that do not have obvious answers. Depending on the question they wish to answer, there are differing types of research.

Basic Research

The word research might evoke images of people working in labs, examining petri dish cultures, and making new discoveries. This type of research is known as basic research, and it generally creates or extends the knowledge base of a discipline such as medicine, physics, or chemistry through experiments that allow researchers to test hypotheses and examine perplexing questions. Basic research results in new discoveries and theories and includes innovations like testing cures for cancer, establishing scienti�ic laws such as gravity, or refuting previously held beliefs such as the world being �lat. There are other types of research beyond basic, and they vary based on the type of question being asked.

Applied Research

When people seek to answer questions such as “What is the best way to facilitate learning during change?” or “How do we motivate employees to embrace new technology?” they are usually seeking to improve practice within a certain �ield. This is known as applied research because its results are germane to problems and issues within a particular setting such as business. This type of research is practical and helps people solve problems, but unlike basic research, it does not necessarily yield new knowledge. OD is applied research because it asks questions about challenges that are unique to the individual organizational context in which they are located.

Action Research

Action research explores speci�ic problems within a locality such as an organization or community. It might ask questions such as “How can we prevent employees from leaving Company A at a rate 3 times higher than the industry standard?” or “How can Hospital B implement an electronic health record with minimal disruption to patient care?” or “How can we lower poverty rates in Community C?” As the name implies and we have already covered, action research involves recurring cycles of study and action on a problem within a speci�ic context. Action research is participative because it usually involves members of the organization.

OD generally engages in both applied research and action research since it aims to improve practice (applied) within a speci�ic context (action). When you engage in action research, you are conducting a systematic inquiry on a particular organization problem by methodically collecting and analyzing data to provide evidence on which to base your intervention. When people do research in organizations, they are seeking not so much to generate new knowledge (or cure diseases) as to improve the quality of organization life. Action research is therefore a form of applied research because it seeks to directly address organization problems and respond to opportunities in ways that improve the organization for all its stakeholders.

Evaluation Research

People may also want to judge the quality of something like an educational program, conference, or OD intervention. Here they might ask, “How was the learned information applied?” or “What was the most effective mode of delivery of instruction?” or “What are people doing differently as a result of the intervention?” This type of research is known as evaluation research. Evaluation seeks to establish the value of programs or interventions and judge their usefulness. Evaluation can occur during the OD process, especially when the process is being evaluated before, during, or after the intervention. We will learn more about evaluation research in OD in Chapter 6. Refer to Table 4.3 for further description of the different types of research.

Table 4.3: Different types of research

Basic Applied Action Evaluation

Contributes to knowledge base in �ield (basic, pure) Experimental Tests hypotheses Seeks to answer perplexing problems

Improves practice in discipline (applied) Seeks to describe, interpret, or understand problems within speci�ic settings Will not necessarily create new knowledge

Addresses particular, local problem (action research) Systematic inquiry Addresses speci�ic problem within speci�ic setting Often involves participants Focused on practical problems, social change

Assesses value Measures worth or value of program, process, or technique Judges accomplishments and effectiveness Establishes decision-making basis

Take Away 4.3: Types of Research

Different types of research answer different types of questions. These types of research include basic, applied, action, and evaluation. Basic research seeks to make new discoveries, test hypotheses, and create new knowledge. Applied research explores practical questions and seeks to improve practice. It may not necessarily create new knowledge. Action research addresses particular problems within speci�ic contexts, such as an organization. It is also applied research because of its practical nature. Evaluation research assesses the value of programs, processes, or techniques and judges their effectiveness.

4.4 Research Methodology

In addition to the four types of research based on the types of questions asked, research can also be classi�ied according to the type of methodology that is used to collect data. Methodology represents the overarching philosophy and approach to collecting data.

Qualitative Research Methodology

When seeking to understand “how” a phenomenon occurs or unfolds (“How do leaders best develop?”) or inquire into the nature or meaning of something (“How does participation on a high-performing team affect individual identity and performance?”), a qualitative methodology is appropriate. Qualitative methodology is described as being “centered on understanding the meaning people have constructed” (Merriam, 2009, p. 13) and as “an umbrella term covering an array of interpretive techniques which seek to describe, decode, translate, and otherwise come to terms with the meaning, not the frequency, of certain more-or-less naturally occurring phenomena in the social world” (Van Maanen, 1979, p. 520).

Qualitative inquiry is not generally quanti�iable but rather provides convincing evidence. Qualitative data are generated from methods such as interviews, focus groups, or observations that are commonly conducted as part of the discovery phase of action research. Qualitative methods are rooted in constructivist philosophy—the idea that people build meaning from experience and interpret their meanings in different ways. For example, two people would likely de�ine the meaning of life differently.

Qualitative research occurs within the social setting or �ield of practice, and data collection is often referred to as “�ieldwork” or being in the “�ield.” Qualitative approaches can effectively address organization members’ everyday concerns, help consultants understand and improve their practice, and inform decisions. Examples of qualitative questions asked in OD include: “Why are employees dissatis�ied with Organization Y?” and “What speci�ic concerns do employees have about anticipated changes in the organization?” Qualitative methodology uses techniques that allow deep exploration of social phenomena through interviews, observations, focus groups, or analysis of documents.

Qualitative Research Characteristics

Qualitative research focuses on building meaning and understanding about social phenomena. The researcher (generally the consultant in OD) is the primary instrument for data collection and analysis. This means that it is the consultant who conducts interviews, focus groups, or observations and then interprets or analyzes their meaning. Interpretation is considered an inductive process—that is, meaning is inferred from the data through a process of comparison, re�lection, and theme building. Unlike quantitative methodology, where study participants are often collected at random, qualitative participants are selected purposefully and are individuals who can provide informed accounts of the topic under study. For example, if a consultant wants to know about the experiences of new employees, he or she obviously needs to ask new employees.

Qualitative Analysis and Results

Qualitative analysis provides a detailed account of the phenomenon. Direct quotations from participants and a full depiction of the setting, issue, or individuals under study is known as rich description. The design of a qualitative study is emergent and �lexible, meaning that the questions may change as new insights are gained. For example, if Sarah is conducting focus groups on issues faced by new employees, a topic may arise that she wants to query future groups about as she collects data.

Quantitative Research Methodology

When people want to know “how much” or “how many” of something, they generally seek a quantitative methodology. For example, a researcher might want to know: “What are the percentage breakdowns of employee satisfaction in Organization Y, from very dissatis�ied to very satis�ied?” or “What is our organization’s productivity rate compared to the industry standard?” Quantitative methods assume there is one correct answer to a question. This type of research yields statistical descriptions and predictions of the topics under study.

Recall from earlier coverage in this book the process of survey feedback, in which employees are given a questionnaire about the organization’s management, culture, or atmosphere. Surveys are regularly used in OD to assess issues such as attitudes, individual performance, and technology needs or to evaluate certain functions or products. Surveys provide quanti�iable data, such as what percentage of employees feel management is doing a good job or what percentage of employees plan to look for other work in the coming year.

Quantitative Research Characteristics

Quantitative techniques include surveys, questionnaires, and experiments that may involve testing with control groups. For example, Team A might be trained on effective team dynamics and facilitation procedures. Its productivity and performance might then be measured against Team B, which received no prior training. Quantitative studies are carefully designed, and once data collection begins, they are not changed. For example, if Jonas was administering a survey to a population, he would not change the questions halfway through data collection. Samples in a quantitative study are random and large. A corporation of 40,000 employees being surveyed on their opinions about health bene�its would target a smaller number of randomly selected workers to provide a representation of what the majority of workers would likely prefer.

Quantitative Analysis and Results

Quantitative data are analyzed using a deductive process in which the numbers or statistics will be used to determine an understanding of what is being studied. Assuming a bene�its survey was conducted in the previous example, the organization might learn that 60% of employees prefer managed care, 40% want vision, and only 30% want dental insurance. The company would use this information to modify its bene�its packages.

Table 4.4 compares and contrasts qualitative and quantitative methods.

Table 4.4: Comparison of qualitative and quantitative research methods

Comparison Qualitative Quantitative

Research focus

Quality (nature, essence) Quantity (how much, how many)

Philosophical roots

Phenomenology, symbolic interactionism, constructivism

Positivism, logical empiricism, realism

Associated phrases

Fieldwork, ethnographic, naturalistic, grounded, constructivist

Experimental, empirical, statistical

Goal of investigation

Understanding, description, discovery, meaning, hypothesis generating

Prediction, control, description, con�irmation, hypothesis testing

Comparison Qualitative Quantitative

Design Flexible, evolving, emergent Predetermined, structured

Sample Small, nonrandom, purposeful, theoretical Large, random, representative

Data collection

Researcher as primary instrument, interviews, observation, documents

Inanimate instruments (scales, tests, surveys, questionnaires, computers)

Analysis Inductive, constant comparative method Deductive, statistical

Findings Comprehensive, holistic, richly descriptive Precise, numerical

Take Away 4.4: Research Methodology

Qualitative research methodology is used to understand how a phenomenon unfolds or occurs. This approach usually investigates how things occur and seeks to create meaning and understanding about the topic under study. Quantitative research methodology is focused on measuring how much or how many of something. Its goal is to interpret statistics so they are meaningful within the context they are derived from, such as an organization.

4.5 Research Methods

Research methods are procedures used to collect data. They are based on the type of research methodology used. Methods typically used in OD are pro�iled in this section.

Interviews

A conversation facilitated by the consultant for the purpose of soliciting a participant’s opinions, observations, and beliefs is an interview. Interviews give participants the opportunity to explain their experience, record their views and perspectives, and legitimize their understandings of the phenomenon under study (Stringer, 2013). The interviews at QuickCo likely asked employees about departmental problems, communication, leadership, and so forth. Conducting interviews requires constructing questions that best address the issues under investigation. For example, Jack might have asked the QuickCo shipping employees:

“What do you see as the top three challenges in the shipping department?” “Can you tell me about a speci�ic event that contributed the problems you face today?” “What has to change for you to be happy here?” “What have you tried to resolve the problem?” “What role have you played in the shipping department?” “How likely are you to leave your position in the next year?”

Recording interviews can be useful, but make sure you have permission from the participant (interviewee) and prepare and test the recording equipment in advance. If you are not able to record, you will want to take notes, but this is not ideal since it distracts you from what the interviewee is sharing.

Interviews have several strengths. They provide in-depth insight into an interviewee’s opinions, attitudes, thoughts, preferences, and experiences. Interviews allow the interviewer to probe and pose follow-up questions. Interviews can be done rapidly, particularly by telephone and e-mail, and they tend to elicit high response rates.

Interviews also have several weaknesses, including that they can be costly and time-consuming, especially when done in person. Interviewees may answer in ways they think will please the interviewer rather than tell the truth. The quality of the interview is dependent on an interviewer’s skill and ability to avoid bias and ask good questions. To avoid bias, an interviewer should set aside expectations about the problem and solutions and truly listen to what the participants say during data collection. Interviewees may lack self-awareness or forget important information and thus fail to provide good data. They may also have con�identiality and trust concerns. Data analysis can also be time-consuming.

Questionnaires

A questionnaire is an electronic or paper form that has a standardized set of questions intended to assess opinions, observations, and beliefs about a speci�ic topic, such as employee satisfaction. It is a quantitative method. Questionnaires are also known as surveys, and one of OD’s �irst interventions was survey research, as was discussed in Chapter 1. Questionnaires measure attitudes and other content from research participants. The results can be quanti�ied, often to show statistical signi�icance of the responses.

Questionnaires are commonly administered to employees to inquire about the organization’s culture and climate, and their satisfaction levels with their work, management, and relationships. Participants are usually asked to rate the questionnaire items using a Likert scale (described in Chapter 1). For example, they might

Jakub Jirsák/iStock/Thinkstock Surveys and questionnaires are common data collection methods used in OD.

rate an item such as “Management is concerned with my welfare” on a 5-point scale from “Strongly Disagree” to “Strongly Agree.” Questionnaires should feature clearly written questions that will yield actionable information.

Questionnaires and surveys have several bene�its. They are inexpensive to administer, especially if done electronically or in groups. Software programs make surveys relatively easy to develop and distribute. Questionnaires provide insights into participants’ opinions, thoughts, and preferences. They allow rapid data collection and are gener-ally trusted for con�identiality and ano- nymity. Questionnaires are reliable and valid when well- constructed and permit open-ended data to be collec-ted, as well as exact responses to direct questions.

Questionnaires and surveys also pose some challenges. They should be kept short or participants may not compl-ete them. Participants may answer in ways they think please you instead of telling the truth. They may not respond to certain items at all, especially if the wording is unclear. Participants may not trust con�identiality, or may feel that the survey is tedious; thus, the response rate may be low. Finally, data analysis can be time-consuming for open-ended items.

Focus Groups

A group of approximately eight to twelve participants assembled to answer questions about a certain topic is known as a focus group. Focus groups are similar to interviews, but they are conducted collectively and facilitated by a moderator. Developing targeted questions is important, as is inviting the right people who possess insight and experience relevant to the problem. Focus group sessions should be recorded and transcribed verbatim, with participants’ permission.

Focus groups are bene�icial for understanding participants’ thinking and perspectives, as well as for exploring new ideas and concepts. Participants can generate new knowledge and ideas, especially if they build off each other’s remarks. Focus groups might also yield in-depth information about problems or potential �ixes. They can offer insight into the client organization’s relationships and communications, and may provide an opportunity to probe relationship issues. Focus groups are relatively easy to organize and represent an ef�icient way to collect data from several stakeholders simultaneously.

Focus groups also pose challenges. They might be expensive to conduct if participants are brought in from multiple locations. Finding a skilled facilitator can be dif�icult. Participants may be suspect of the process and have con�identiality concerns. Participants might also be overbearing, negative, or dominant during the session, so adroit facilitation is needed. If employees are angry or worried, their emotions can dominate. Focus groups can also generate voluminous �indings that may not be generalizable if the participants are not representative of the organization, or may not be relevant to the issue under investigation. Finally, large amounts of data may be time- consuming to analyze. Consultants should hone their focus group facilitation skills, and resources for building this competency are listed at the end of this chapter.

Direct Observation

Suppose Nina watches people, meetings, events, work processes, or day-to-day activity in the organization setting and records what she sees. Nina is undertaking direct observation. This data collection method involves recording observations in the form of �ield notes. Stringer (2013) lists typical observations made in action research:

Places: the contexts where people work, live and socialize, including the physical layout

©Dave & Les Jacobs/Spaces Images/Corbis Records, texts, brochures, or websites offer unobtrusive access to an organization’s information and history.

People: the personalities, roles, formal positions, and relationships experienced by participants Objects: the artifacts in our contexts such as buildings, furniture, equipment, and materials Acts: the actions people take (signing a form, asking a question) Activities: a set of related acts (e.g., facilitating a meeting) Events: a set of related activities (e.g., putting on a training session) Purposes: what people are trying to accomplish Time: times, frequency, duration and sequencing of events and activities Feelings: emotional orientations and responses to people, events, activities, and so forth

Direct observation has several bene�its. It allows direct insight into what people are doing, avoiding the need to rely on what they say they do. Observation offers �irsthand experience, especially if the observer participates in activities they observe. This is known as participant observation, and is just as useful for observing what happens as for what does not (for example, a manager may tell you she involves employees in decision making, but you may observe her doing the opposite). An observation might yield valuable details that offer insight into the organization’s context and politics that organization members may miss. Observational data may also provide a springboard from which to raise issues that people would otherwise be unwilling to talk about.

Direct observation also poses challenges. It may be impossible to determine a rationale for observed behavior. If people know they are being observed, they may alter their behavior. Observations may be clouded by personal bias and selective perception. One must avoid over-identifying with the studied group so that observations are objective (this is especially challenging in the case of participant observation). Doing observation can be time-consuming and access may sometimes be limited, depending on the type of organization. A consultant may have to sort through observations that seem meaningless in relation to the problem. Data analysis can also be time-consuming.

Document Analysis

Document analysis involves reviewing relevant records, texts, brochures, or websites to gain insight into organization functioning, problem solving, politics, culture, or other issues. Documents might include memoranda, meeting minutes, records, reports, policies, procedures, bylaws, plans, evaluation reports, press accounts, public relations materials, vision statements, newsletters, websites, and so forth. Most organizations have a proli�ic amount of documentation, so using this type of data requires a clear focus and purpose. For example, Jack, our QuickCO consultant, reviewed performance trends and customer complaints to better understand the shipping department’s problems. If Jack was trying to help an executive improve communication skills, he might review his client’s e-mail correspondence to determine how effectively and respectfully the executive communicates. This type of data collection can signi�icantly inform the OD initiative.

Documents provide several advantages, including access to historical data on people, groups, and the organization, as well as insight into what people think and do. Document analysis is an unobtrusive data collection method, which minimizes negative reactions. Certain documents might also prove useful for corroborating other data collected; for example, Jack could compare the executive’s e-mail communications with colleagues’ accounts collected through interviews.

On the other hand, documents might provide little insight into participants’ thinking or behavior, or might not apply to general populations. They can also be unwieldy and overwhelming to the action research process. Con�idential documents may sometimes be dif�icult to access.

Additional Data Sources

Although interviews, questionnaires, focus groups, direct observation, and document analysis are the most commonly used OD data sources, other sources of information include the following:

Tests and simulations: structured situations to assess an individual’s knowledge or pro�iciency to perform a task or behavior. For example, some organizations might use an inbox activity to assess delegation skills during a hiring process. Others use psychological tests to measure ethics, personality preferences, or behaviors. These instruments can be used in hiring, team development, management development, con�lict resolution, and other activities. Product reviews: reviews of products or services from internal or external sources. These can be useful for addressing quality or market issues. Performance reviews: formal records of employee performance. These can be particularly useful for individual interventions that are developmental or for succession planning on an organization level. Competitor information and benchmarking: comparative analyses of what competitors are doing regarding the issue under exploration. Examples might include salary, market, or product comparisons. Environmental scanning: analysis of political, economic, social, and technological events and trends that in�luence the organization now or in the future. Critical incidents: interviews that ask participants to identify a speci�ic task or experience and pinpoint when it went well, when it did not go well, and what they learned. Critical incidents were �irst used in military pilot training to identify and eliminate mistakes.

Take Away 4.5: Research Methods

An interview is a qualitative data collection method that solicits opinions, observations, and beliefs about a particular social phenomenon by asking the interviewee to re�lect on questions. Questionnaires are quantitative data collection instruments that survey participants about their opinions, observations, and beliefs according to a standardized set of questions. Focus groups involve eight to twelve participants who have specialized knowledge or experience relevant to an issue or problem in the organization and are led through a series of questions and a discussion about the issue by a consultant. Direct observations are conducted by watching people, meetings, events, work processes, or day- to-day activities related to the OD issue or problem in the organization setting. Document analysis is the review of relevant records, texts, brochures, websites, or other documents to gain insight into the way the organization runs, solves problems, manages politics, develops culture, and makes decisions. Multiple data sources exist to provide information when engaging in OD. The key is to �ind the methods that will yield the most useful data.

Matelly/cultura/Corbis A consultant’s role is not just to collect data but to analyze its signi�icance and present �indings to the client.

4.6 Methods of Analyzing the Data

The most common types of research in OD are survey research using quantitative methods, and qualitative inquiry that could employ interviews, focus groups, observation, document analysis, or a combination thereof. As you recall, quantitative methods are used to determine “how much,” while qualitative methods are used to determine “how.” We have already identi�ied the many methods for collecting data; now, what do you do with it?

Data are simply bits of information until they are assimilated in ways that tell a story or provide deeper understanding of a phenomenon. For instance, employee responses on a survey about job satisfaction are just numbers on a page until interpreted. Once you know that 35% of respondents are only moderately satis�ied and are clustered within a certain division or job classi�ication, then you can begin to understand the scope of the problem and consider interventions.

A consultant’s job is to make sense of data and present them to the client. Such a presentation should be in plain language and in quantities that the client can easily manage. It is advisable to involve the client and other relevant organization members in the presentation of the analysis, because doing so promotes buy-in, collaboration, and accurate data interpretation.

There are several steps to analyze data effectively. These steps differ depending on whether you are doing qualitative or quantitative analysis. It is beyond the scope of this book to fully train you as a researcher, so it is a good idea to gain additional training and experience in this area if it interests you. Until you gain experience with data analysis, it is recommended that you partner with someone who is an expert. If you have access to a university or other organizational research team, this can be an easy way of both �inding a research expert and developing a research partnership. Such relationships help bridge theory and practice and can be great opportunities to enhance your learning. There are also some suggestions for continued learning listed at the end of this chapter. The following case study offers an example of how to ensure effective data analysis.

Case Study: Data Collection and Analysis at Jolt Transformers

Jo Lee of Design Solutions Consulting receives a phone call from Rex James of Jolt Transformers. “Rex, what can I do for you?” asks Jo, who had done work for Jolt in the past. “Jo, we’ve got a problem with our technicians,” Rex replies. “We can’t keep them. We hire them, train them, and then they go work for the competition for more money. Then the cycle repeats and it seems we wind up hiring folks back again until they can jump ship for more cash. Our management team thinks they need more training.”

“What makes you think that, Rex?” Jo is skeptical that training is the solution in this case. She listens a bit longer and sets up a time to meet with Rex and his division CEO. During the meeting Jo asks several questions about the extent of the problem and what steps have been taken to address it. The three agree that the �irst step is to collect more data to understand the scope of the problem. They decide on a three- pronged approach: a survey of technicians, interviews with key executives, and focus groups with selected technicians. These methods will provide both quantitative and qualitative data.

Over the coming weeks, Jo and Rex work on developing a survey with a small team that includes technician supervisors, technicians, and human resource personnel. They administer the survey to each of the company’s 75 technicians. The survey results show that 70% are dissatis�ied with their careers at Jolt and 62% are planning on applying elsewhere in the next year. Jo and Rex also develop interview questions for the executives and a format and questions for the technician focus groups.

During the interviews, it becomes clear to Jo that the executives believe the problem is that the company lacks a training institute for technicians. A couple of executives want her to design a curriculum to train the technicians more effectively. Jo is highly skeptical of this assumption, however, because it runs counter to what she is learning from the technicians. Other executives express concern that the company is not investing appropriately in the development and retention of its workforce. Jo thinks they might be on to something.

During the focus groups with technicians, Jo hears comments such as:

“There is no clear career path at Jolt. The only way to progress is to go elsewhere.”

“The company doesn’t seem interested in us at all. They just want us to produce—the faster, the better.”

“The competing companies provide a much better orientation program and connect you with a mentor to help you develop your skills.”

“It’s a mystery what you have to do to get promoted around here. Instead of moving up, you might as well just plan to move out.”

During the weeks that Jo collects and analyzes data, she undertakes several measures to promote a thorough, effective analysis. Each are discussed as tenets of effective analysis and related to the case.

Design a systematic approach; keep a data log. Jo works with a team from Jolt to design a process for collecting quantitative and qualitative data. As the data collection process unfolds, Jo keeps a detailed log of the steps taken, especially for the interviews and focus groups. These notes allow her to tweak the interview and focus group questions based on what she learns.

When you use data logs, you can keep them in the form of a journal or of�icial memoranda that highlight key steps, decisions, and emerging themes. These logs might include visual images of what you are learning, such as models, system diagrams, or pictures. Write notes to yourself as you analyze. Thoroughly documenting your procedures is good practice and should allow another person to step in and repeat your data collection and analysis procedures.

Allow data to in�luence what is learned. Jo listens and watches carefully as she collects data. Her attention to detail offers her new insights into prevailing assumptions at play in the organization. She is able to add questions to the interviews and focus groups that push participants to think more broadly about the problem. For example, she pushes executives to provide evidence that a training institute would result in better retention of employees. When the executives �ind they cannot provide clear answers, they re�lect more deeply on the problem. Jo is also able to probe more around the lack of development and retention activities going on in the organization.

Constantly compare qualitative data. Constant comparison earned its name because it involves a repetitive process of comparing themes that appear in the data until the researcher arrives at a cogent list that satisfactorily explains the phenomenon. This involves careful study, note making, and looking for patterns in the data. Having more than one set of eyes coding the data and generating themes helps verify the analysis.

In the case of Jolt, two themes were found from the data analysis:

1. Technicians were dissatis�ied with: a. lack of a career path and b. level of support for advancement and growth.

2. Jolt was lacking: a. long-term strategies for recruitment, retention, and development of technicians; and b. a strong orientation program.

The focus groups at Jolt began to produce themes and patterns related to technicians’ lack of clarity regarding career paths.

Often researchers will use technology to organize and compare qualitative data, such as NVivo (http://www.qsrinternational.com/products_nvivo.aspx?utm_source=NVivo+10+for+Mac) or the Ruona method (Ruona, 2005). This involves repeatedly reading the transcripts or other documentation and coding similar issues. For example, if you continually noted issues related to poor leadership, you would assign a code such as “PL” to data that speak to that theme. As just mentioned, this approach is known as constant comparison. Constantly comparing the data allows you to identify themes you might have previously missed and also to validate recurring ones. You should pay attention to all data, even data that do not make sense or �it the emerging themes. Sometimes the outliers can provide unique insight that proves to be helpful in addressing the issue.

Code data. Qualitative data are coded, and the codes will eventually be grouped into themes. This involves reading passages of the transcript and giving them codes. For instance, Jo might have coded Jolt’s transcripts with the following categories:

job dissatisfaction leadership mentoring recruitment socialization learning and development issues career progression

Once a series of themes has been established, it is best to narrow these down to a more manageable three to �ive ideas. Subgroups can be created under themes if necessary. You will likely wind up with more themes than you will ultimately want to share with the client. The client needs to �ind the initial analysis digestible and in accessible language. You may share additional analysis as it becomes relevant to client needs.

Document �indings in an accessible way for the client. Jo had dozens of pages of data, including survey results and interview and focus group transcripts. She distilled this information into speci�ic key �indings and recommendations that were not overwhelming to the client.

Find ways to disseminate �indings with other practitioners and researchers. The best research happens in organizations, yet it rarely gets shared further once the problem is solved. It is helpful to attend professional meetings and conferences and to write up your �indings for other practitioners to review. This advances the OD knowledge base, promotes discussion, and elicits new questions.

Take Away 4.6: Methods of Analyzing the Data

The approach to data analysis will depend on the methods used to collect data. The case study above offered a realistic account of how to analyze data and modeled the following tips: be systematic, keep a data log, let the data in�luence how you learn and think about the problem, constantly compare data, code the data, document the �indings so the client can understand them, and disseminate what has been learned.

4.7 Methods of Sharing Feedback (Data Analysis) With the Client

Like the action research process itself, feedback meetings require careful planning to keep the consultancy on track. As the consultant, you are responsible for identifying a meeting’s key purpose and desired outcomes. For example, do you want the client to better understand the problem? Agree on a course of action? Confront some issues affecting the problem?

Sharing feedback with the client involves determining the feedback meeting’s focus, developing the meeting’s agenda, addressing con�identiality concerns, recognizing different types of feedback, presenting feedback effectively, managing your consulting presence during the meeting, and anticipating defensiveness and resistance. Each of these will be discussed in this section.

Determining the Focus of the Feedback Meeting

Several issues should be considered when planning a feedback meeting. What outcomes do you seek? Do you want to enhance understanding of the problem? Obtain agreement on a course of action? Study the issue further? No matter the meeting’s focus, there are at least two issues that must be incorporated into the feedback meeting design:

1. data analysis presentation, and 2. discussion about the analysis and recommendations for future action.

Keep your goals in mind as you plan the meeting. Structure it to help the client move to the next phase. Allow time to preset results, and engage the client in a conversation about the data. In the spirit of authenticity, plan ways to solicit feedback on your consultation during the meeting, perhaps by asking, “Are you getting what you need from me?” “Is this what you expected?” “What don’t you understand?” and so forth.

Developing the Meeting Agenda

As you create the agenda, you will want to split the meeting into two parts: (a) data analysis presentation, and (b) dialogue about the analysis and next steps. Block’s (1999) meeting agenda format for a feedback session has been adapted below:

1. Restate the original contract (described in Chapter 3). 2. State the purpose, outcomes, and process for the meeting. 3. Present the analysis and recommendations. 4. Present recommendations. 5. Ask for client reactions. For example, “Are you surprised by anything I’ve said?” or “Is this meeting your

expectations?” 6. Be authentic. Ask the client during the meeting, “Are you getting what you want?” 7. Make a decision on actions or next steps and assign tasks and dates. 8. Address concerns and assess commitment. 9. Re�lect on whether or not your goals were met—conduct a meeting evaluation and ask for feedback on your

consulting. 10. Close with support and a focus on the next steps.

Block (1999) suggests beginning with a compelling statement that explains why the problem exists and outlines the consequences if no action is taken over the short and long term. Next, recommend solutions in collaboration with the client, identifying anticipated bene�its.

Once the feedback meeting is completed, it is a good idea to conduct a meeting postmortem. This involves evaluating the meeting, re�lecting on what happened, soliciting input from stakeholders, and seeking feedback on your consulting.

Addressing Con�identiality Concerns

The agenda should be structured in a way that respects con�identiality and anonymity, especially when presenting data analysis. Consultants will invariably work with sensitive data. They have an ethical obligation to simultaneously provide the client access to the data but also protect the con�identiality of the people who provided it. Consultants should verify data usage and con�identiality expectations in the contracting process outlined in Chapter 3. Detailing such expectations in writing allows everything to be spelled out should the client ever insist on viewing the raw data.

Collecting sensitive data—such as an attitude survey in an organization where there is high employee dissatisfaction —requires taking appropriate research measures to protect the con�identiality and anonymity of participants.

A consultant’s credibility can be compromised if he or she lapses in the area of data con�identiality. It is especially it is important to protect con�idential data when under pressure. A colleague once worked as an external consultant for a company whose president demanded raw data from an attitude survey that was highly negative. He insisted that he “owned” the data because he had paid for the survey. The consultant quit and took the data with her rather than violate her ethics and turn the data over to the president. Protecting con�identiality will enhance your integrity and authenticity. You can protect con�identiality by keeping your promise not to share raw data, protecting your data sources (e.g., completed surveys) by keeping them in a secure location, and limiting access to the data only to individuals whom you trust and who need to work with it.

Recognizing Different Types of Feedback

Consultants recognize two broad types of feedback. Positive feedback involves sharing what the client is doing well or what is working in the organization; negative feedback involves sharing what the client is doing badly or what is not working.

It is important that the client hear the good things before the consultant delves too deeply into the opportunities to improve. However, not all positive feedback is helpful. Positive feedback that undermines problem solving progress is known as destructive positive feedback. Examples include offering unwarranted praise or saying what the client wants to hear instead of what the client needs to hear. Destructive positive feedback is counterproductive to helping clients solve problems because it convinces them they are doing well enough and do not need to change. In contrast, positive feedback that helps the client is constructive positive feedback. Examples include describing what the client does well, what others appreciate, successes, and behaviors that are helpful to others. What types of destructive or constructive positive feedback have you received?

Feedback that hurts the client is known as destructive negative feedback. Examples include put-downs, insults, or nonspeci�ic criticism. This type of feedback is not helpful and may even erode progress on the problem. Negative feedback that helps the client is known as constructive negative feedback. Examples include outlining what the client does badly, failures, behavior that hinders others, behavior that is uncomfortable for others, and speci�ic criticism. You can probably recall receiving both forms of feedback and how they made you feel.

Presenting Feedback Effectively During the Meeting

It is a big job to analyze data and decide what to share at the feedback meeting. It is likely that you will not present all of the data collected. Cummings and Worley (2009) suggest that feedback is most useful when it is relevant to the client and presented in an

©Monty Rakusen/Corbis It is important that consultants communicate data and analysis effectively to their clients. How might communication methods change from client to client?

understandable and descriptive way. Clients also want information that is veri�iable, signi�icant, timely, and not overwhelming to digest. You will want to ensure that data are balanced; include the success data in addition to the failure data. It is also helpful to provide comparative data when available, such as cross- department comparisons or benchmarking with other competitors or industries. You should also be willing to collect more data as needed.

Consultants should present feedback in a way that enables the client to hear it. Whether negative or positive, feedback should be constructive, or helpful to the client. Regardless of the feedback shared, it must be delivered with respect; feedback should never come across as hurtful or insulting. In all cases feedback should be based on available evidence—the data that have been collected and analyzed. Block (1999) urged that it is important to be assertive and use language that is descriptive, focused, speci�ic, brief, and simple. Avoid language that is judgmental, global, stereotyped, lengthy, or complicated.

Managing Your Consulting Presence During the Meeting

This book has discussed the need for consultants to be authentic and to complete each phase of action research. How consultants give feedback is critical because it impacts how well the client will hear and accept the message. Striking an effective stance during feedback involves being respectful, providing direct and constructive description, and anticipating resistance. It is imperative to respect the client; hurtful feedback is not productive, so make sure the feedback is constructive and nonjudgmental.

In addition to being respectful, consultants should provide direct, constructive description. This involves being assertive and straightforward about the analysis. The feedback meeting is not the time to timidly sugarcoat results, particularly if they are negative. As discussed under types of feedback, there are ways to constructively deliver negative feedback. The way feedback is described will impact the client’s receptivity to it. Describing a problem clearly, directly, and convincingly helps the client absorb the breadth and depth of the issue without getting overburdened in detail. Include data that links to both the root cause and the symptoms (often the presenting problem). It can be helpful to highlight data in areas where the client has the responsibility and authority to make changes. It is also bene�icial to include data the client will view as important that calls attention to problems where there is a commitment to change. For instance, if the organization has an ongoing initiative, such as work teams, showing evidence of their activities and results can validate the data and reinforce the value of the action research process in implementing change.

It is also advantageous to anticipate aspects of the feedback that are likely to cause client defensiveness and to come prepared to defuse them. Do not allow the client to project frustration about the data onto you—you are just the messenger. You should also identify stakeholders who will be absent from the meeting and plan to follow up with them about the meeting’s content and outcomes. Be prepared to deal with resistance as directly and constructively as you presented the data, and invite the client’s assessment of the problems and courses of action. Anticipating what might come up during the meeting helps a consultant effectively prepare for the unexpected.

Managing Defensiveness and Resistance During the Meeting

Clients often become defensive about feedback, particularly if it is negative or will require signi�icant changes. For instance, suppose Janessa was assessing an organization’s retention issues and had

TommL/E+/Getty Images Resistance is to be expected during feedback. Consultants must move clients beyond resistance and get them to collaborate on the solution.

data that women and people of color were leaving the organization due to discrimination and harassment. She might anticipate denial and defensiveness from a mostly White, male-dominated organization. Having benchmarking data handy on how other organizations have dealt with this issue would be one way Janessa could counteract this defensiveness.

In addition to being defensive, clients might also resist making changes. A consultant might hear, “It will cost too much,” “We don’t have time to do this!” or “This will never work here.” A good way to respond to such sentiments is to push the client to consider the cost of not adopting the solution; or a consultant might ask: “Do you still want to be dealing with this problem 6 months from now?” “What are you afraid of?” “What is your opposition really about?” Pursuing a strong line of questioning helps the client see faulty reasoning in the resistance. Another tactic to thwart resistance is to invite those you anticipate will be the most resistant to attend the feedback meeting so they become involved in determining the intervention and thus develop buy-in to the solution.

In addition to anticipating defensiveness and resistance, consultants should make sure the feedback is as constructive and descriptive as possible. For example, instead of making negative, destructive, and vague statements such as “Your management structure isn’t working,” a consultant might say, “According to the survey, employees are confused about lines of authority and the vision for the organization.” The second statement is nonjudgmental and provides more detail than the �irst. Also, clearly stating authority lines and vision gives the client something tangible to work on.

Consultants should determine feedback points that are likely to cause defensiveness and anticipate in advance of a meeting what form that defensiveness might take. They should also develop questions that will help the client express resistance or defensiveness. These might include: “What points of the feedback concern you?” or “Are there points you disagree with?” These questions will spark dialogue on what aspects of the feedback are troubling to the group. When a consultant detects defensiveness and resistance, he or she should address it swiftly and tactfully, because doing so enhances the consultant’s authenticity and credibility.

Smoothly managing the feedback process is a key competency of an OD consultant. The Tips and Wisdom box below offers some tips to help you develop this skill.

Tips and Wisdom

The client has a right to all the information collected (use of data should be established in the contracting process, including con�identiality). Not all of the data collected will be used. It is a consultant’s job to synthesize the data so that it is useful to the client. Include success data in addition to the “failure” data. Offer constructive feedback with respect. Respect con�identiality and anonymity. This enhances a consultant’s integrity. Include data that calls attention to the root cause as well as the symptoms (often the presenting problem). Avoid sugarcoating data that the client may not want to face. Highlight data in areas where client has responsibility and authority to make changes.

Use data to highlight a manageable number of problems. Include data the client will view as important; such data calls attention to problems where there is a commitment to change. Avoid inundating the client with detail. Avoid allowing the client to project frustration about the data onto you. Be prepared to deal with resistance. Invite the client’s assessment of the problems and courses of action.

Assessment: Develop a Force Field Analysis

Instructions: Develop a force �ield analysis to anticipate different types of support and resistance a consultant might encounter during a feedback meeting. Click here (https://media.thuze.com/MediaService/MediaService.svc/constellation/book/AUBUS370.14.1/{pdfs}sec_4.7.pdf) to download an interactive version of this assessment.

List the topic of feedback:

Driving forces of support for the analysis:

Resisting forces of support for the analysis:

Take Away 4.7: Methods of Sharing Feedback (Data Analysis) With the Client

When planning to give feedback to the client, a consultant must decide the focus of the feedback meeting based on the outcomes the client needs, such as better understanding of the problem, agreeing on a course of action, or deciding to study the issue further. Take time to develop a detailed meeting agenda that includes the data analysis and presentation and a conversation about the analysis and next steps. Take efforts at every step of the research process to protect con�identiality and make the client comfortable. Be cognizant of what type of feedback is shared. Consultants must share both negative and positive feedback with clients. They should avoid feedback that is positively or negatively destructive, such as saying what the client wants to hear, glossing over problems, or sharing hurtful information. Ensure that the information presented to the client is relevant, succinct, veri�iable, timely, and not overwhelming. Consultants should strike a composed, con�ident, respectful, and competent stance during meetings. These are imperative in helping the client view the consultant as an authoritative partner. Plan to defuse resistance and defensiveness during the meeting.

Summary and Resources

Chapter Summary Action research is a recurring, collaborative effort between organization members and OD consultants to use data to resolve problems. The three phases of action research are planning, doing, and checking. A variety of OD theorists follow Lewin’s model, although the number and names of steps may vary. Planning is an opportunity to conduct a performance gap analysis to examine the difference between what is and what should be. Bene�its of the planning phase include setting the OD process up for success through careful analysis and diagnosis of the problem, engaging organization members from the beginning in the process of collaboration, ongoing learning and capacity building in the action research process, and prioritizing issues. The levels of analysis include the individual, group, organization, or system. Issues to address at each of these levels include purpose and task, structure, people, rewards, procedures, and technology. Planning is the �irst phase of action research and consists of �ive steps: identifying the issue, gathering data on the issue, analyzing the data, sharing feedback with the client, and planning action to address the issue. Different types of research answer different types of questions. Types of research include basic, applied, action, and evaluation. Basic research seeks to create new knowledge based on experiments and hypothesis testing. Applied research explores practical questions and seeks to improve practice. It may not necessarily create new knowledge. Action research addresses particular problems within speci�ic contexts, such as an organization. It is also applied research because of its practical nature. Evaluation research assesses the value of programs, processes, or techniques and judges their effectiveness. A qualitative research methodology is used to understand how a phenomenon unfolds or occurs. This approach is usually interested in how things occur and seeks to create meaning and understanding about the topic under study. A quantitative research methodology is focused on measuring how much or how many of something. Its goal is to interpret statistics so they are meaningful within the context they are derived from, such as an organization. An interview is a qualitative data collection method that solicits opinions, observations, and beliefs about a particular social phenomenon by asking the interviewee to re�lect on questions. Questionnaires are quantitative data collection instruments that survey participants about their opinions, observations, and beliefs according to a standardized set of questions. Focus groups bring eight to twelve participants together to collectively re�lect on questions that are posed to the group, explore issues, and generate new ideas. Direct observations are conducted by watching the operations and interactions taking place in the organization. Document analysis is the use of relevant records, texts, brochures, or websites to gain insight into the way the organization runs, solves problems, manages politics, develops culture, and makes decisions. Multiple data sources exist to provide information when engaging in OD. The key is to �ind the methods that will yield the most useful data. The approach to data analysis will depend on the methods used to collect it. The case study about data collection and analysis at Jolt Transformers offered a realistic account of how to analyze data and modeled the following tips: be systematic, keep a data log, let the data in�luence how you learn and think about the problem, constantly compare data, code the data, document the �indings so the client can understand them, and disseminate what has been learned. When planning to give feedback to the client, decide the focus of the feedback meeting based on the outcomes the client needs, such as better understanding of the problem, agreeing on a course of action, or

deciding to study the issue further. Take time to develop a detailed meeting agenda that includes the data analysis and presentation and a conversation about the analysis and next steps. Make efforts at every step of the research process to protect con�identiality and ensure the client is comfortable. Be cognizant of what type of feedback is shared. Consultants must share both negative and positive feedback with clients. They should avoid feedback that is positively or negatively destructive, such as saying what the client wants to hear, glossing over problems, or sharing hurtful information. Ensure that the information presented to the client is relevant, succinct, veri�iable, timely, and not overwhelming. Consultants should strike a composed, con�ident, respectful, and competent stance during meetings. These are imperative in helping the client view the consultant as an authoritative partner. Plan to defuse resistance and defensiveness during the meeting.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Recount a time you participated in a data collection in your organization. What was the method (interviews,

questionnaire, etc.)? How was the data used? How well did the consultant do, based on the principles presented in this chapter?

2. Re�lect on your presence as an OD consultant. What are your key strengths and challenges? 3. Recall a time you facilitated problem solving with a group (or anticipate a future opportunity). What were

your biggest strengths and challenges related to overcoming resistance? 4. Identify an issue in your organization that warrants further study using action research. Outline the types of

data you would collect, the participants, analysis, and how you would go about sharing feedback with the leadership.

5. Recommended reading for further learning about research includes:

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Identify a challenge in your organization and use the questions in Table 4.2 to identify key variables. 2. Identify a problem in your organization and plan a data collection process to examine the issue. Will you

take a qualitative or quantitative approach? Why? 3. Observation is an important skill to hone in OD. During the next week, play the role of observer in the

organization of your choice. You may want to keep notes following the chart of observations provided in this chapter. See what you can learn, particularly the contradictions between what people say and what they do. What questions might you ask if you were an OD consultant?

Additional Resources Media

Quantitative Data Analysis

https://www.youtube.com/watch?v=4gIzG-tB22o (https://www.youtube.com/watch?v=4gIzG-tB22o)

Qualitative Data Analysis

https://www.youtube.com/watch?v=DRL4PF2u9XA (https://www.youtube.com/watch?v=DRL4PF2u9XA)

Web Links

Basics of Conducting Focus Groups (Free Management Library), useful for planning, developing, conducting, and immediately after the focus group session.

http://managementhelp.org/businessresearch/focus-groups.htm (http://managementhelp.org/businessresearch/focus-groups.htm)

50 Tips on Conducting Focus Groups, by consultant Susan Eliot.

http://www.qualitative-researcher.com/wp-content/uploads/2013/02/50-Tips-on -Conducting-Focus- Groups.pdf (http://www.qualitative-researcher.com/wp-content/uploads/2013/02/50-Tips-on-Conducting-Focus- Groups.pdf)

Further Reading

Creswell, J. W. (2013). Research design: Qualitative, quantitative, and mixed methods approaches. Thousand Oaks, CA: Sage.

Maxwell, J. A. (2005). Qualitative research design: An interactive approach (6th ed.). Thousand Oaks, CA: Sage.

Neuman, W. L. (2011). Basics of social research (3rd ed.). Upper Saddle River, NJ: Pearson Education.

Roulston, K. (2010). Re�lective interviewing: A guide to theory and practice. London: Sage.

Wolcott, H. (2008). Writing up qualitative research (3rd ed.). Thousand Oaks, CA: Sage.

Key Terms

applied research

basic research

code data

constant comparison

constructive negative feedback

constructive positive feedback

constructivist philosophy

data gathering

deductive

destructive negative feedback

destructive positive feedback

diagnosis

direct observation

document analysis

evaluation research

feedback meeting

focus group

gap analysis

inductive process

interview

level of analysis

methodology

negative feedback

participant observation

performance gap

planning

positive feedback

research methods

rich description

qualitative methodology

quantitative methodology

questionnaire

5 Action Research: The Doing Phase

Fancy Collection/SuperStock

Learning Objectives

After reading this chapter, you should be able to:

Describe factors that in�luence a client and organization’s readiness for change and promote acceptance of interventions.

De�ine an OD intervention, including the different ways to classify interventions and the criteria for choosing an appropriate intervention.

Explain the consultant’s role in implementing OD interventions and how to promote learning to sustain them.

Discuss common issues related to monitoring and sustaining change, including the reasons that interventions fail, the ethics of the implementation stage, client resistance, and strategies to sustain change.

Jim Craigmyle/Corbis The Public Health Leadership Academy kicks off after an extensive planning process.

A major land-grant university received federal funding to promote education among public health employees in a southern state. As soon as the monies were awarded, several educational initiatives began to serve multiple stakeholders across the state. One of the projects that James, the grant’s principal investigator, wanted to initiate was a leadership academy for mid-level managers with potential to advance to higher levels of public health leadership in the state. Previous analyses of the organization, including succession planning, had revealed a long-term need to provide leadership development. This need lingered for many years because public funding was not available to provide a comprehensive program. The grant �inally created the opportunity to deliver this much-needed program. James contacted an external consultant, Leah, to help plan the program.

Leah was a good choice for a consultant; she was an expert in leadership and program development. The contracting meeting was set up, at which Leah and James determined the scope of the project: a 1-year leadership development academy for the state’s top 25 leaders. The objectives of the project were:

1. pilot a program that will become a permanent leadership development academy available to high-potential leaders on an annual basis and

2. strengthen the leadership competencies and culture within the state public health workforce.

Although Leah would be the lead consultant and facilitator for the project’s planning and implementation over the �irst 2 years, the goal was to build capacity within the state so that internal facilitators could sustain the program over the long term.

The project required an action research approach to collect and analyze initial data about the target population’s needs, so the decision was made to conduct interviews and surveys to determine the content of the leadership development academy. Based on Leah’s expertise in leadership development, her role was de�ined as part expert, part collaborative partner with James and his university. The project had a 2-year implementation time line, with the �irst year focused on planning and the second year devoted to implementation. Evaluation would be ongoing and continue past the second year as a new cohort was started in year 3, staffed by internal consultants.

James and Leah met regularly to plan the program. This involved undertaking the planning or discovery phase of action research: diagnosing the issue, gathering data on the issue, sharing feedback, presenting the data analysis, and planning to act.

The “doing” phase of the action research process is the phase in which the intervention is implemented. For the Public Health Leadership Academy, this phase began in September with 25 particip-ants who had been competitively selected from across the state. The participants convened at a resort, and the program was kicked off by high-level state public health of�icials. The �irst session lasted 3 days. During this time, the participants received results of a leadership styles inventory, listened to innovative lectures and panels on leadership, planned an individual leadership project in their districts, and engaged with each other to develop working relationships. The academy met monthly for a year and focused on a range of topics related to leadership that were prioritized based on prior data collection. The grant provided for an evaluator, so formative data were collected at each meeting. The kickoff of the Leadership Academy set the stage for the entire year. The beginning set the tone and expectations for what the participants could expect.

Pythagoras is credited with saying, “The beginning is half the whole” (as cited in Infoplease, n.d.), which inspired the modern idiom “Well begun is half done.” This philosophy is well applied to creating OD interventions; that is, effective planning is key to successful change implementation. Chapter 4 introduced the �irst phase of the action research model, planning or discovery. This chapter focuses on the second phase, doing or action. Action research takes a data-based approach to diagnosing organization problems so that interventions can be implemented to permanently solve problems. We will return to the Public Health Leadership Academy vignette throughout the chapter to illustrate the action phase. See Table 5.1 to review the action research model we are following in this book.

Table 5.1: Action research model

Phase Action

Planning (the discovery phase)

1. Diagnosing the issue 2. Gathering data on the issue 3. Sharing feedback (data analysis) with the client 4. Planning action to address the issue

Doing (the action phase) 1. Learning related to the issue 2. Changing related to the issue

Checking (the evaluative phase)

1. Assessing changes 2. Adjusting processes 3. Ending or recycling (back to the planning stage) the action research

process

This chapter will pick up at step 4 of the planning phase, planning action to address the issue. Planning action involves choosing and initiating interventions. Interventions represent the action taken to resolve the problem, so they link the action research model’s planning and doing phases. A key activity in step 4, however, is to assess the organization’s readiness for change.

5.1 Readiness for Change

Once you have worked with the client to plan for how the organization will address the problem, you move into the implementation phase. Ultimately, the measure of effective OD is whether a change was made and if it stuck. Implementing change is easier than sustaining it. Most people have successfully dieted and lost weight; the hard part is maintaining the weight loss and sustaining new behaviors over the long term. The same is true for OD changes.

Effectively initiating change depends on the organization’s perception that the change is necessary and achievable and that employees are willing to support change efforts (McKay, Kunts, & Näswall, 2013). These variables signal readiness for change. Our understanding of change readiness emerged from the �ields of health psychology and medical studies (Block & Keller, 1998) and was later applied to organizations.

Who Invented That? The Transtheoretical Model of Health Behavior Change

Models of change readiness originated in health care. The transtheoretical model is considered the most in�luential and was proposed by Prochaska and DiClemente in 1983 based on their research on smoking cessation. A description of the model’s six stages follows.

1. Precontemplation (not ready). A state in which people are unaware their behavior is problematic; thus, there is no intention to take action. For example, suppose Jacob is a manager with an ineffective leadership style. Jacob is doing what he has observed other managers doing and does not give his performance any thought.

2. Contemplation (getting ready). A state in which people begin to notice their behavior is problematic and begin to weigh the pros and cons of their continued actions (Lewin would refer to this as “unfreezing”). For example, Jacob may start to notice that he is not getting the results he would like in his role as a manager. He can see that people do not listen to him, and he starts to ponder whether he should change his behavior.

3. Preparation (ready). A state in which people set intentions to take action on the problem behavior in the immediate future. For example, Jacob may decide to start exploring different leadership approaches and resources for improving, such as reading, taking a class, or seeking mentoring from managers whose behavior he wants to emulate.

4. Action (doing). A state in which people are engaged in making visible modi�ications to their behavior, usually by replacing the problematic behavior with a new, more productive behavior (this would be known as “moving” in Lewin’s terms). For example, Jacob may decide to seek a mentor, read some books, and take a leadership class. He may also begin to implement some new behaviors with his staff.

5. Maintenance (maintaining). A state of preservation in which people have been able to sustain the change for a time and are working to prevent relapse to the former problematic behavior. For example, Jacob may work to avoid slipping back to less effective management behaviors, such as failing to consult employees on important decisions. He may also seek feedback and support from his mentor.

6. Termination (ending). A state in which the new behavior has become permanent (this would be known as “refreezing” in Lewin’s terms) and people are not tempted to revert to their old problematic behaviors. By this point Jacob has integrated the more participative leadership style into his repertoire and does not even think about it anymore—it has become a natural part of his being. He may now be ready to help others make similar changes (Prochaska & DiClemente, 1983).

Readiness for change is something individuals experience too, though practitioners of OD must consider it on an organization level. There are several dimensions to preparing an organization for change.

Dimensions of Change Readiness

Dimensions of change readiness involve gauging readiness and understanding the dynamics of change.

Gauging Change Readiness

Five dimensions in�luence the level of readiness to make changes (Hord & Roussin, 2013). The �irst is whether data exist that justify the change in a way that is relevant and compelling to the organization. That the data exist is not enough: They must be communicated clearly and compellingly by management. Next, employees must be engaged in ways that promote their input and ownership of the change. The third dimension is to ensure that the scope and impact of the change is appropriate for the organization’s culture and strategy. Next, the structure of the change should be clearly de�ined in terms of new roles, procedures, and resources. Finally, the organization needs to prepare to let go of past practices and �ind a reasonable timeline and process for incorporating the change.

Table 5.2 offers a checklist of these dimensions, with examples of each category. It can be used to gauge an organization’s change readiness.

Table 5.2: Readiness for change

Readiness dimensions Readiness dimension indicators

Relevance and meaning: Make a compelling case for the change or identify the bene�its of the interventions.

There is ample data to justify the need for this change. Employees have had plenty of opportunity to dialogue on the whys for this change. This change is not being driven by a crisis mindset. There is anecdotal evidence from employees expressing why this change is important. There is evidence that a culture of trust exists with employees about this change.

Consensus and ownership: Engage employees so there is ownership of the desired change.

Employees express ownership for this change. Employees say they are willing to commit energy and time toward this change. This change was not driven by a top-down mandate and one-way communication. Employees think this change will make a signi�icant difference and bring results. Stakeholders are strong supporters of the change. There is shared responsibility and collective trust for this change.

Readiness dimensions Readiness dimension indicators

Scope and culture: De�ine the scope of the change and the impact it will have on the organization’s culture, current mindsets, and behaviors.

Advocacy for the change has been sensitive to organization culture. Employees mentally, emotionally, and physically embrace the change. Change leaders have been respectful and sensitive in helping employees make sense of the change over time. The change aligns well with other recently implemented interventions. The change will not overwhelm employees’ current workload. The change leaders serve as role models of the desired change.

Structure and coherence: Determine change leadership roles, structure, decision making, and how the change will interface with organization operations.

The right stakeholders have participated in the action research process and decision making for this change. Leadership has identi�ied key roles to support the change moving forward. Employees understand how future decisions will be made around the change. Appropriate resources have been dedicated to implement the change (e.g., �inances, time). The change is feasible and the right resources are in place to sustain it. Frequent and adequate communication with feedback have guided the change.

Focus, attention, and letting go: Assess where to focus attention based on data and determine what can be let go in order to create room for change.

Change leaders have determined what past initiatives/practices can be let go in order to make room for this change. There is a reasonable timeline established for this change to support its full implementation. There is clear understanding by employees of what the change is going to entail. Employees understand the demand and expectations for the change. There are indicators established for this change to identify early successes. The appropriate technology tools are available to support this change.

Source: Adapted from Hord & Roussin, 2013, p. 38.

Dynamics of Change

Readiness to change usually indicates a willingness to entertain new ways of thinking and doing. Hord and Roussin (2013) outlined the change dynamics that follow.

1. “All change is based on learning, and improvement is based on change” (Hord & Roussin, 2013, p. 2). Most change depends on learning. Hord and Roussin (2013) valued learning for the way in which it enables people to abandon nonproductive behaviors and replace them with behaviors more supportive of the intervention. They emphasized, “At the center of all successful implementation of a change is the opportunity for adults to come together and learn” (Hord & Roussin, 2013, p. 2).

2. “Implementing change has greater success when it is guided through social interaction” (Hord & Roussin, 2013, p. 3). OD’s collaborative, collective ethic lends itself to building communities of change that band together to implement new programs and solutions.

3. Individuals have to change before organizations can change. If a group or team is to successfully pull off major changes, individuals need to possess the skills and capacities to execute the necessary behaviors. Key to facilitating individual change is giving individuals choice and opportunities to in�luence the process and their environment. The stages of concern model (Hall & Hord, 1984, 2011) discussed in Chapter 2 provides a framework for helping individuals address concerns related to change.

4. “Change has an effect on the emotional and behavioral dimensions of humans” (Hord & Roussin, 2013, p. 3). Change is stressful. When we fail to respect and tend to the emotional reactions to change, the change will likely fail. People need opportunities to air their hopes and fears about a change; this helps them feel safe during and after the process.

5. Employees will more readily accept change when they understand how the intervention will enhance their work. This belief ties in to adults’ need for learning to be timely, relevant, and linked to their experience; it also relates to the power of connecting individual and organization goals.

6. The client and/or leader’s role is to engage employees in dialogue about the changes as a way of promoting communication and ownership of the change. The more the change is talked about and explained, the easier it will be for employees to embrace.

Factors In�luencing Readiness to Change

The client and the consultant can take steps to prepare the organization for change. The �irst is to clearly communicate the discrepancy between the status quo and the desired state. In Chapter 4 this discrepancy was de�ined as a performance gap. Employees will be prepared to change when they understand why the change matters (Madsen, Miller, & John, 2005). The second step is to bolster employees’ con�idence that they possess the knowledge, skills, and abilities to deal with the performance gap and make the changes necessary to close it. Employees will accept change when they perceive a match between their skills and abilities and those needed to diminish the performance gap (Chreim, 2006).

Perceived Appropriateness of the Change

Readiness to change depends on several additional variables to be in place if it is to succeed. When employees view the change as appropriate to the organization, they will generally support and readily embrace it (Holt, Armenakis, Field, & Harris, 2007). For example, several years ago, most organizations did not recycle; the idea of sustainability was unfamiliar to both companies and communities. As global awareness of pollution and environmentalism has increased, so has the willingness to change our behavior. Today it is common to have recycling bins throughout an organization—you may even have one in your of�ice and at home. Recycling is now embraced because we view it as appropriate and necessary. Of course, even the most appropriate change must be communicated well and visibly supported by management.

Creating a Shared Vision of the Change

When management engages employees in planning for the future, they are working to create shared vision (Hord & Roussin, 2013). Shared vision is the creation and articulation of the organization’s desired future state that is mutually agreed upon with employees. A shared vision may be attained by completing a gap analysis that identi�ies the discrepancy between the current state and desired state, as discussed in Chapter 4. For example, when the

University of Georgia decided to change its platform for online learning, it involved several stakeholders, including students and faculty, in evaluating new platforms and providing input in the �inal decision. By creating a shared vision for what the university desired in terms of technology, image, and learning experience, the OD intervention signi�icantly increased buy-in when the new platform was implemented. The more management can involve affected employees in the change’s planning and implementation, the more the entire organization will support the change.

Level of Managerial Support of the Change

When management visibly advocates and adopts a change, it sends a message to the organization about the change’s necessity and importance (Holt et al., 2007). Management serves as a model to employees, who watch to see whether managers actually commit to the change. For example, suppose an organization attempts to create a more diverse and inclusive culture. Managerial support might include articulating the organization’s commitment to diversity at every opportunity, promoting a diverse range of employees to key positions, hiring for diversity, and rewarding behaviors that support diversity and inclusion.

Providing the Necessary Resources, Support, and Assistance

Displaying managerial support goes beyond setting an example. It also involves making sure the necessary resources are provided to make the change (Hord & Roussin, 2013). Changing usually takes time, costs money, and diverts energy from other activities. Creating a realistic budget and providing resources up front helps ease the transition. Employees may need moral support or training, the organization may need additional resources, or the community may need to be informed of the changes. It bene�its the organization to provide sustained assistance as needed during implementation. For example, the university that changed its online learning platform had to develop a strategy for communicating to faculty, staff, and students; train for the implementation; obtain the ongoing support of faculty and students working within the platform; and hire staff to support the logistics of working with the new technology.

Level of Organization Members’ Self-Ef�icacy for Adopting the Change

The perception that employees are skilled and competent enough to successfully implement a change bolsters readiness for it (Holt et al., 2007). It is often up to the OD consultant and management to show employees that they have the self-ef�icacy to adopt the change. For example, if an organization were implementing a new technology, it would be helpful to provide opportunities for employees to experiment with it. Doing so would allow them to discover that they have the skills to implement it. Investing in professional development and professional learning is a key way to build self-ef�icacy (Hord & Roussin, 2013). Implementing and sustaining change requires acquiring new knowledge, skills, and abilities. Such learning may boost employees’ con�idence that they can adopt the new changes, as well as enhance their understanding and acceptance of the change.

Level of Organization Members’ Personal Attachment to the Change

Change is more likely to be accepted if management can show that adopting it will positively impact individual employees (Holt et al., 2007). Helping employees connect their personal goals to company goals creates a winning combination. This requires communication and support of employee interests. For example, in a quest to become a learning organization that readily captures and shares information and knowledge, an organization might bolster support of individual learning efforts by funding them, providing in-house learning opportunities, or sponsoring degree attainment and continuing education.

Including a System for Checking and Assessing Progress

The change implementation should be evaluated throughout the action research process (Hord & Roussin, 2013). As Chapter 6 will discuss, to assure the intended outcomes are being achieved, it is important to assess progress and results during and after implementation. For example, in the case of the university that implemented a new online learning platform, a small pilot group of faculty users was designated “early adopters.” The group received training and used the new platform the semester before it was of�icially implemented. This small, contained implementation offered the opportunity to troubleshoot and eliminate bugs prior to the large-scale implementation.

Promoting Acceptance of Interventions

There are several ways the client and consultant can prepare the organization for change and bolster acceptance of the interventions. Acceptance is encouraged via effective and ongoing communication with employees about the change and by creating opportunities to participate in its planning and implementation.

Developing a Change Communication Strategy

Management communication about the change is key during both the planning and implementation phases. Communication not only informs and engages employees about the change, it also helps diminish resistance to it. Effective communication comes in many forms; management should take advantage of as many as possible by using media, meetings, and face-to-face interactions.

Communicating about the change has several bene�its. First, communication can serve an educational function; it helps employees learn about the performance gap and understand how they can help reduce it. Employees also need to learn about the change’s purpose and value to understand how they can contribute to achieving it. Communication also helps alleviate fears about how the change might negatively impact the organization, certain jobs, or individuals. Effective communication will bolster employees’ con�idence that they can cope with the change and the new demands it will bring (Mayer, Davis, & Schoorman, 1995; McKay et al., 2013; Walinga, 2008). More broadly, a comprehensive communication plan gives employees the opportunity to understand the scope and strategy behind the change and to raise issues of concern (McKay et al., 2013).

Promoting Employee Participation in the Change

Participative management has been advocated as an effective strategy throughout this book. Engaging employees in planning and implementing change will likely result in higher levels of acceptance and understanding (Holt et al., 2007). Involving employees may also bene�it the change itself since employees may have insight and information that can inform change-related decision making and problem solving (Courpasson, Dany, & Clegg, 2012).

Promoting active participation might involve educating employees about the change and inviting their critical analysis of its purposes and procedures. It is also wise to engage employees in learning and development activities that will build their competence and ability to cope with the change and whatever new tasks and responsibilities it requires. Engaged participation gives employees a sense of ownership and responsibility toward the change. When employees participate in the change process, they are less likely to resist the change.

Take Away 5.1: Readiness for Change

Propensity to accept change depends on the level of change readiness for both individuals and the organization. Change readiness signals that employees perceive the change as necessary and attainable and are willing to support its implementation. Change readiness is in�luenced by clear management communication and employee con�idence in management’s knowledge, skills, and attitudes to effectively implement the change. Interventions are more likely to be accepted when the change has been clearly communicated and employees have an opportunity to participate in its planning and implementation.

5.2 What Are OD Interventions?

During the planning or discovery phase of action research, the OD consultant works with the client to collect, analyze, review, and present data to help diagnose the problem. Once those steps are completed, an informed action to address the problem, also known as an intervention, can be selected. “OD interventions are sets of structured activities in which selected organizational units (target groups or individuals) engage in a task or a sequence of tasks with the goals of organizational improvement and individual development” (French & Bell, 1999, p. 145).

De�ining an Intervention

Interventions signify the point at which action is taken on an issue. They can happen throughout the action research cycle. Schein (2013) explained, “Once we have made some kind of judgment, we act” (p. 94). As noted in Chapter 3, even the mere presence of a consultant is considered to be an intervention. As emphasized by French and Bell (1999):

The OD practitioner, a professional versed in the theory and practice of OD, brings four sets of attributes to the organizational setting: a set of values; a set of assumptions about people, organizations, and interpersonal relationships; a set of goals for the practitioner and the organization and its members; and a set of structured activities that are the means for achieving the values, assumptions, and goals. These activities are what we mean by the word interventions. (pp. 145–146)

Interventions Disrupt the Status Quo

Coghlan and Brannick (2010) viewed intervening as the point at which the actual change process begins. This is where the organization may be caught in transition from a present defective state to a future desired state (managing its performance gap). In a similar vein, French and Bell (1999) suggested that interventions “purposely disrupt the status quo” (p. 143) toward a more effective state of affairs. This process is similar to identifying and resolving a performance gap; that is, the current state is incongruent with the desired state, and thus actions are required to resolve the gap. Coghlan and Brannick recognized two managerial marks of being in this disruptive transition:

1. possessing a plan that describes the goals, activities, projects, and experiments that will move the organization to the desired state; and

2. a plan of commitment to the change by the organization.

In the case of the Leadership Academy vignette, Leah and James de�ined a plan for the academy to develop leaders’ capacity on the individual, group, and organization levels. They also secured the organization’s commitment to the intervention.

Interventions Happen in Complex Systems

Interventions do not happen in a vacuum. “To intervene is to enter into an ongoing system of relationship, to come between or among persons, groups or objects for the purpose of helping them” (Argyris, 2000, p. 117). Anderson (2012) deconstructed this de�inition to emphasize three points:

The �irst point, that “the system is ongoing,” suggests that any intervention represents an interruption or disruption to the �low of organization life. The intervention happens in the midst of organization complexities such as politics, priorities, interpersonal relationships, constraints, history, and other factors. The second point, that interventions “come between or among persons, groups or objects,” alludes to how they disrupt usual ways of doing business. As a result, members may resist them.

The third point, “for the purpose of helping,” indicates that the goal of intervening is to positively impact organization functioning, effectiveness, and performance.

If we consider the Leadership Academy intervention in Argyris’s (2000) terms, it disrupted the �low of organization life by identifying people with leadership potential. James and Leah also had to navigate politics that evolved within the state public health agency related to the program and its control in the initial planning stages. The academy also came between and among persons, groups, or objects by changing the way participants behaved, problem solved, and coached their employees. In some cases participants completely overhauled their leadership style and began developing their own teams in new ways. Some participants experienced receptivity to their new skills, whereas others encountered resistance. On the third point, the individuals, their teams, and the statewide public health agency were positively affected due to the multiple changes that occurred as a result of this program.

Interventions Require Careful Planning and Sequencing

Interventions entail planning the action or intervention, as well as executing these. An intervention strategy is a series of events that take place over several weeks or months to address the problem. French and Bell (1999) referred to an intervention strategy as a sequence of tasks. In contrast, a single event, meeting, or workshop is known as an intervention activity (Anderson, 2012) or task (French and Bell, 1999). The Leadership Academy vignette was an example of an intervention strategy, given its yearlong implementation and multiple associated activities.

Interventions share common attributes in that they

signify a shift away from the status quo toward a new future, initiate action on the problem, rely on evidence, are grounded in relationship, occur in complex social systems, and require planning and sequencing.

The Leadership Academy vignette met these attributes. It shifted the culture toward leadership and gave participants the tools and support to try their new knowledge within their work environments. The program was based on data collected from participants and the organization, as well as the best evidence available on effective leadership. Each participant’s organization had to provide a letter of support to show commitment to the academy participant, and there were multiple relationships developed during the program that were critical to its success.

Classifying Interventions

Interventions are generally decided during the discovery or planning that occurs in the �irst phase of the action research model. They are implemented in phase two, doing or action, and assessed in phase three, checking or evaluating. OD interventions are the point of OD. They represent the actions taken on the problem or issue. Intervention is the peak of the OD process—it is what OD intends to do from the start.

That said, interventions may occur at any point in the action research cycle. For example, a consultant’s presence represents several opportunities to acknowledge a problem, make an impending change, or change conditions. A consultant might make an intervention during initial or feedback meetings by offering an observation, such as “Everyone here is talking over one another,” or asking, “What is preventing you from dealing with this problem?” or stating, “You are talking over everyone during meetings and not listening to what people are trying to tell you. Are you aware of that?” Of course, in addition to making what might be considered microinterventions, the consultant’s job throughout the process is to guide the client toward making a macrointervention that addresses the root cause of the problem.

Classi�ication as Diagnostic or Confrontive

Interventions vary in terms of their level, scope, duration, and strategy. The Leadership Academy vignette focused on individual leaders, but it affected the leaders’ direct reports, groups, organizations, and the wider state public health agency. Schein (1988) classi�ied interventions as either diagnostic or confrontive in terms of their timing and level of dif�iculty. Interventions that occur at any time during the contracting process, initial meetings, and data collection are diagnostic interventions since they occur as the organization grapples with the correct diagnosis and intervention strategy. As has been pointed out, the consultant is an intervention. “Every decision to observe something, to ask a question, or to meet with someone constitutes an intervention into the ongoing organizational process” (Schein, 1988, p. 141).

Interventions made based on data collection and analysis are confrontive interventions (Schein, 1988). There are four types of confrontive interventions that range in their level of dif�iculty:

1. Agenda-managed interventions. As the name indicates, agenda-managed interventions are concerned with helping the group or organization prioritize what to focus on; these interventions also examine its internal processes. Groups or organizations may get stuck determining what is important; they may do nothing or vacillate instead of making a decision. Working with a stalled group or organization can be quite frustrating. Helping a group focus on how it functions can be pivotal in improving actions and outcomes. Schein (1988) argued that something as simple as evaluating meetings signi�icantly impacts group members’ awareness of interpersonal dynamics, emotional reactions, communications, and decision-making processes. Schein recommended starting with low-risk issues like the agenda. Higher risk issues regarding the group’s relational and interpersonal patterns should be tackled once people are emotionally prepared to deal with the vulnerability and feelings that will surface when the group begins to critique how it functions.

2. Confronting through feedback of observations or other data. Chapter 4 discussed the process of sharing feedback with the client during the discovery phase of the action research model. Schein (1988) recommended sharing feedback when the group or organization commits to examining interpersonal workings. Confronting through feedback requires that the client be ready to hear and act on it. Consultants play a key role in helping the client absorb and act on feedback. The ability to observe reactions, listen, ask great questions, facilitate learning, defuse defensiveness, and deliver dif�icult messages with tact and diplomacy are key to these types of interventions. Consultants should also model how to hear and accept feedback for the client. This involves asking for feedback on one’s own performance and graciously accepting and acting on it as appropriate.

3. Coaching. When individuals and groups receive feedback, there is a natural inclination to seek help in modifying behavior to facilitate the change process. Coaching has become a signi�icant management trend in recent years (Feldman & Lankau, 2005). It involves helping people overcome behaviors that limit their ability to work effectively with others (Corbett, Ho, & Colemon, 2009). Coaching is a higher risk confrontive intervention than agenda-managed interventions or confronting through feedback of observations or other data, making it one that Schein (1988) recommended using with caution. Coaching interventions can have life-altering effects and should therefore be used with care and sensitivity.

4. Structural interventions. The confrontive interventions in this section are arranged in a descending hierarchy. That is, they are presented from ease of implementation (1) to dif�iculty of execution (4). Structural interventions pertain to allocation of work, modi�ication of communications, group membership, assignment of responsibility, and lines of authority. These types of changes, which are often called “reorganization,” are greeted with trepidation by most organization members. They are also the most dif�icult to implement and sustain and must be undertaken for the right reasons. Before resorting to restructuring, consultants should consider interventions 1 through 3 to see if they suf�iciently solve the problem.

Interventions are diverse and can address multiple levels of the organization. Selecting the best possible intervention based on your time frame, budget, culture, and goals is a key task of the action research process.

Classi�ication by Level and Process

Other theorists use other schemes for classifying OD interventions. McLean (2006), for example, classi�ied by levels of analysis (individual, group, team, organization, etc.) Cummings and Worley (2009) organized interventions according to the underlying process (human process interventions, technostructural interventions, human resource management interventions, and strategic change interventions). Table 5.3 goes into more detail on different ways to classify OD interventions.

Table 5.3: OD intervention classi�ications

McLean (2006) Cummings and Worley (2009)

French and Bell (1999)

1. Individual 2. Team and

interteam 3. Process 4. Global 5. Organizational 6. Community and

national

1. Human process 2. Technostructural 3. Human resource

management 4. Strategic

1. Team interventions 2. Intergroup and third-party peacemaking

interventions 3. Comprehensive interventions (e.g., large

scale or strategic) 4. Structural interventions

Although classi�ication helps the OD consultant and client understand an intervention’s scope and focus, no one classi�ication is necessarily “right,” because both levels and processes are �luid. Leadership interventions, for example, commonly fall under more than one classi�ication. A leadership development program like the one described in the Leadership Academy vignette crosses the classi�ications of individual, team, organization, human process, human resource, and strategic, since potential leaders receive individual development that impacts their interactions with groups and in�luences the overall organization and future strategies. Another example of an intervention that crosses all levels would be the implementation of a performance management system. Individual behavior is usually affected when performance is appraised, and this in turn in�luences groups and the organization itself.

Tips and Wisdom

As Table 5.3 showed, there are many types of interventions to choose from, particularly based on level. French and Bell (1999) classi�ied OD interventions into 14 types that center more on the activities; these are listed and augmented with examples:

1. diagnostic activities, such as data collection and feedback to determine causes of problems 2. team-building activities, such as determining ground rules or assessing individual interaction

styles 3. intergroup activities, such as interof�ice collaboration or con�lict resolution 4. survey feedback, such as climate assessment 5. education and training, such as a leadership workshop 6. technostructural or structural activities, such as technology implementation or reorganization 7. process consultation, such as group dynamics analysis 8. grid-organization development, such as determining management style based on levels of concern

for people and concern for production (based on Blake & Mouton, 1964) 9. third-party peacemaking activities, such as mediation

10. coaching and counseling activities, such as executive coaching 11. life- and career-planning activities, such as career development or life coaching

12. planning and goal-setting activities, such as departmental goal setting 13. strategic management activities, such as strategic planning 14. organizational transformation activities, such as restructuring and new leadership

The Leadership Academy vignette interventions could be classi�ied according to French and Bell’s (1999) list as 1, 2, 5, 10, 11, 12, and likely others.

This Book’s OD Intervention Classi�ication

Regardless of how they are classi�ied, each phase of action research builds toward making one or more intervention. This book uses three levels of intervention classi�ication: individual, group or team, and organization. Each of the categories listed previously can be accounted for under one or more of these three categories. Table 5.4 lists typical interventions at these levels. We will further describe these interventions in Chapters 7 and 8.

Table 5.4: Levels of OD interventions

Individual-level interventions Group-level interventions Organization-level interventions

Learning and development Leadership and management development Career development Assessment Job development

Group or team process and development Diversity and inclusion Con�lict management Problem solving and decision making

Vision and mission development Strategic planning Organization design Culture Talent management Large-scale interactive events

Criteria for Choosing an Intervention

Argyris (1970, 2000) recommends that three primary intervention tasks occur before making any type of intervention:

First, recommended interventions must be based on valid information. This means thoroughly engaging phase 1 of the action research model by collecting and analyzing data on the problem before proceeding. Second, the client’s discretion and autonomy must be respected; engagement in the intervention must be based on the client’s free, informed choice. Third, the client must be committed to learning and change.

All three of these prerequisites had been met in the QuickCo vignette featured in Chapters 3 and 4 and were in place in the case of the Leadership Academy vignette, to set which positioned the organizations up for intervention success.

There is usually more than one appropriate intervention for every problem. Interventions vary in terms of their implementation time frame, cost, scale, level, and complexity. For example, in the QuickCo vignette, the intervention involved a relatively short time frame in which a facilitated intervention was made with the shipping department and some coaching was provided to the supervisor. The Leadership Academy vignette presents a much more costly, long-term, complex implementation that will last for a year and continue into the future.

Tips and Wisdom

Cummings and Worley (2009) de�ined an effective intervention as one that �its an organization’s needs, targets outcomes that will address the problem’s root cause, and transfers competence to the organization to manage future changes. A key feature of the Leadership Academy was to build internal capacity for the state public health agency to run future programs. French and Bell (1999) advocated a strategic approach to interventions that incorporates goals, activities, and timing. The strategy also needs to anticipate the organization’s readiness to change, potential barriers, and sources of support and leadership. French and Bell’s tips for making effective interventions follow:

1. Include the relevant stakeholders. 2. Base the intervention on the data generated. 3. Involve the stakeholders in the action research process. 4. Keep the intervention focus on the key goal. 5. Set manageable, attainable goals. 6. Design the intervention so that key learning can be attained and shared. 7. Emphasize collaborative learning throughout the process. 8. Use the opportunity for the client group to enhance learning about the interpersonal workings of

the group.

Use French and Bell’s list to evaluate an intervention in which you participated. How did the intervention stack up against this list?

Anderson (2012) outlined useful considerations for making good intervention choices. First, the intervention should be congruent with the data and diagnosis from the discovery phase of the action research model. Incongruence will result in solving the wrong problem.

Second, the client readiness for change should be assessed. Without a client that is willing and able to change, the intervention will fail. Striking a collaborative consulting relationship is foundational to promoting readiness throughout the process.

Anderson’s (2012) third consideration is determining where to intervene. Do you start with top management or line management? Do you work on relationships before issues or vice versa? Would it be wise to pilot the intervention on a small scale before rolling it out to the whole organization? Do you start with the easiest or most dif�icult aspect of the implementation?

Anderson’s (2012) fourth consideration is the depth of the intervention. Less deep interventions are observable, whereas very deep interventions are more abstract. The following are Anderson’s depths, listed in order with some potential examples:

work content (tasks, skills, knowledge); overt group issues (communication, decision making, or con�lict); hidden group issues (coalitions and power); values and beliefs (quality, cooperation, stability); and unconscious issues (assumptions about how we do business, culture).

Finally, Anderson’s (2012) �ifth consideration is to sequence activities to ensure optimal outcomes. Consultants need to make the best use of data; be highly effective, ef�icient, and quick; and use relevant activities that minimize stress on individuals and the organization.

Take Away 5.2: What Are OD Interventions?

OD interventions are change activities or sets of change activities that are applied to resolve the presenting problem. Interventions can be classi�ied in multiple ways, such as diagnostic, confrontive, or by level or process. This book classi�ies them according to the level at which they are implemented: individual, group or team, or organization. The criteria for making an effective intervention include basing the intervention on valid data, verifying the client’s free and informed choice to proceed, and establishing the client’s commitment to learning and change.

5.3 Implementing OD Interventions

Now that data have been analyzed and shared with the client and an intervention has been agreed upon, it is time to implement a solution. This is the action phase of OD. “Implementation is . . . the point of the consultation” (Block, 1999, p. 247).

The moment of implementation or action is also the moment for the client to visibly take ownership of and lead the process. That is, the client will be accountable for maintaining the intervention in the future. If the client is not hands-on with implementation, the entire project will be at risk. If the consultant has managed the client relationship well and insisted on a joint process, the client should have little issue with taking charge of the intervention. The client will likely need ongoing coaching and support to help see the implementation through and build con�idence in the process.

Determining the Consulting Role

Consultants have a range of options for how to conduct themselves during the implementation. A consultant may elect to stay out of the way, take a hands-on approach, or serve as facilitator. As discussed in Chapter 3, the collaborative role is the most effective and generally preferred in OD. Table 5.5 takes Cockman, Evans, and Reynolds’s (1996) list of roles to collaboratively facilitate intervention implementation and offers some strategies for using these roles.

Table 5.5: Consulting roles and strategies during implementation

Role Strategies

Provide support and encouragement. Acknowledge the implementation effort in ways that give the client and employees recognition and appreciation. Offer praise and words of encouragement to those engaged in the implementation.

Observe and share feedback. Prepare clear and direct feedback and share it with the client. Develop observation checklists so the client can also participate in making observations and checking on progress.

Listen and offer counsel when things go wrong. Serve as a sounding board. Ask good questions to help the client �ind the answer instead of giving the answer. Mediate con�lict as necessary.

Help the client modify and �ine-tune the plan. Engage in ongoing evaluation of the implementation. Devise adjustments to the change as needed.

Identify process problems that impede implementation.

Conduct ongoing evaluation and take quick action to make needed corrections. Create a process for identifying and resolving problems.

JGI/Jamie Grill/Blend Images/Corbis Learning is often stimulated by crisis or by re�lecting on events and ideas.

Role Strategies

Bring together parts of the client system to address process issues (e.g., con�lict, communication).

Create an implementation task force that conducts regular audits of the implementation and has the authority to intervene as needed. Ensure that communication is ongoing with everyone involved in the implementation.

Bring people together from different disciplines or different parts of the organization to work on implementation.

Create an implementation task force. Employ task force members to conduct communication, training, and evaluation related to the intervention.

Organize necessary training and education. Create ongoing training sessions that will help prepare the employees for the change. Develop in-house trainers to help with the training effort.

Work with managers to help them support the change process.

Develop a means of communicating with managers so information can be shared and problems solved easily. Consider regular meetings, technology, or a mix.

Confront inconsistencies between the plan and how it transpires.

Check the implementation progress to plan regularly and make adjustments. Decide on a protocol for making changes and stick to it.

Refer to Chapter 3 for more information about the consulting relationship and how to interact with clients throughout the action research process.

Promoting Learning Related to the Intervention

The intervention process moves the client from the current state through a transitional phase and into the new, desired state. Another way to think of it is in terms of Lewin’s (1946/1997) unfreezing, moving, refreezing change model introduced in Chapter 2. People are engaged in the unfreezing stage when they become aware of the need to change, build the desire to create change, and undergo a process of unlearning.

Imagine you decide to go on a diet. The unlearning is the process of recognizing that your current eating habits are unhealthy and searching for an alternative. Moving is making the changes, and this requires new learning. For example, you might review several diet plans or review the basics of nutrition. Refreezing occurs when the new behavior becomes part of your lifestyle.

“Human beings have always engaged in learning—learning to survive, learning to live in a social group, learning to understand the meaning of our experiences” (Merriam & Bierema, 2014, p. 44). Learning in the workplace is no exception and is a common focus of OD. Most change requires learning. People often are not aware of a problem until there is a crisis or they re�lect on the results they are achieving. At that point people begin to ask questions such as: “Why are we doing it this way?” “Is there another way to think about this?” “What mistakes have we made and what have we learned from them?” or “What could be improved?” Asking such questions is what is known as re�lective practice.

Crises or re�lection can jolt people into a learning mode as they build knowledge and understanding. This learning is often the catalyst for change. People may learn the competition is gaining an edge, their quality is declining, their relationships are dysfunctional, or their management is lacking vision. These insights make them want to act, and OD provides a process for addressing these challenges through action research. Learning happens at every phase of the process, from discovery of the problem to planning an intervention, to maintaining the change, to evaluating its effectiveness. This section considers the role of learning in the action research process by appreciating the relationship between learning and change and exploring ways of facilitating client learning.

The Relationship Between Learning and Change

Most OD involves change, and most change involves learning. Think about a change you made in your life, such as switching jobs, starting a relationship, moving to a new city, or pursuing a goal. Chances are these shifts created new learning. What was it? Can you think of a life change you made that did not require learning? Chances are you cannot, if you identi�ied a substantive change. Changes often require new action or new thinking that depend on new learning.

Similarly, changes made in OD—such as heightened awareness of interpersonal relations, understanding through feedback, or attempting to change your leadership style—also involve learning. Certain conditions promote learning. For example, adults are motivated to learn when education is relevant to their current situation, work challenges, or life needs.

Facilitating Client Learning

Knowles (1980) and Knowles and Associates (1984) developed key principles related to adult learning that are relevant to implementing change. These principles are considered the art and practice of teaching adults, also known as andragogy. Principles of andragogy as they relate to implementing change include the following:

1. As people mature, their self-concept moves from that of a dependent personality toward one of a self-directed human being. This means that people desire to have say and control in their learning. Building ways for impacted employees to have input into the change and control over aspects of it will enhance buy-in and adoption. For example, if you implement a new procedure, engage the people handling the process in devising best practices.

2. People accumulate a growing reservoir of experience, which is a resource for learning. The people affected by a change have spent a great deal of time in the organization and have a repertoire of know-how related to the problem or issue being addressed by OD. Failure to tap their experience and knowledge will breed resentment and resistance. Find ways for the involved parties to contribute their insights to the process to enhance buy-in and minimize resistance.

3. People become ready to learn when the tasks and challenges of life demand new knowledge. My organization, for example, is converting to a much-needed data management system. Although it is a major change, the employees who have been wrestling with outdated, unresponsive, clunky databases have eagerly attended training and are excited about the implementation of the new technology. When change is communicated well and addresses a true need in the organization, there is a better chance that employees will be enthusiastic about learning to adopt it.

4. People tend to be life- or problem-centered in their learning, rather than subject-centered. It is likely that many people did not have any interest in birthing classes until they were expecting a baby. That is because the learning was timely and relevant to their life. Similarly, someone would likely be more motivated to take a wine-tasting class (life-centered) than an organic chemistry class (subject-centered). Changes that are relevant to employees become learning opportunities. Part of a consultant’s role is to effectively communicate the relevance of planned change and help those affected see the linkage.

5. People are driven by intrinsic motivation. People are more inclined to seek learning that meets an internal need for knowledge or mastery rather than an external need for recognition or money.

6. People need to know the reason to learn something. People will be resistant to learning new software or changing their behavior if they are not provided with a rationale. A consultant’s job may well be to sell the OD effort and connect it with the necessary learning. When my organization announced the shift to a new database, the rationale was for ease of generating reports, combination of databases, and a user-friendly format. These were reasons that made sense to the users and motivated their acceptance of and learning related to the change.

Think of the times you have been motivated to learn. How do the principles of learning relate to your own life? What about to changes you have experienced at work? How can you craft the change in a way that gives affected employees an opportunity for input and control over the learning? You might offer multiple information sessions employees can attend at their convenience or survey them to �ind out what they want to learn and provide it. Today’s e-learning programs allow students to customize learning like never before.

Facilitating Transformation Through Learning

Scharmer and Kaufer (2013) distinguish two types of learning: learning from the past and learning from the emerging future. They describe this new model of learning and leadership extensively in their model of Theory U, “a framework for learning, leading, innovating and profound systemic renewal” (p. 18). The model is called Theory U because of its U shape (Figure 5.1).

Figure 5.1: The Theory U model

The Theory U model moves the client through the process of letting go of the old (left side of the U) and embracing the new (right side of the U).

Source: From C. Otto Scharmer, Theory U: Learning from the Future as It Emerges (Berrett-Koehler, San Francisco). Copyright © 2009. Reprinted by permission of The Presencing Institute/C. Otto Scharmer

Scharmer and Kaufer (2013) propose that “energy follows attention” (p. 21) and that we should therefore focus on what we want to create versus what we want to avoid. That means consultants need to keep clients focused on the outcomes they seek, rather than the problems they want to avoid. To understand this model of learning and change, start at the top left of the U. Moving down the left side of the U involves opening minds, hearts, and wills. You can help clients do this by observing them closely for ideas or practices that are holding them back, then feeding this information back to them. The bottom of the U is a place of deep re�lection and shifting away from the problem toward the desired future. Your role is to create activities that help clients re�lect on their problem. This might include key assumptions of individuals and the organization, or raise new questions that have not yet been asked. Going up the right side of the U involves acting—much like the doing phase of action research. In these steps, you develop a vision of the intended future and devise and implement appropriate interventions.

Navigating change in the Theory U model requires what Scharmer and Kaufer (2013) refer to as “Transform[ing] the three enemies” (p. 23). These are

the voice of doubt and judgment (shutting down the open mind); the voice of cynicism (shutting down the open heart), and the voice of fear (shutting down the open will).

Scharmer and Kaufer (2013) suggest beginning by focusing on the future and paying particular attention to where the past seems to end. This “place” is similar to what Bridges (1980) called the neutral zone (see Chapter 2).

Theory U is an innovative, future-oriented change model worth knowing. Resources for further study of this model are listed at the end of the chapter.

Take Away 5.3: Implementing OD Interventions

During implementation, consultants should be clear about the type of consulting role they want to play. The roles vary from less involved observation of the implementation to active engagement in providing feedback, modifying the plan, and providing needed training and support. The role you play will depend on the client’s skill level at leading and facilitating change. It is important to promote learning related to the intervention by encouraging re�lective practice, helping employees see the connection between learning and change, and facilitating client learning by building principles of andragogy (effective adult learning) into the intervention. Theory U embraces the idea that energy follows attention. In consulting, this means consultants need to keep clients focused on the outcomes they seek, rather than the problems they want to avoid.

5.4 Monitoring and Sustaining Change

A vast amount of planning and work goes into making an intervention. As previously noted, making change is easier than sustaining change. A consultant’s job is to keep the client on track to successful change implementation. This requires knowing the warning signs of a faltering intervention and how to get the client back on track to a successful, sustained intervention.

Case Study: Reorganization Resistance

The CEO of a publishing company instructs Brenda Frank, the president of one of its divisions, to reorganize its management structure. The division was recently purchased and is not aligned with the other divisions. The CEO thinks that the division has too many vice presidents and management layers and that its administrative structure is too expensive. Brenda is unconvinced that restructuring is the best answer, due to the niche of the publishing division, but she also understands her marching orders. She contacts a consultant, George Reed, with whom she has worked before on leadership development issues.

“George,” she says, “I’ve got to �ind a way to reorganize that makes my CEO happy. According to corporate, we have too many layers and too many VPs. I’m going to need your help to �igure this out. Can you help?”

George pauses for a moment before answering. He is an expert at leadership but has limited experience with the kind of restructuring Brenda is asking for. “I’m not sure that falls within my expertise, Brenda, but I am willing to hear more about the matter. Let’s meet.”

A meeting is set, and George and Brenda discuss the change. George is hesitant and tells Brenda she might be better off with someone else. “Nonsense!” she exclaims. “You are an expert at leadership, how hard can this be? Let’s get to task.”

Brenda and George set about planning the change. The next thing Brenda and George do is call a meeting of the vice presidents to notify them of the change. Brenda opens the meeting. “We are going to have to reorganize,” she says. “According to corporate, we have too many layers and too many VPs. I’m asking for your help in this process.” Brenda explains that over the coming weeks, George will be meeting with them to discuss their functional areas and collect data to help inform the change.

After the meeting, the groans and complaints from the VPs are largely uniform. The comments in the hallway range from anger to disbelief to denial, including:

“I’ll tell you what, we are not at all valued. This is a signal we’d better all be dusting off our resumes.”

“Well, that’s the dumbest idea I’ve heard out of corporate since we were acquired. They have no idea what it takes to run our business and have given no rationale for the change other than they think it will save money. What about the money it could lose?”

“This plan will never work. Let’s just keep our noses to the grindstone and ride it out.”

George and Brenda have a good working relationship, so they forge ahead and try to make the best of a dif�icult situation. George begins studying the organization chart and interviewing the VPs. Together, they come up with a new structure that merges ten departments into six, displacing four VPs. The rollout of the change involves holding individual meetings with the VPs to unveil the new structure. Brenda works hard to �ind new roles within the company for the displaced VPs, but she is not entirely successful and winds up laying off two of them. Once the personnel changes have been made at the individual VP level, Brenda

When Interventions Fail

Perhaps your organization has experienced interventions such as training, survey feedback, or restructuring. Can you think of interventions that failed? This section examines reasons interventions fail and the implications of such failures.

Reasons Interventions Fail

Interventions fail for several reasons. First, organizations must be ready for change. In addition, certain �laws inherent in the intervention design itself can contribute to failure. Table 5.6 identi�ies some of the reasons interventions fail, with tips for �ixing them.

Table 5.6: Intervention failures and �ixes

Failure Fix

1. The intervention attempted to solve the wrong problem.

Ensure that phase 1 of the action research process arrives at the correct diagnosis. Involve multiple stakeholders to analyze the problem and provide inputs.

2. The wrong intervention was selected. Ensure that phase 1 of the action research process plans an appropriate intervention. Identify a backup intervention if it becomes clear that the selected one fails to meet the need.

3. Goals were ambiguous, unclear, or too lofty. Work with the client to establish a clear purpose and goals for the intervention. If there is no clarity of purpose, intended outcomes, and process to achieve them, an intervention is not ready to be implemented.

crafts an e-mail to all employees with a new organization chart and informs them that the changes are effective immediately.

The reorganization announcement throws the organization into a frenzy. It catches the employees by surprise; they see no reason for the changes. Immediate reactions are anger, fear, and suspicion. Employees are nervous about their job security and the integrity of their work units. The remaining VPs are unclear about how to implement the changes or how to manage the new staff units of the merged departments. Productivity and morale plummet. Several employees at multiple levels begin to look for other jobs. Customers begin to complain about a lack of support or clarity about whom to contact to meet their needs.

Clearly, Brenda and George have a disaster on their hands. They thought they were doing things right, but obviously they were not.

Critical Thinking Questions

1. What did they do wrong? 2. What would you do differently?

Failure Fix

4. The intervention was undertaken as an event rather than as a program of activities with multiple targets for change (strategy missing).

Develop a long-term implementation strategy using a Gantt chart (see Chapter 3). Distinguish interventions from intervention strategy.

5. Not enough time was devoted to change. Estimate how long it will take to make the intervention and then add at least 10% more time. Build time into the workday to implement the change. This is part of the resource allocation the organization has to make if it is committed to change.

6. The intervention was poorly designed to reach the speci�ied goals.

Ensure that phase 1 of the action research process arrives at the correct diagnosis and appropriate intervention. Engage employees in intervention design—they will be the best debuggers and critics and help get it right the �irst time.

7. The consultant was not skilled at implementing the intervention.

Hire the right consultant. Part ways with the consultant if you are not getting what you need.

8. Responsibility for change was not transferred to the client.

Establish client accountability for monitoring and sustaining change during the contracting phase (see Chapter 3). Provide the necessary learning and development to managers and leaders to assume accountability for the change.

9. Organizational members resisted or were not committed to the intervention.

Follow the recommendations for promoting change readiness. Watch for evidence of resistance and follow the strategies in this chapter to respond to it.

10. The organization was not ready for change. Prepare management for the change �irst so it can provide support to employees. Prepare employees for the change prior to implementation.

Source: Anderson, 2012, pp. 177–179.

Implications of Failed Interventions

Failed interventions have serious implications for the consultant and the organization (Anderson, 2012). They can damage a consultant’s reputation, causing the consultant to lose clients and future referrals. Failed interventions can also be detrimental to a consultant’s sense of self-ef�icacy and trust in his or her intuition. This same level of self-doubt can plague organizations with failed OD efforts and may cause organization members to distrust their own intuition about organization problems or ability to implement lasting change. In fact, failure can become a repetitive cycle for

Digital Vision/Photodisc/Thinkstock When interventions fail, the team must decide which steps to take next.

consultants and organizations if con�idence in the process is not quickly restored.

Argyris (1970) notes that other implications for failed interventions on the organization level include increased defensiveness against any change; dim-inished ability to cope through con�lict resolution and productive communications; waning energy to work on solving the problem; increased frustration, stress, cynicism, and controlling behaviors; and unrealistic goals (aiming too high or too low to avoid future risk or failure).

Ethical Issues Pertaining to Interventions

Integrity and authenticity help the OD process run smoothly and avoid failed interventions. OD ethics have also been discussed in Chapters 1 and 3. There are some important principles to keep in mind to ensure that the intervention process is ethical.

Avoid Misrepresentation

Although it is tempting to avoid telling clients what they do not want to hear, it is a mistake to misrepresent the intervention’s time line, cost, or dif�iculty. This mistake can occur due to inexperience, overpromising, or trying to please a client. A better strategy is to underpromise and overdeliver. That way there are no surprises in the long run. It is also important that you know the limits of your skill set as a consultant. If you promise to deliver a skill or knowledge you do not have, it can create distrust and anger with the client, as well as put the intervention in danger of failure—along with your reputation as a consultant.

Avoid Collusion

Colluding with the client is another ethical challenge. For example, you might scheme to adopt an intervention because it is appealing or interesting or because it will bring you more business as a consultant. If you lack evidence to support the need and appropriateness of an intervention, it is unethical to recommend it. It is also bad ethics to conspire with the client in ways that result in distortion of the process and exclusion of others. For example, if you know that a certain manager is going to disagree with your desired course of action and you exclude him or her from a meeting where it is discussed, this is considered colluding to exclude.

Avoid Coercion or Manipulation

Finally, it is unethical to coerce or manipulate the client or members of the organization. This might involve blocking opportunities for organization members to participate in the decisions about the process, which in effect foists the intervention on them. This and other ethical challenges noted can be avoided by following a good action research process that generates data on which to base decisions while actively involving organization stakeholders in the process.

Overcoming Resistance

A lesser known de�inition of change readiness is “the cognitive precursor to the behaviours of either resistance to, or support for a change effort” (Armenakis, Harris, & Mossholder, 1993, pp. 681–682). When employees express stress, negativity, or cynicism toward the change, they are showing resistance. Resistance has also been de�ined as “an

adherence to any attitudes or behaviours that thwart organizational change goals” (Chawla & Kelloway, 2004, p. 485). Resistance behaviors might be readily visible, such as sabotage or vocal opposition. Or they may be more subtle, such as reducing output or withholding information (Giangreco & Peccei, 2005). Resistance may also take the form of ridiculing the change, boycotting change conversations, or sabotage (Lines, 2005). The beginning of this chapter discussed readiness to change. Readiness is related to resistance because, when people or organizations are not prepared to change, they will likely �ind ways to stall or distract the change effort.

Assessment: Test Your Change Resistance

Take this survey to see how much (or little) you embrace change:

http://pluto.huji.ac.il/~oreg/questionnaire.php. (http://pluto.huji.ac.il/~oreg/questionnaire.php)

Causes of Resistance

Resistance to change might be caused by management’s dismissal of employee input or failure to handle negative attitudes toward the change, or it might arise because the level of employee input in planning, implementation, and change maintenance is too low (McKay et al., 2013). Most people do not like change, so resistance is the general disposition most will initially experience. Resistance can also be on ethical and strategic grounds if employees do not regard the change as favorable to the organization and its stakeholders (Oreg, 2006; Piderit, 2000).

Acknowledging Resistance

Management may be tempted to disregard resistance; however, it is a mistake to ignore it. When employees resist change and relay concerns about it, they are behaving normally. Impending change causes fear and a sense of personal loss and grief among employees who �ind value and a sense of security in their daily routine and work group (Burke, Lake, & Paine, 2008). Sometimes, employees just need an opportunity to raise issues and have management hear their fears. Dismissing employees’ concerns or disregarding how the change will impact employees’ sense of security and trust in the organization risks intensifying negative attitudes, increasing resistance behaviors, and compromising effective change implementation. Instead, it is to the organization’s advantage to create opportunities for dialogue about the change and to seek solutions that resolve the concerns.

Tips and Wisdom

A simple exercise to help employees discuss change is to give them an opportunity to talk about their hopes for the change as well as their fears about the change. It is useful to record these (often on a �lip chart or whiteboard) and for management to respond to the fears, which helps defuse them. This activity can be done in a meeting format or via an electronic forum or survey.

Sustaining Change

Whether the change has been on an individual, group, or organization level, implementing it is the easy part. Sustaining it is where trouble occurs. Successful change implementation may cause overcon�idence, which fosters an unpreparedness for the dif�icult work of maintaining it (Anderson, 2012; Senge et al., 1999). Anderson cautioned that relapsing to old ways of being is an implementation hazard, especially when an external consultant exits the picture. Change also requires energy that organization members may lack, since other distractions may pull them away from consciously maintaining the change. The education necessary for full change adoption may not keep pace with the change implementation, making it dif�icult to sustain. Sometimes the old organization culture and practices are just too powerful for the change to sway, leaving the organization vulnerable to reverting to old ways of doing business.

Actions to Sustain Change

How can organizations avoid these pitfalls to lasting change? Change should be translated into the organization’s daily operations so it simply becomes the way business is done. Strategies that help sustain change include:

1. Communicate regularly about the change implementation. This could be via regular meetings, written or electronic communication, social media, and informal conversations.

2. Formulate an implementation task force that includes top leaders and affected employees. This group can hold regular meetings and help communicate the change.

3. Hold meetings that include a cross-functional, intragroup mixture of people involved with the change to monitor progress, troubleshoot, and evaluate the process.

4. Find ways to reward and recognize employees involved in the implementation. This might include visible items such as T-shirts or trinkets, awards, monetary rewards, or time off.

5. Build change implementation into the performance review criteria of those employees accountable for supporting and sustaining change.

6. Invite external stakeholders and consultants to evaluate the change progress. 7. Ensure that the reward system is aligned with the desired changes. 8. Provide the necessary learning and development needed to sustain the change. 9. Ensure that needed resources are available to sustain the change.

Tips and Wisdom

If there is no struggle, there is no progress.

—Frederick Douglass

Change is hard work. Well-implemented changes make tremendous differences for individuals, teams, and organizations. The OD and action research process greatly enhance the probability of success in change endeavors.

Strategies to Defuse Challenges to Change

During implementation a consultant will monitor the client for signs of low commitment, such as anger, hostility, objections, in�lexibility with implementation options, unwillingness to look at process issues, hidden agendas, delaying tactics, or failure to implement. To successfully make an intervention, there must be

sunstock/iStock/Thinkstock Time must be made for change, and sustaining it takes additional time.

commitment and leadership from the top, individual competence, and adequate organization. When consultants observe signs of waning commitment, they will want to take action quickly. Faltering commitment will negatively affect learning and lasting change.

Senge and colleagues (1999) identi�ied 10 challenges created by resistance to change that relate to initiating change, sustaining change momentum, and meeting the challenges of redesigning and rethinking processes and procedures during and after the change. These are:

Time challenges. Employees can feel frustration or worry that they do not have enough time to learn or implement changes. To counter this challenge requires giving employees �lexibility and time to process and implement the change.

Support and help with change implementation. Employees will become quickly frustrated and disenchanted if coaching, guidance, and support are absent during the change. It is important to provide both the resources for supporting the change and for management to be skilled in this area.

Perceptions that the change is not relevant. When employees do not see the rationale for change or its relation to the big picture or business reasons, they may ignore it because they think it does not matter. Establishing the need for and relevance of change is necessary from the beginning of the action research process. The need for change must be tied to business goals, new learning, changed procedures, and processes so employees are not left wondering why they have to make changes.

Management fails to set an example. When management fails to “walk the talk,” people notice. Management must be held accountable for visibly and personally supporting and implementing the change.

Mounting fear and anxiety. When changes are implemented, employees can get nervous. They may feel vulnerable, unable to adopt the change, and distrustful of the change and management. Open and candid communication from the beginning is a must, along with management setting a good example.

Perceptions that the change is not working as intended. Employees might be negative about the change and look for evidence that it is not working. This perception can serve as an excuse to return to the way things were. It is important to show how the change is resulting in progress and intended outcomes. If metrics are available, it is helpful to show that “since implementing the change, our defects have decreased by 10%,” for example.

Perceptions that the old way of doing things was better. These perceptions can allow employee groups to feel like victims who are disrespected or misunderstood by management. These perceptions are countered by ongoing, effective communication about the change and its need.

Confusion about who is responsible for the change and new procedures. Change can naturally breed confusion over new procedures and policies. Management can help by modeling patience, �lexibility, and problem solving to create new infrastructure when making change.

Frustration that the organization is doing nothing but “reinventing the wheel.” Employees can get frustrated when they feel like no real change is occurring or that the change has not improved the problem. Making the case for change early in the process can help minimize frustration and help people focus on the change’s future bene�its.

Confusion about the purpose and bene�it of the change in the bigger organization picture. Employees may not immediately link the change to organization strategy and purpose. Management can help by showing how the change will bene�it the business and its stakeholders.

Psychologist Eve Ash discusses common reactions to organizational change.

As has been stressed throughout this chapter, key themes in avoiding resistance include timely and ample communication about the change, providing a clear rationale for why the change is needed, and management support and role modeling throughout the change process.

Gain Commitment for Change

Critical Thinking Question

What techniques does Eve suggest to assist change managers in gaining commitment to change efforts?

Gain Commitment for Change From Title: Managing Change Successfully

(https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=49936)

© Infobase. All Rights Reserved. Length: 03:57   0:00 / 3:56 1x

Take Away 5.4: Monitoring and Sustaining Change

Interventions fail for multiple reasons, including a lack of change readiness, resistance, poor levels of management communication and support, and a �lawed OD process that results in the wrong problem being solved, ambiguous goals, inadequate time being allotted, poor design, ineffective consulting, failure to ensure client accountability, and lack of organization commitment. Ethical issues abound in OD. During the intervention phase, issues include misrepresentation, collusion, and coercion. Resistance to change can be overcome by open and regular communication from management, engaging employees in the planning and implementation of the change, and acknowledging the fears and concerns that underlie resistance. Change can be sustained by regular communication, broad engagement of employees in monitoring the change, rewarding and recognizing employees committed to the change effort, and providing the necessary learning and support.

Summary and Resources

Chapter Summary Propensity to accept change depends on the level of change readiness for both individuals and the organization. Change readiness signals that employees perceive the change as necessary and attainable and are willing to support its implementation. Change readiness is in�luenced by clear management communication and employees’ con�idence in management’s attitudes, knowledge, and skills to effectively implement the change. Interventions are more likely to be accepted when the change has been clearly communicated and employees have an opportunity to participate in its planning and implementation. OD interventions are change activities that help resolve the presenting problem. Interventions can be classi�ied in multiple ways, including diagnostic, confrontive, level, or process. This book classi�ies them according to individual, group or team, or organization level. The criteria for making an effective intervention include basing the intervention on valid data, verifying the client’s free and informed choice to proceed, and establishing the client’s commitment to learning and change. During the implementation, consultants should be clear about the type of consulting role they want to play. Roles vary from less-involved observation of the implementation to active engagement in providing feedback, modifying the plan, and providing needed training and support. The role the consultant plays will depend on how skilled the client is at leading and facilitating change. It is important to promote learning related to the intervention by encouraging re�lective practice, helping employees see the connection between learning and change, and facilitating client learning by building principles of andragogy (effective adult learning) into the intervention. Theory U embraces the idea that energy follows attention. In consulting, this means consultants need to keep clients focused on the outcomes they seek rather than the problems they want to avoid. Interventions fail for multiple reasons, including lack of change readiness, resistance, poor levels of management communication and support, and a �lawed OD process that results in the wrong problem being solved, ambiguous goals, inadequate time being allotted, poor design, ineffective consulting, failure to ensure client accountability, and lack of organization commitment. Ethical issues abound in OD. During the intervention phase, such issues include misrepresentation, collusion, and coercion. Resistance to change can be overcome by open and regular communication from management that engages employees in the change’s planning and implementation and acknowledges the fears and concerns that underlie resistance. Change can be sustained by regular communication, broad engagement of employees in monitoring the change, rewarding and recognizing employees who are committed to the change effort, and providing the necessary learning and support.

Think About It! Re�lective Exercises to Enhance Your Learning 1. The chapter began with a vignette about a Leadership Academy for a state public health agency. Can you

recall an intervention you participated in? What was it? How was it executed? 2. Recount a time you or someone you know participated in an OD intervention led by a consultant. What were

the outcomes and consequences? How well did the consultant do, based on the principles presented in this chapter?

3. Think back to a change you experienced in either your professional or personal life. How applicable are the principles on andragogy to your experience?

4. When was the last time you took time to re�lect on your assumptions, thoughts, and actions related to an idea, practice, or process? Make an appointment with yourself to engage in some deep thinking and journal

about what emerges. 5. Assess the changes you have made in your life or organization and evaluate how well you maintained the

change. Do you agree with the argument that change is easier to make than maintain? Why or why not?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Use the transtheoretical model of health behavior change to assess a change you have made. Did you follow

the steps? Why or why not? 2. In Chapter 4 one of the activities was to identify a problem in your organization and plan a data collection

process to examine the issue. Assuming you did that, how would you go about planning an intervention to address it? What level(s) of intervention would be most appropriate (individual, group, and organizational)?

3. Refer back to the Tips and Wisdom box in section 5.2 and reclassify French and Bell’s 14 types of interventions into the model we are using in this book (individual, team, and organization).

4. Using Table 5.5, take a real example of implementation and identify speci�ic roles and strategies you would use to support the intervention implementation.

5. Go back to the case study in section 5.4 and use the key points in this chapter about change readiness and resistance to change to identify at least �ive mistakes made by the division president and consultant during the change process.

6. Have you experienced a failed OD intervention? If so, use the information presented in this chapter on effective interventions and reasons interventions fail to diagnose what went wrong.

7. Study the Theory U model using the information at the website or in the book identi�ied below. Apply its steps to a behavior change, organization change, or new learning you have made or hope to make.

8. Using Hord and Roussin’s (2013) readiness for change checklist presented in Table 5.2, assess your readiness to make a change that is impending.

Additional Resources Media

Theory U: An Interview With Dr. Otto

https://www.youtube.com/watch?v=k8HKxvKVUsU (https://www.youtube.com/watch?v=k8HKxvKVUsU)

Change Is Good. . .You Go First

https://www.youtube.com/watch?v=jwxrsngEJDw (https://www.youtube.com/watch?v=jwxrsngEJDw)

Further Reading

Merriam, S. B., & Bierema, L. L. (2014). Adult learning: Linking theory and practice. San Francisco: Jossey-Bass.

Scharmer, C. O. (2009). Theory U: Leading from the future as it emerges. San Francisco: Berrett-Koehler.

Key Terms

andragogy The art of teaching adults; a series of principles for effectively facilitating adult learning.

confrontive interventions Activities that occur as a result of the data collected and analyzed during the action research process.

diagnostic interventions

Activities that occur during the OD–action research process of contracting, initial meetings, or data collection that address issues as they arise.

intervention activity A single event, task, meeting, or workshop implemented to address a problem or issue in the organization.

intervention strategy A sequence of tasks or series of intervention activities that occur over several weeks or months to address a problem or issue in the organization.

readiness for change A perception that making a change is necessary and achievable and that willingness to support the change effort exists.

re�lective practice The process of questioning the assumptions that underlie thoughts and actions.

resistance An expression of stress, negativity, or cynicism toward a change that can thwart achieving the change goal, along with the general absence of change readiness.

shared vision A mutual picture of a desired future state that an organization’s members seek to achieve together.

Theory U Embraces the idea that energy follows attention. In consulting, this means consultants need to keep clients focused on the outcomes they seek rather than the problems they want to avoid.

6 Action Research: The Checking Phase

DragonImages/iStock/Thinkstock

Learning Objectives

After reading this chapter, you should be able to:

Describe evaluation according to how it is de�ined and what steps encompass it.

Identify the types and categories of evaluation.

Examine different frameworks of evaluation.

Determine how to plan and perform an evaluation, including de�ining its purpose, identifying appropriate measures, using the most appropriate data collection methods, analyzing data, sharing feedback, and anticipating and managing client resistance.

Explore strategies for concluding the action research process, including terminating the consultant–client relationship or recycling the intervention.

Kai Chiang/iStock/Thinkstock The Leadership Academy is off to a lively start.

In Chapter 5 we learned about the Public Health Leadership Academy, which was founded by a major university using funds from a federal grant to promote leadership development among public health employees in a southern state. The project involved developing a Leadership Academy for midlevel managers who exhibited potential to advance to higher levels of public health leadership in the state. The intervention was in response to a long-term need based on previous analyses of the state’s public health agency, including succession planning. This need had existed for many years because there were not enough public funds available to provide a comprehensive program. The grant �inally created the opportunity to deliver this much-needed program. James (the client) worked with Leah (the external consultant) to plan and implement the program.

James and Leah engaged in action research to collect and analyze data about the needs of the target population (midlevel public health managers) using interviews and surveys to determine the content of the courses that would be offered in the Leadership Academy. The project had a 2-year implementation time line, with year 1 focused on planning and year 2 devoted to implementation. Evaluation would be ongoing and continue past year 2 with a new cohort starting in year 3, staffed by internal consultants.

During the year 1 planning phase, James and Leah were very involved in collecting data to inform the content and process of the Leadership Academy. They continually stopped to re�lect on their decisions, plans, and processes and made adjustments to each as the project unfolded. They also piloted the �irst session among a small group of advisors to the Leadership Academy to make sure their design would resonate with the participants. They made more changes following the pilot to improve the program.

During year 2, 25 managers chosen for the academy participated in monthly leadership development experiences and seminars. The Leadership Academy began in September with these 25 managers, who had been competitively selected from across the state. The participants convened at a resort, and the program was kicked off by high-level state public health of�icials. The �irst session lasted 3 days, during which time the participants received the results of a leadership styles inventory, listened to innovative lectures and panels on leadership, planned an individual leadership project in their districts, and engaged with each other to develop working relationships. The academy continued meeting monthly for a year and focused on a range of topics related to leadership that were prioritized based on prior data collection. The grant provided for an evaluator, so data were collected at each meeting.

The �irst 2 years of the project involved ongoing assessment of the academy’s plans and implementation, followed by appropriate adjustments. James and Leah included cycles of assessment and adjustment as a regular part of their agenda and conversation.

The evaluator observed all of the sessions and sent out formal evaluations after each monthly session. During the sessions, facilitators regularly asked participants to provide feedback. For example, they were asked to respond to questions like, “How did that exercise work for you?” “How are you looking at this now?” and “How could we do this better?” The evaluation data contributed to changes to the planned curriculum and program activities. For example, the participants took an inventory to assess leadership style and wanted to spend more time on the topic, so the next month’s agenda was adjusted to accommodate the request. Participants complained that the sequencing of topics was not logical, so the agenda for the second cohort to follow in year 3 of the project was adjusted.

The �irst cohort graduated at its �inal session, during which the cohort welcomed the members of the new cohort. Leah had worked with an internal team of consultants throughout the implementation, and the team was ready to take over the facilitation with the second cohort. Following the event, Leah met with James and the new team to tie up loose ends and make the transition. She met periodically with James during the third year to ensure that the Leadership Academy was running smoothly.

As this vignette illustrates, although checking is the third phase of the action research process, it takes place during the planning and doing phases as well. This chapter focuses on checking, in which the implementation is evaluated to see if it solved the problem (see Table 5.1).

zimmytws/iStock/Thinkstock Evaluation helps assess the effectiveness and impact of OD interventions by analyzing data such as employee satisfaction surveys.

6.1 De�ining Evaluation

The �inal phase of action research involves three steps. First, the consultant and client gather data about the key changes and learning that have occurred. This step is known as assessing changes. Next, the consultant uses these data to assess if the intended change occurred. Was the change implementation effective? Were the proposed outcomes met? As a result of this assessment, the consultant adjusts the intervention accordingly. This step is known as adjusting processes. The third step is to terminate the OD process or repeat it to correct or expand the intervention (known as recycling). Assessment, adjustment, and terminating or recycling are collectively known as evaluation.

Purposes of Evaluation

The overall purpose of conducting an evaluation is to make data-based decisions about the quality, appropriateness, and effectiveness of OD interventions. Evaluation helps us determine whether an intervention’s intended outcomes were realized and assess and adjust the intervention as needed. Evaluation helps ensure accountability and knowledge generation from the intervention.

An evaluation creates criteria of merit, constructs standards, measures performance, compares performance to standards, and synthesizes and integrates data into a judgment of merit or worth (Fournier, 1995). Evaluation �indings help render judgments, facilitate improvements, or generate knowledge (Patton, 1997). Evaluations used to render judgments focus on accountability for outcomes such as holding management responsible for making changes in leadership. Improvements concentrate on developmental processes such as creating new learning and growth. Knowledge generation emphasizes academic contributions such as new insights that may change a process.

Establishing a Benchmark

To illustrate how evaluation helps OD consultants assess and adjust an intervention, let us consider an organization that has conducted survey research to assess employee satisfaction. The �irst year creates a

benchmark that can be used in future evaluations. Further, let us imagine that employee satisfaction is at a moderately satis�ied level the �irst time it is measured. When the survey research instrument on employee satisfaction is replicated in future years, the level of satisfaction will be compared with the original baseline to evaluate whether the organization is doing worse, the same, or better than it had originally. The evaluation can help the organization identify key changes and learning that occurred as a result of the intervention. Then the organization can adjust practices accordingly.

The American Productivity and Quality Center developed a benchmarking de�inition that represented consensus among 100 U.S. companies:

Benchmarking is a systematic and continuous measurement process; a process of continuously measuring and comparing an organization’s business process against business process leaders anywhere in the world to gain information, which will help the organization take action to improve its performance. (as cited in Simpson, Kondouli, & Wai, 1999, p. 718)

Who Invented That? Benchmarking

When an organization compares its business processes, practices, and performance standards to other organizations that are considered best in class, they are engaging in benchmarking. The exact derivation of the term benchmarking is unknown. It is thought to have possibly originated from using the surface of a workbench in ancient Egypt to mark dimensional measurements on an object. Alternatively, surveyors may have used the term to refer to the process of marking cuts into stone walls to measure altitude of land tracts, and cobblers may have used it to describe measuring feet for shoes (Levy & Ronco, 2012).

Benchmarking in U.S. business emerged in the late 1970s. Xerox is generally considered the �irst corporation to apply benchmarking. Robert Camp (1989), a former Xerox employee, wrote one of the earliest books on benchmarking. Camp described how U.S. businesses took their market superiority for granted and were thus unprepared when higher quality Japanese goods disrupted U.S. markets.

Benchmarking is a speci�ic type of action research, but the process can also be applied during OD intervention evaluations. There are several types of benchmarking (Ellis, 2006), including:

Competitive: uses performance metrics to assess how well or poorly an organization is performing against direct competitors, such as measuring quality defects between the companies’ products. Comparative: focuses on how similar processes are handled by different organizations, such as two organizations’ recruitment and retention activities. Collaborative: involves sharing knowledge about particular activity between companies, with the goal of learning.

Almost any issue of interest can be benchmarked, including processes, �inancial results, investor perspectives, performance, products, strategy, structure, best practices, operations, management practices, and so forth. Benchmarking could be part of the data collection process in OD, an intervention, or the basis of an evaluation. Table 6.1 shows typical benchmarking steps.

Table 6.1: Typical benchmarking process

Benchmarking step Example

1. Identify process, practice, method, or product to benchmark.

Identifying best practices for recruiting and retaining a diverse workforce.

2. Identify the industries with similar processes.

Finding the companies that are best at retaining a diverse workforce, even those in a different industry.

3. Identify organization leaders in a target area.

Selecting the organizations against which to benchmark.

Benchmarking step Example

4. Survey the selected organizations for their measures and practices.

Sending a survey to the target companies asking for information on issues like turnover and hire rates, formal retention programs (e.g., orientation, development), management training and rewards, and so forth.

5. Identify best practices.

Analyzing data to identify best practices to implement. Analysis depends on the type of data collected, whether it is statistical (quantitative data), such as from a survey of employees on attitudes about diversity, or interpretive (qualitative data), such as from interviews with employees who quit.

6. Implement new and improved practices.

Implementing best practices, such as new recruitment and retention strategies, af�inity groups, or rewards for managers who develop a diverse staff.

Other Purposes of Evaluation

Caffarella (1994) and Caffarella and Daffron (2013) identi�ied 12 speci�ic purposes of evaluation data. Evaluation helps to

1. adjust the intervention as it is being made in terms of design, delivery, management, and evaluation; 2. keep employees focused on the intervention’s goals and objectives; 3. provide information to inform the continuation of the intervention; 4. identify improvements needed to design and deliver the intervention; 5. assess the intervention’s cost-effectiveness; 6. justify resource allocations; 7. increase application of participants’ learning by building in strategies that help them transfer learning back

to the organization; 8. provide data on the results of the intervention; 9. identify ways to improve future interventions;

10. cancel or change an intervention that is poorly designed or headed for failure; 11. explore why an intervention fails; and 12. provide intervention accountability.

Moreover, during the planning phase, evaluation can help consultants assess needs and make decisions about how best to intervene. The Leadership Academy’s goal was to improve leadership, but James and Leah had to assess the content that would be most appropriate for leadership in public health. Then, when the participants were selected, they had to make further assessments to ensure the program was relevant to the participants’ particular needs.

Evaluation may also help test different theories and models of addressing the problem. In the case of the Leadership Academy, James and Leah based their interventions on theories and models of leadership. They threw out what did not resonate with the participants or work well during sessions and revised the program for the second cohort.

Evaluation also helps monitor how the intervention is going during implementation so it can be adjusted accordingly. Such adjustments occurred throughout the Leadership Academy implementation over the course of a year.

Finally, evaluation helps determine whether the intervention goals were met and what impact the change had on individuals and the organization. Measuring this type of impact may require more longitudinal study than other types of evaluation. The evaluation of impact helps consultants decide whether to extend the intervention, change it, or abandon it altogether. The Leadership Academy will be continually reevaluated as new cohorts participate each year.

Clearly, evaluations have the potential to accomplish a variety of goals. Throughout the OD process, it is critical to stay focused on an evaluation’s purpose. Have you experienced any of the evaluation activities discussed here?

Steps in Evaluation

Just as with action research models, so too are there many approaches to undertaking evaluation. That is, there are different ways to model the steps in the process. Two are discussed here.

Evaluation Hierarchy

Rossi, Lipsey, & Freeman (2004) offered an evaluation hierarchy that recognizes the importance of engaging in evaluation from the beginning of the action research process. That is, evaluation should occur during the initial client contacts, be built into the plan for intervention, and be ongoing throughout the implementation, prior to the formal assessment of the intervention’s impact, cost, and ef�iciency. Doing evaluation is a matter of conducting a mini-action research project.

Caffarella’s Systematic Program Evaluation

Caffarella (1994) outlined the steps generally taken during an evaluation. Her steps have been modi�ied to address key OD issues in the following points. Caffarella’s steps are intended to be sequential under ideal conditions, although reality may be quite different. Note that Caffarella has proposed a lot of steps. She has elaborated more on the steps than some other models but still follows an action research process.

1. Secure support for the evaluation from stakeholders such as the client and key management. This step should be a provision of the contract as discussed in Chapter 3. It is the process of getting management to commit to the time and resources needed to evaluate the process, as well as being willing to pay attention to the �indings.

2. Identify individuals who can be involved in planning and overseeing the evaluation, such as the participants, management, client, and others impacted by the intervention. This is usually led by the consultant and client and would involve employees who are engaged in the implementation. It could also involve those affected by the change who did not necessarily participate in it, such as customers or suppliers.

3. De�ine the evaluation’s purpose and how the results will be used. This step is elaborated on in a later section of this chapter. The evaluation’s focus should be determined and then built accordingly. For example, is it aimed at improving a process or judging an outcome? Does it pertain to planning the intervention or the intervention itself? Is it aimed at assessing adherence to budget or performance outcomes?

4. Specify what will be judged and formulate the evaluation questions. This step is driven by the evaluation’s purpose. If you decide to evaluate how satis�ied employees are with a new performance appraisal process, questions should relate to that change and be used to judge whether it was effective and should continue.

5. Determine who will supply the evidence, such as participants, customers, management, employees, or others affected by the intervention.

6. Specify the evaluation strategy in terms of purpose, outcomes, time line, budget, methods, and so forth. 7. Identify the data collection methods and time line. Data collection was discussed extensively in Chapter 5.

The selected methods should best match the evaluation’s purpose. 8. Specify the data analysis procedures and logistics (covered in Chapter 5). However, the analysis is oriented

around making decisions and changes to the intervention, not on diagnosing the problem.

9. De�ine the criteria for judging the intervention. This can be somewhat subjective unless the metrics are de�ined in advance. For example, if the intervention were aimed at improving employee retention, would a consultant measure simply whether it improved or look for a certain benchmark (such as 10%) to deem it successful?

10. Complete the evaluation, formulate recommendations, and prepare and present the evaluation report. These steps mirror the data analysis steps presented in Chapter 5 and the feedback meeting strategies in Chapter 4.

11. Respond to recommendations for changes as appropriate.

Table 6.2 compares the action research model to Rossi, Lipsey, and Freeman’s and Caffarella and Daffron’s evaluation steps. They vary in terms of detail and number, but essentially follow the three phases of action research.

Table 6.2: Comparing the action research model to evaluation models

Action research model

Rossi, Lipsey, and Freeman

Caffarella and Daffron

Planning 1. Assess intervention cost and ef�iciency.

2. Assess intervention outcome or impact.

1. Secure support for the evaluation from stakeholders. 2. Identify individuals who can be involved in planning and

overseeing the evaluation. 3. De�ine the evaluation’s purpose and how the results will

be used. 4. Specify what will be judged and formulate the evaluation

questions. 5. Determine who will supply the evidence. 6. Specify the evaluation strategy in terms of purpose,

outcomes, timeline, budget, methods, and so forth. 7. Identify the data collection methods and time line. 8. Specify the data analysis procedures and logistics. 9. Determine the speci�ic timeline and the budget needed to

conduct the evaluation.

Doing 3. Assess intervention implementation.

10. Complete the evaluation, formulate recommendations, and prepare and present the evaluation report.

Checking 4. Assess intervention design and theory.

5. Assess need for the intervention.

11. Respond to recommendations for changes as appropriate.

Caffarella and Daffron’s steps are comprehensive, covering the key tasks that must be completed during an intervention’s evaluation. However, it may not always be possible to follow these clearly articulated steps; evaluation can be unpredictable and may present challenges that are often unanticipated. For example, if an implementation has been challenging, a client may balk at the evaluation out of fear of receiving negative feedback; on the other hand, employees may be reluctant to participate if trust levels are low. Thus, it helps to pay attention to relevant dynamics and expect the unexpected.

Evaluation provides critical information about an intervention’s impact both during and after its implementation. Thus, no matter what model is followed for performing an evaluation, it is essential to begin planning it before the intervention is well underway. A consultant’s job is to ensure that evaluation is integrated into the OD process from start to �inish. Unfortunately, evaluation is often overlooked in favor of wanting simply to take action on the problem, and too many consultants consider their work �inished once the intervention has occurred. In other cases consultants go about evaluation haphazardly. If they cannot demonstrate that their action was effective, however,

they risk undermining their client’s con�idence in the OD effort, fail to permanently solve the problem, and put themselves at risk of repeating similar mistakes on future assignments.

Take Away 6.1: De�ining Evaluation

Evaluation is a process of assessing, adjusting, and terminating or recycling the intervention based on data and subsequent decisions. The purpose of evaluation is to make data-based decisions about an intervention’s quality, appropriateness, and effectiveness.

worldofvector/iStock/Thinkstock Formative evaluation involves making assessments and adjustments during the action research process to reach established goals.

6.2 Types and Categories of Evaluation

Theorists have proposed different types and categories for evaluation. This section identi�ies some of these different approaches.

Types of Evaluation

Evaluation can be either formative or summative, depending on the intervention’s goal (Scriven, 1967, 1991a, 1991b). Scriven is considered a leader in evaluation; you can view one of his lectures by visiting the media links provided at the end of this chapter.

Formative Evaluation

Making changes to an implementation that is already in progress is called doing a formative evaluation. Formative evaluation is concerned with improving and enhancing the OD process rather than judging its merit. The following types of questions might be asked when conducting a formative evaluation:

What are the intervention’s strengths and weaknesses? How well are employees progressing toward desired outcomes? Which employee groups are doing well/not so well? What characterizes the implementation problems being experienced? What are the intervention’s unintended consequences? How are employees responding? What are their likes, dislikes, and desired changes? How are the changes being perceived culturally? How well is the implementation conforming to budget? What new learning or ideas are emerging?

For example, consider an intervention focused on changing reporting relationships as part of a work redesign in a manufacturing plant. A consultant might discover that some of the new arrangements do not make sense once implemented. These might therefore be modi�ied as the work redesign progresses. Asking questions pertaining to the problems, the employees’ perspectives, their likes and dislikes, and so forth yields information that helps tweak and improve the process. Formative evaluation is generally ongoing throughout the implementation.

Summative Evaluation

Undertaking evaluation at the end of the OD implementation, with the goal of judging whether the change had the intended outcomes and impact, is called summative evaluation. Summative evaluation is also known as outcome or impact evaluation because it allows the intervention’s overall effectiveness to be ascertained. A consultant can then decide whether to continue or terminate it (Patton, 1997). The following types of questions might be asked by the consultant, management, or an external evaluator when conducting a summative evaluation:

Did the intervention work? Did the intervention satisfactorily address the performance gap? Should the intervention be continued or expanded?

How well did the intervention stick to the budget?

Summative evaluations should follow four steps:

1. Select the criteria of merit—what are the sought metrics? 2. Set standards of performance—what level of resolution is sought? 3. Measure performance—conduct the evaluation. 4. Synthesize results into a judgment of value. (Shadish, Cook, & Leviton, 1991, pp. 83–94)

Adequate levels of both formative and summative evaluation must be incorporated into the OD process. Failure to conduct formative evaluation leads to missed opportunities to adjust and improve on the implementation as it is in progress. Omitting the summative evaluation means never learning the intervention’s outcomes and impact or lacking adequate data on which to base future decisions.

Cervero’s Evaluation Categories

Cervero (1985) identi�ied seven categories of evaluation for planners of educational programs that have relevance for OD. His list has been adapted for OD interventions in terms of categories of evaluation:

1. Intervention design and implementation. This could be either formative or summative, since the design and intervention are assessed for �it and impact. Imagine implementing a new performance appraisal process. Formative evaluation might involve piloting the evaluation and evaluating how well it worked for both employees and supervisors. The performance appraisal would then be modi�ied and implemented. Summative evaluation in this case might examine whether the new performance appraisal process improved performance, satisfaction, and learning.

2. Employee participation. This type of evaluation assesses employees’ level of involvement in the intervention. This could also be formative or summative. In the case of performance evaluation, a consultant might examine the level of involvement and seek feedback from employees. A summative evaluation might evaluate whether the level of employee participation was adequate and whether it yielded positive outcomes.

3. Employee satisfaction. This type of evaluation assesses employees’ level of satisfaction in the intervention. This could also be formative or summative. In the case of performance evaluation, a consultant might examine the level of satisfaction with the new performance appraisal or its implementation process. A summative evaluation might evaluate how satis�ied employees are once the new performance appraisal system is in place.

4. Acquisition of new knowledge, skills, and attitudes. This type of evaluation measures learning during and after the intervention and could also be formative or summative. In the case of performance evaluation, a consultant might examine the level of involvement and seek feedback from employees. A formative evaluation during the pilot phase might determine that supervisors lack the skills to effectively implement the new process and give the level of feedback desired. It would allow the consultant and client to revise the process and provide adequate training to supervisors. A summative evaluation would assess the level of learning from the new performance appraisal system. This could take the form of employees improving their performance and supervisors showing demonstrated improvement in their ability to give feedback.

5. Application of learning after the intervention. This category is similar to the previous one, but it is summative; it judges how learning was applied after the intervention. A consultant might look for evidence of how supervisors applied what they learned about giving effective performance feedback to other interactions with employees throughout the year.

6. The impact of the intervention on individuals and the organization. This category could be formative or summative. The formative evaluation might look at how the intervention impacts organization life via communication, understanding, participation, satisfaction, and so forth. A summative evaluation would look at the overall impact on satisfaction, �inancial performance, retention, job satisfaction, and so forth.

7. Intervention characteristics associated with outcomes. This type of evaluation attempts to link aspects of the intervention to outcomes and is summative. This can be more dif�icult to measure if the intervention was complex or had several interventions built into it. A consultant might evaluate how a participative process affected the implementation’s overall success or employee satisfaction.

If you have had the opportunity to evaluate organization change efforts, have you experienced any evaluative measures on Cervero’s list? Which ones would be most relevant for the Leadership Academy vignette? Can you think of other categories that might be added to Cervero’s list?

Take Away 6.2: Types and Categories of Evaluation

Evaluation can be formative or summative. Formative evaluation is concerned with improving and enhancing an OD process as it is underway, rather than judging its merit. Summative evaluation occurs after the implementation is complete and ascertains whether the change accomplished the desired outcomes and impact. Both provide valuable ways to assess the intervention before, during, and after it has occurred. Cervero’s categories of evaluation show the different approaches to evaluation. It is important to be clear on an evaluation’s purpose at the planning stage. Typical evaluation categories include intervention design and implementation; employee participation and satisfaction; acquisition of new knowledge, skills, and attitudes; application of learning after the intervention; impact of the intervention; and intervention characteristics associated with outcomes.

Figure 6.1: Reaction evaluation using a smile sheet

The reaction evaluation sheet shown here is just one way to solicit feedback from an audience.

6.3 Frameworks of Evaluation

This section pro�iles some common evaluation frameworks. There is no “best” framework. Rather, you should �ind what you are comfortable working with and what effectively �its the situation.

Kirkpatrick’s 4-Level Framework

Kirkpatrick’s (2006) 4-level evaluation framework can be formative or summative and is one of the most widely known evaluation typologies that became popular in the 1990s. It was originally created to evaluate training programs, and OD consultants use it to conduct evaluation at a range of points over time. The framework classi�ies an intervention’s outcomes into one of four categories—reaction, learning, behavior, or results (see Table 6.3). An outcome is assigned a category based on how dif�icult it is to evaluate. For example, the simplest type of outcome to evaluate is participant reaction to the intervention. Thus, this is assigned level 1.

Table 6.3: Kirkpatrick’s 4-level evaluation framework

Level Focus Examines

1 Reaction Did participants like the intervention?

2 Learning What skills and knowledge did participants gain?

3 Behavior How are participants performing differently?

4 Results How was the bottom line impacted?

Level 1 Evaluation

Level 1 measures participant reaction to the intervention. This type of evaluation is sometimes referred to as a “smile sheet” because it measures only what participants thought and felt during or immediately after an intervention, and in very simple terms— whether they were satis�ied, neutral, or dissatis�ied. As an example, consider the Leadership Academy vignette. At this level of evaluation, the consultants might ask the academy participants questions such as: “How well did you like the session?” “Was the learning environment comfortable?” “Were the facilitators capable and credible?” and “Did you feel it was time well spent?” This type of evaluation may make facilitators feel good about introducing an intervention, but it does not effectively measure change. Unfortunately, it is the most common form of evaluation employed in organizations.

Level 2 Evaluation

Level 2 measures participant learning from an intervention. This level of evaluation assesses whether the intervention helped participants improve or increased their knowledge or skills. At this

level, James and Leah might ask the Leadership Academy participants, “What was the key thing you learned from this session?” or “What new skills have you acquired as a result of this experience?” This type of evaluation works best after participants have had a chance to return to their workplace and apply the principles and behaviors they learned (and thus is summative). Participants might also be interviewed or surveyed about learning during the course of the intervention (which would be formative).

Tips and Wisdom

If you are facilitating a meeting, workshop, or seminar and want to gauge a participant’s reaction to the event, create an opportunity for them to share feedback. One way to do this is to put a �lip chart page with the smiley face symbols shown in Figure 6.1 in the hall outside the session room. Give participants a dot apiece and ask them to place it in the column that best represents how they feel about the session so far. It is important to place the chart out of your eyeshot so people feel comfortable sharing honest feedback. This offers a snapshot of participants’ reactions and allows you to make adjustments in the moment. You can also use Twitter or other social media to solicit this data.

Level 3 Evaluation

Level 3 measures changes in behavior. This level of summative evaluation assesses whether participants are using their new knowledge or skills in their job. At this level James and Leah might ask Leadership Academy participants, their supervisors, or subordinates: “To what extent has the leader’s behavior changed and improved as a result of the Leadership Academy?” or “What is the person doing differently now?” Similar to level 2, this type of evaluation is best done post intervention. It can be accomplished by interviewing, observing, or surveying participants and stakeholders affected by the intervention.

Level 4 Evaluation

Level 4 measures results for the organization. This level of summative evaluation measures how the intervention affected business performance or contributed to the achievement of organization goals. At this level James and Leah might ask Leadership Academy participants, their supervisors, or subordinates: “How has the organization bene�ited from the Leadership Academy?” “To what degree has employee satisfaction, productivity, or performance improved?” “To what degree has recruitment and retention of employees improved as a result of improved leadership?” “How many promotions have occurred as a result of participating in the academy?” or “How much money has the organization saved due to better leadership decisions?” As these questions indicate, it might be dif�icult to actually measure and attribute changed leadership to organization results and outcomes.

Kirkpatrick continued to evolve his model and even questioned whether it was a true model or just a guideline. He also expanded his focus to consider an intervention’s cost–bene�it ratio and whether it demonstrated a return on investment. Measuring these variables can also present challenges to organizations and OD consultants.

Lawson’s Application of Kirkpatrick’s Framework

Building on Kirkpatrick’s framework, Lawson (2006) categorizes variables relating to the what, who, when, how, and why of the framework’s use. Her approach has been adapted for OD and is depicted in Table 6.4.

Table 6.4: Applying Kirkpatrick’s framework to OD interventions

Level What Who When How Why

1 Reaction: Did they like it?

Participants During or after the intervention

Smile sheet Determine level of participant satisfaction and need to revise intervention if duplicated

2 Learning: What knowledge or skills were retained?

Participants and consultants

During, before, and/or after the intervention

Pre- and posttests, skills applications, role plays, case studies, and exercises

Determine whether consultant has been effective in implementing intervention purpose and objectives

3 Behavior: How are participants performing differently?

Participants, supervisors, subordinates, and peers

3 to 6 months after intervention

Surveys, interviews, observation, performance, and appraisal

Determine extent to which participants transferred their learning from the intervention to the workplace

4 Results: What is the impact on the bottom line?

Participants and control group

After completion of level 3 assessment

Cost–bene�it analysis and tracking operational data

Determine whether the bene�its outweigh costs and how the intervention contributed to organization goals and strategy

Source: Adapted from Lawson, 2006, p. 256.

Critiques of Kirkpatrick

Kirkpatrick’s (1987, 1994, 2006) four levels of criteria have been dominant for decades among evaluators. With popularity, however, comes criticism. First, the model has been critiqued for being primarily focused on postintervention realities; that is, for evaluating what happens after the intervention versus incorporating more formative evaluation into the process. The 4-level framework also does not help evaluators link causal relationships between outcomes and the levels of evaluation. Finally, the framework does not help evaluators determine what changes equate to the different levels of evaluation or how best to measure each level.

Some authors have suggested expanding the reaction level to include assessing participants’ reaction to the intervention techniques and ef�iciency (Kaufman & Keller, 1994). One might also try splitting the reaction level to include measuring participants’ perceptions of enjoyment, usefulness, and the dif�iculty of the program (Warr & Bunce, 1995). Kaufman and Keller (1994) recommended adding a �ifth level to address the societal contribution and outcomes created by the intervention, which is becoming more popular with the higher emphasis on corporate

social responsibility and sustainability. Phillips (1996) advocated adding a �ifth level that speci�ically addresses return on investment.

Other Frameworks of Evaluation

Although the Kirkpatrick model is one of the dominant evaluation models, it is not necessarily the best or most appropriate for every situation. This section brie�ly pro�iles some lesser known evaluation models.

Hamblin’s 5-Level Model

Similar to Kirkpatrick’s model, this model measures reactions, learning, job behavior, and organizational impacts, as well as a �ifth level—the economic outcomes of training. The hierarchy of Hamblin’s (1974) model is more speci�ic than Kirkpatrick’s in that reactions lead to learning, learning leads to behavior changes, and behavior changes have organizational impact. Because of this assertion, Hamblin believed that evaluation at a given level is not meaningful unless the evaluation at the previous level has been performed.

Preskill and Torres’s Evaluative Inquiry Model

Preskill and Torres (1999) contributed a model of inquiry to the literature that uses the evaluation process as a learning and development opportunity:

Evaluative inquiry is an ongoing process for investigating and understanding critical organization issues. It is an approach to learning that is fully integrated with an organization’s work practices, and as such, it engenders (a) organization members’ interest and ability in exploring critical issues using evaluation logic, (b) organization members’ involvement in evaluative processes, and (c) the personal and professional growth of individuals within the organization. . . . (pp. 1–2)

Evaluative inquiry is the fostering of relationships among organization members and the diffusion of their learning throughout the organization; it serves as a transfer-of-knowledge process. To that end, evaluative inquiry provides an avenue for individuals’ as well as the organization’s ongoing growth and development. (p. 18)

Their de�inition emphasizes that evaluation is more than simply reporting survey �indings. Rather than being event driven, such as sending a survey to participants after the intervention is over, evaluation should be an ongoing part of everyone’s job; that is, a shared learning process. Evaluative inquiry should be focused on

intervention and organizational processes as well as outcomes; shared individual, team, and organizational learning; educating and training organizational practitioners in inquiry skills (action learning); collaboration, cooperation, and participation; establishing linkages between learning and performance; searching for ways to create greater understanding of the variables that affect organizational success and failure; and using a diversity of perspectives to develop understanding about organizational issues (Preskill & Catsambas, 2006).

Preskill and Torres (1999) identi�ied four learning processes—dialogue, re�lection, questioning, and identifying and clarifying values, beliefs, assumptions, and knowledge—that facilitate three phases of evaluative inquiry: focusing the evaluative inquiry, carrying out the inquiry, and applying learning. The phases are depicted in Table 6.5.

Table 6.5: Preskill and Torres’s evaluative inquiry phases

Focusing the evaluative inquiry

Carrying out the inquiry Applying learningFocusing the evaluative inquiry

Carrying out the inquiry Applying learning

Determine issues and concerns for evaluation Identify stakeholders Identify guiding questions for the evaluation

Design and implement the evaluation (collect, analyze, interpret data) Address evaluative questions

Identify and select action alternatives Develop and implement action plans Monitor progress

Strategies Focused dialogues Group model building Open space technology Critical incidents Assumption testing through questioning

Strategies Develop a database for organization learning Literature-based discussions Working session to interpret survey results (or other data collected) Framing �indings as lessons learned

Strategies Capturing concerns, issues, and action alternatives Using technology to facilitate brainstorming Developing an action plan Solving implementation issues

At each stage of inquiry, the following skills are used:

1. Dialogue 2. Re�lection 3. Asking questions 4. Identifying and clarifying values, beliefs, assumptions, and knowledge

Brinkerhoff’s 6-Stage Model

This model de�ines evaluation as the collection of information to facilitate decision making (Brinkerhoff, 1989). It requires that consultants articulate how and why each training or development activity is supposed to work, without which comprehensive evaluation is impossible. This model helps to assess whether and how programs bene�it the organization; analysis can help trace any failures to 1 or more of the 6 stages of Brinkerhoff’s model. The stages are:

1. Goal setting (What is the need?): A need, problem, or opportunity worth addressing that could be favorably in�luenced if someone learned something.

2. Program design (What will work?): A program that teaches the needed topic is created or, if one already exists, it is located.

3. Program implementation (It is working?): The organization successfully implements the designed program. 4. Immediate outcomes (Did they learn it?): The participants exit the program after successfully acquiring the

intended skills, knowledge, or attitudes. 5. Immediate or usage outcomes (Are they keeping and/or using it?): The participants retain and use what

they learned. 6. Impacts and worth (Did it make a worthwhile difference?): The organization bene�its when participants

retain and use what they learned.

Input, Process, Output, and Outcomes Evaluation

This model evaluates training programs at four levels (input, process, output, and outcomes) in terms of their potential contribution to the overall effectiveness of a training program (Bushnell, 1990). It is similar to the systems

model introduced in Chapter 2 that considers inputs, throughputs, and outputs in organization systems.

1. Inputs: trainee quali�ications, instructor abilities, instructional material, facilities, and budget. 2. Process: value-adding activities such as planning, designing, developing, and delivering the training. 3. Output: trainee reactions, knowledge and skills gained, and improved job performance. 4. Outcomes: pro�its, customer satisfaction, and productivity.

This model has the following bene�its:

1. It can help determine whether training programs are achieving the right purpose. 2. It can help identify the types of changes that could improve course design, content, and delivery. 3. It can help determine whether students have actually acquired knowledge and skills.

Steps in the evaluation process:

1. Identify evaluation goals: Determine the overall structure of the evaluation effort and establish the parameters that in�luence later stages.

2. Develop an evaluation design and strategy: Select appropriate measures, develop a data collection strategy, match data types with experimental designs, allocate the data collection resources, and identify appropriate data sources.

3. Select and construct measurement tools: Select or construct tools that best �it the data requirements and meet criteria for reliability and validity. Examples include questionnaires, performance assessments, tests, observation checklists, problem simulations, structured interviews, and performance records.

4. Analyze the data: Tie the results of the data-gathering effort to the evaluation’s original goals. 5. Make conclusions and recommendations and present the �indings.

Take Away 6.3: Frameworks of Evaluation

Multiple frameworks exist for conducting evaluation. The best known is Kirkpatrick’s 4- level evaluation framework. This model measures reaction, learning, behavior, and results pertaining to the intervention. Other models of evaluation include Hamblin’s 5-level model, Preskill and Torres’s evaluative inquiry, Brinkerhoff’s 6-stage model, and the input, process, output, and outcomes model.

6.4 Planning and Performing the Evaluation

Just as with other aspects of the action research process, evaluation requires deliberate planning and buy-in from the client. To plan the evaluation, Cervero (1985) suggests identifying �ive key factors:

1. What is the purpose of the evaluation? 2. Who needs what information? 3. Are there any practical and ethical constraints? 4. What resources are available? 5. What are the evaluator’s values?

The answers to these �ive questions offer an evaluation a strong foundation, so it is worth re�lecting with the client about them. Once clear on these issues, you can get more speci�ic about evaluation purposes, measurements, information sources, data collection, data analysis, feedback, further action, and how to anticipate and manage resistance. These evaluation steps may look familiar, because conducting an evaluation is similar to doing a small- scale action research project. These steps will be explored in the next sections.

Determine the Purpose of the Evaluation

Determining the evaluation’s purpose(s) offers clear focus moving forward. Referring back to Cervero’s categories of evaluation may help pinpoint what is being evaluated. For effective formative evaluation, a consultant should work with the client to determine what needs to be evaluated throughout the action research process, particularly regarding process improvement. For example, in the case of the Leadership Academy, formative evaluation consisted of assessing the curriculum for relevance and cost. The examination of a performance appraisal process change earlier in the chapter showed how one might assess employees’ satisfaction with their level of participation in the process or with a pilot phase of the appraisal.

Consultants should also plan the purpose of summative evaluation. Returning to the example of the Leadership Academy, it was essential to �ind out whether the participants learned and applied the new behaviors and skills, and if so, how their actions impacted their organizations. In the case of the performance appraisal process change, the organization wanted to know if it changed supervisor behavior, improved retention, impacted learning, and increased performance.

Once an evaluation’s purpose has been decided, a consultant can begin to identify what questions to ask the participants. Table 6.6 offers examples of appropriate questions for different evaluation goals. Questions revolve around needs assessment, intervention conceptualization, intervention delivery, outcomes, and costs.

Table 6.6: Typical evaluation questions

Case Study: Piloting and Evaluating a New Performance Appraisal Process

A paper products manufacturing company begins working with a consultant to improve employee retention, since the company has a signi�icantly higher attrition rate than other companies it benchmarked. One of the interventions selected during the action research process is to overhaul the way supervisors share feedback with employees; the performance appraisal process will become more developmental than punitive, ongoing rather than once a year, with no surprises in the feedback delivered.

Making this change requires developing a new process. A small design team is formed to advise on the new performance appraisal process. It includes the consultant, client, supervisors, and employees. The team designs an intervention that is based on supervisors providing feedback in the moment—that is, when they notice something and want to coach the employee through it. The model also incorporates periodic opportunities for the employee and supervisor to meet, focus on the employee’s developmental plan, and make adjustments as needed. Once the process is developed, the team decides to pilot it with a small department.

Before the pilot begins, the participating employees are briefed on the intervention and con�irm their participation. Both the employees and supervisors are trained in the new method, and the supervisors receive additional training on how to provide coaching and give developmental feedback. The design team begins to study the pilot group’s response by questioning whether it is meeting the original need of improving retention and whether the design is best for meeting the needs. To this end, the design team holds informal conversations with the employees and supervisors and asks them questions such as:

What do you like about this new process? What don’t you like about this new process? How do you perceive these changes? Will this work if we expand it further, or would you suggest changes? What have you learned in the process?

The informal conversations yield important data that design team members share during a meeting. There is general support for the idea, but the supervisors do not always feel competent to use the new process correctly; they also feel stressed about the time it takes. The employees are unsure what the purpose of the periodic meetings is. Some employees and supervisors are resistant, feeling either distrust toward the process or resignation that things will not change.

The design team decides to adjust the process. It provides more support and training to the supervisors on how to coach and share feedback, with the expectation that it will take less time as they become more comfortable with the process. It also assembles the department and models an ideal periodic meeting to touch base on development. The pilot group continues to work with the process for several more weeks, with ups and downs.

Prior to rolling out the process to the wider organization, the design team meets with the pilot department to see if additional adjustments are needed. The process works better for most but still has logistical problems that require further change.

Finally, the company is ready to roll out the changes organization-wide. It starts with a communication plan and provide training to all employees. The design team continues to monitor the process over the next year.

After the plan has been in place for a year, the design team comes together and decides to plan and perform an evaluation to assess whether the new performance appraisal process met its intended goals. The steps it follows include:

1. Purpose of the evaluation: To assess whether the new performance appraisal process increased employee retention.

2. Identify appropriate evaluation measures: The design team decided to look at three measures: a. Retention comparing the year before the intervention to the year after it. b. Employee attitudes. c. Supervisor attitudes.

3. Choose and employ data collection methods: This depends on the type of data desired and the question the organization wishes to answer. a. Attrition records to measure the year-to-year comparison of retention rates. b. Survey of employees c. Interviews of supervisors

4. Analyze data and provide feedback: Once the data were collected, the consultant and client made the �irst analysis and then involved the design team. Once the �indings were re�ined, they shared them during an open meeting with employees. They also shared them with supervisors in a separate meeting to get their feedback and input.

5. Anticipate and manage resistance to the evaluation: Although the team did review worst case scenarios for how the organization or employees might resist, the problems were minimal. For example, complaints were similar to those it heard throughout the pilot process from employees who were skeptical that the new performance appraisal process would work.

Once the analysis is complete, the design team presents its �indings to top management. The organization now needs to determine how effective the intervention was and whether it would be wise to invest further in it.

Critical Thinking Questions

1. Given your knowledge of evaluation, what are some steps the design team followed in implementing its evaluation?

2. What steps did the design team miss?

Identify Appropriate Evaluation Measures

Once an evaluation’s purpose has been determined, actions to measure it should be identi�ied. This book has covered a range of evaluation techniques. The formative measures that the Leadership Academy team members identi�ied allowed them to recruit a small group of top leaders to critique the curriculum. They followed this with a small pilot session to troubleshoot and revise the curriculum with an actual audience. Participants evaluated the academy throughout the implementation, and adjustments were made accordingly.

Summative measures could have included any of the examples listed in the Kirkpatrick discussion, such as promotions, employee satisfaction, or customer satisfaction. In the case of the Leadership Academy, measures included improved performance, promotions, a leadership project, and team satisfaction. Since a main goal was to cultivate leaders from within the organization, measuring the percentage of participants who were promoted from middle management to executive positions was a key metric for evaluating the intervention’s success.

Choose and Employ Data Collection Methods

With the purpose and measures determined, the consultant should identify appropriate sources of information and methods for gathering the information. For example, if you want to measure the results of a customer-service training, you could measure the number of complaints, review written complaints, or contact customers. The methods you might use do to this include surveys, documents, or interviews. Table 6.7 offers an overview of data collection methods appropriate for evaluation. The more commonly used methods to collect evaluation data include: archival data, observations, surveys and questionnaires, assessments, interviews, and focus groups. Each is discussed in detail below. Chapter 4 reviewed methods used to conduct analysis or planning—many of them are similar.

Table 6.7: Evaluation data collection methods

Evaluation method

Description

Interviews A conversation with one or more individuals to assess their opinions, observations, and beliefs. Questions are usually determined in advance, and the conversation is recorded.

Evaluation method

Description

Questionnaires A standardized set of questions intended to assess opinions, observations, and beliefs that can be administered in paper form or electronically.

Direct observation

Viewing a task or set of tasks as they are performed and recording what is seen.

Tests and simulations

Structured situations to assess an individual’s knowledge or pro�iciency to perform some task or behavior.

Archival performance data

Use of existing information, such as �iles, reports, quality records, performance appraisals, and so forth.

Product reviews

Internal or external evaluations of products or services.

Performance reviews

Written assessments of individual performance against an established criteria.

Records and documents

Written materials developed by organizations and communities (performance appraisals, production schedules, �inancial reports, attendance records, annual reports, company and board minutes, training data, etc.).

Portfolios A purposeful collection of a learner’s work assembled over time that documents events, activities, products, and/or achievements.

Cost–bene�it analysis

A method for assessing the relationship between the outcomes of an educational program and the costs required to produce them.

Demonstration Exhibiting a speci�ic skill or procedure to show competency.

Pre- and posttests

Instruments used to measure knowledge and skills prior to and after the intervention to see if there were changes.

Focus groups Group interviews of approximately 5 to 12 participants to assess opinions, beliefs, and observations. Focus groups require a trained facilitator.

Source: Adapted from Caffarella & Daffron, 2013.

Archival Data

Evaluating the degree of change an intervention produced requires establishing a baseline of existing information from employment records, production �igures, or quarterly reports. These are referred to as archival data (or documents and records). You are not seeking new data, but using existing data to assess the intervention’s effectiveness. Archival data are easily accessible, typically available for no or minimal cost, and useful for providing

historical context or a chronology of events, such as employee satisfaction over time. The Leadership Academy team relied on archival data from performance reviews and employee satisfaction surveys to evaluate impact.

Observation Data

Watching the organization engage in its everyday operations involves observation. This type of evaluation is based on detailed descriptions of day-to-day behaviors that cannot be explored by viewing existing archival records. Examples of observation data might include checklists of meeting-leader behaviors completed by one of the team members, call monitoring forms, listening skills, and body language. Observation did not play an of�icial role in the Leadership Academy evaluation process; however, participants’ supervisors observed the changes they made in their approach to their work and documented these in their performance reviews. Data collection by observation can range from routine counting of certain occurrences to writing narrative descriptions of what is being observed.

Surveys and Questionnaires

Surveys and questionnaires are helpful for measuring the intervention’s effects. They should be completed by respondents with some experience related to the intervention. In the Leadership Academy vignette, the consultants used surveys to gather participants’ input on their individual leadership styles during the program. Other examples include end-of-course reaction forms or surveys of stakeholders such as customers, employees, or management. Surveys and questionnaires might also be appropriate when evaluators desire new data from multiple individuals who may be dispersed throughout the organization. Surveys and questionnaires are relatively inexpensive and easy to administer, particularly with the use of technology. It is important that these instruments be well constructed; their wording must be unambiguous, and they must be easy to complete.

Paper, Pencil, or Computer-Based Tests

Consultants can administer a variety of commercially produced tests to assess the knowledge or skills imparted by an intervention, or they can develop an original test unique to the intervention. No matter the type of test employed, the evaluation result is based on the test scores. This type of evaluation works well when trying to determine the quantity and quality of the participants’ education. OD consultants might administer a pretest before an intervention and a posttest afterward, or they might require participants to pass a test to attain a certi�icate of completion.

Tests should be cautiously designed and prudently administered. First, questions must be written in a way that consistently and accurately measures what was taught. Second, participants may perceive test taking as threatening, especially if the results will be used to make performance appraisal decisions. Therefore, efforts to defuse test apprehension should be built into the process.

This very book uses some of these tools. Teaching you about OD is the intervention, which is executed via concepts presented in book form. Additional interventions take the form of assignments and opportunities to engage with other learners. Pre- and posttests check your prior knowledge on the topic and gauge how well you learned the concepts after you engaged them.

Individual and Focus Group Interviews

Chapter 4 discussed interviews and focus groups as effective ways of understanding targeted individuals’ or groups’ views, beliefs, or experiences with the issue under investigation. Both approaches depend on developing well- crafted questions that yield useful information. Interviews and focus groups should be run by an experienced facilitator. These methods yield rich, qualitative information that includes insights about the intervention, critiques, or success stories. Not all participants react well to these data collection methods, however, and may not trust the

interviewers or the process; some may not feel comfortable enough to be honest. Participants may also say what they think the facilitator wants to hear.

Analyze Data and Provide Feedback

Once data have been collected from an appropriate source and via an appropriate method, they need to be analyzed. Refer to Chapter 5 for a full discussion of how to analyze data. In the Leadership Academy vignette, performance reviews and employee satisfaction data from survey research were analyzed. The team also monitored participants’ leadership projects and promotional advances.

Next, the data analysis should be presented as feedback to key decision makers such as affected employees and management. How to share feedback with a client is covered extensively in Chapter 4, but the same rules apply when sharing evaluation feedback. It is a consultant’s job to determine the feedback meeting’s key purpose and desired outcomes. Does the client need help determining whether to continue the intervention? Modify it? Measure learning or performance? Address unintended consequences of the intervention? Sharing feedback with the client involves determining the focus of the feedback meeting, developing the agenda for feedback, recognizing different types of feedback, presenting feedback effectively, managing the consulting presence during the meeting, addressing con�identiality concerns, and anticipating defensiveness and resistance.

At any point in the evaluation process, data collection and analysis can prompt the team to decide to change future action. For example, the team might decide to adjust the ongoing process, continue the process with new interventions, or close the project if the problem is permanently solved. This is the third step of the evaluation process, de�ined earlier in the chapter as termination or recycling. It is discussed in detail in the next section.

Anticipate and Manage Resistance to the Evaluation

Sometimes evaluation is resisted by the client, organization, or other stakeholders. Resistance and strategies for curbing it were discussed at length in Chapter 5. Resistors may not want to spend more money to learn the results of the intervention. Or the organization may be unwilling to spend the time required to conduct an evaluation and instead want to move on to the next issue. There may be fear about what the evaluation will reveal (perhaps management failed to implement the changes, or perhaps employee views remain negative). Organization members can also suffer from change fatigue and worry that the evaluation will bring even more change. Of course, such resistance patterns are likely what created problems in the �irst place, so observing them warrants timely intervention with the client.

Moreover, a consultant should anticipate political issues the evaluation might create. Results of the evaluation can also in�luence future resource allocations, which could cause trepidation and con�lict among organization members. Remaining vigilant as a consultant and working to be authentic and in�luential is key to navigating the politics of evaluation.

Assessment: Testing Your Change Management Skills

This assessment provides a good review of change and some insight into resistance. The web page offers several resources for learning more.

http://www.mindtools.com/pages/article/newPPM_56.htm (http://www.mindtools.com/pages/article/newPPM_56.htm)

Some clients may resist doing the evaluation because they are more interested in moving on to the next challenge or opportunity. Or they may not want to subject themselves to potentially negative feedback. In this case the consultant should lay out the bene�its of measuring results and learning from both positive and negative feedback. Doing so shows good stewardship of the time and resources committed to the intervention and provides data to support future initiatives. One way to minimize resistance to evaluation is to make sure it has been addressed during contracting, as outlined in Chapter 3.

Even when there is cooperation and investment, evaluation is not easy. Demonstrating impact and results can be challenging for certain interventions such as improving leadership. Linking results to intervention events can also be tricky. Devising appropriate evaluation criteria can also be problematic, especially if intervention outcomes were vague from the initial planning. Finally, the client may balk at making judgments about the intervention.

Take Away 6.4: Planning and Performing the Evaluation

Planning and performing the evaluation involves several steps, the �irst of which is determining the evaluation’s purpose. Articulating a clear purpose gives the evaluation focus and helps identify appropriate participants, measures, and methods. Identifying appropriate evaluation measures is driven by the evaluation’s purpose. If a consultant aims to measure employee satisfaction after a change in leadership, he or she would likely survey employees to assess their satisfaction with the change. Once the evaluation purpose and measures have been chosen, the data collection methods should be determined and carried out. Typical methods include surveys, interviews, focus groups, observations, and documents. Once the data are collected, they can be analyzed and fed back to the client and other interested stakeholders. This information is important for making decisions about the continuance of the intervention and future funding. It is advisable to anticipate client resistance both to conducting the evaluation and hearing the results. Consultants can write evaluation protocols into their initial contract. When you notice resistance to evaluation, act quickly to defuse the resistance, address the concerns, and help the client use the information most effectively.

Corbis/SuperStock The action research cycle is terminated when the implementation has been a success. Ending the consulting relationship smoothly and ensuring customer satisfaction helps drive repeat business.

6.5 Concluding the Action Research Process

All consulting jobs end. Indeed, your goal as a successful consultant is to become redundant and work yourself out of a job. In our Leadership Academy vignette, Leah terminated her role with the project after 2 years, the �irst of which focused on planning and the second on implementation. During year 2, she worked with internal consultants who would take over her role leading and facilitating the Leadership Academy in its third year. In this way she fostered a repetition—called a recycling—of the intervention.

Disengagement or Termination

When the client has successfully implemented a change, the OD consultant is no longer needed. At this juncture the client has become self-reliant and can effectively disengage or terminate the consulting relationship. Working oneself out of a consulting job may at �irst seem like a bad idea. On the contrary, smoothly disengaging from a client is how to help clients build capacity and also the way to get repeat business as a consultant. Effectively navigating this stage depends on setting the expectation during contracting, recognizing the appropriate timing, processing any interpersonal issues between the consultant and the client, ensuring that the learning is ongoing, verifying that the client is satis�ied, and planning for postconsulting contact.

Contracting About Termination

A consultant should start setting expectations about disengagement right from the beginning of the consultancy, during contracting, as discussed in Chapter 3. There are several things that help disengagement go smoothly. First, the consultant should work with the client to train others in the organization to take over the role played by the consultant, as Leah did in the Leadership Academy vignette. A consultant’s disengagement may be abrupt or more gradual, depending on client needs and resources. If the relationship is expected to be terminated gradually, make sure the client builds the ongoing consulting into the budget.

Ensuring Learning Capacity

The action research process focuses on promoting learning and change that helps the client diagnose issues, act on them, and evaluate the results. As emphasized in Chapter 5, change and learning go hand in hand. The action research process helps the client build capacity to solve future problems. When the client has capacity to follow the action research process and continue learning, the client is ready to tackle future challenges without your help.

Recognizing Appropriate Timing

It is the consultant’s job to monitor both the client and the change implementation to assess when the organization has the capacity to continue without help. Clients may resist termination because they have become overreliant on the consultant. You can avoid this dependency by striking a collaborative relationship from the beginning. When it is time to terminate, it makes sense to make a grand gesture to signal the relationship has ended. You might want to plan an event with the client, such as presenting a �inal report, celebrating the key stakeholders, or publishing some

type of document that tells the organization’s story. The Leadership Academy consultancy culminated in the graduating cohort and the new cohort coming together to celebrate and Leah turning over the management reins to the internal consultants.

Verifying Client Satisfaction

We have discussed the importance of being authentic with your client and completing the business of each phase of the action research project, as Block (2011) recommended in his classic consulting text. Those key roles remain relevant right up until the end. That is, a consultant should continue to ask the client questions such as: “Are you getting what you need from me?” “Is this outcome what you expected?” “What are you concerned about in the future?” “Can you maintain this change on your own?”

When you have veri�ied that the client is happy with the OD effort, you can move toward termination. If the client is unhappy, however, work remains.

Planning for Postconsult Contact

Although the consulting relationship will end at some point, it is advisable to have a plan for consulting after the intervention has been deemed a success. Clients may run into trouble in the future or need their questions answered. It is thus wise to develop a follow-up and maintenance plan with the client that involves periodic checking to make sure the change is on track. Agree on a minimal support maintenance plan such as periodic meetings or reports. Leah, for example, continued to periodically touch base with the Leadership Academy to ensure things were functioning smoothly after her departure.

Although it would be considered a failure if a consultant had to return to solve the problem he or she was initially contracted for, it is likely that the client will face new challenges and seek out help. Ensuring that there is an open communication channel and guidelines for future engagement can put both parties at ease.

Recycling

There are times in the consultancy when termination or disengagement is not a good option for the client. This is true of interventions that are designed to repeat over time. In the Leadership Academy vignette, for example, the project was designed to repeat annually. Although Leah terminated her involvement with the project, she trained internal consultants to carry on her role, effectively repeating or recycling the action research process.

Recycling can also be an option when the client seeks additional changes beyond the change that has already been effectively implemented. For example, consider a company that started providing executive coaching for its emerging leaders. The program was so successful that the company decided to offer training that brought some of the coaching principles to a wider audience.

Recycling can also occur when the intervention was only moderately successful or even failed. An evaluation can usually expose an intervention’s shortcomings and help the organization identify adjustments or new interventions. One example would be an organization that did not follow the action research process and implemented a random intervention that was not clearly linked to the problem, such as requiring employees to attend training unrelated to the organization’s needs. Or the organization might have implemented something similar to the Leadership Academy but failed to prepare upper management to deal with highly enthusiastic emerging leaders clamoring to make changes that challenge the status quo. In this case a recycled intervention would target upper management members and help them become more equipped to mentor up-and-coming employees.

Regardless of whether the OD intervention and action research process has been terminated or recycled, when your client has been successful at changing and has learned new ways of thinking and behaving, you have completed

successful OD. Ultimately, OD seeks to build capacity in individuals and organizations so they can problem solve without your help. That is the mark of an effective action research process.

Take Away 6.5: Concluding the Action Research Process

The action research process concludes by being terminated or recycled. The process is terminated when the change is successfully implemented. There is no longer a need for a consultant. The client has built capacity to use the action research process on future problems. The action research process is recycled when termination is not a good option for the client. For example, there may be a desire to expand or improve the implementation. There may also be a need to continue working with the consultant if the intervention repeats over time. In some cases, however, the intervention has failed and it is time to consider a new approach.

Summary and Resources

Chapter Summary Evaluation is a process of assessing, adjusting, and terminating or recycling the intervention based on data and subsequence decisions. The purpose of evaluation is to make data-based decisions about an intervention’s quality, appropriateness, and effectiveness. Evaluation can be formative or summative. Formative evaluation is concerned with improving and enhancing an OD process as it is underway, rather than judging its merit. Summative evaluation occurs after the implementation is complete and ascertains whether the change accomplished the desired outcomes and impact. Both provide valuable ways to assess the intervention before, during, and after it has occurred. Cervero’s categories of evaluation show the different approaches to evaluation. It is important to be clear on an evaluation’s purpose at the planning stage. Typical evaluation categories include intervention design and implementation; employee participation and satisfaction; acquisition of new knowledge, skills, and attitudes; application of learning after the intervention; impact of the intervention; and intervention characteristics associated with outcomes. Multiple frameworks for conducting evaluation exist. The best known is Kirkpatrick’s 4-level evaluation framework. This model measures reaction, learning, behavior, and results. Other models of evaluation include Hamblin’s 5-level model; Preskill and Torres’s evaluative inquiry; Brinkerhoff’s 6-stage model; and the input, process, output, and outcomes model. Planning and performing the evaluation involves several steps, the �irst of which is determining the evaluation’s purpose. Articulating a clear purpose gives the evaluation focus and helps identify appropriate participants, measures, and methods. Identifying appropriate evaluation measures is driven by the evaluation’s purpose. If a consultant aims to measure employee satisfaction after a change in leadership, he or she would likely survey employees to assess their satisfaction with the change. Once the evaluation purpose and measures have been chosen, the data collection methods should be determined and carried out. Typical methods include surveys, interviews, focus groups, observations, and documents. Once the data are collected, they can be analyzed and fed back to the client and other interested stakeholders. This information is important for making decisions about the continuance of the intervention and future funding. It is advisable to anticipate client resistance both to conducting the evaluation and hearing the results. Consultants can write evaluation protocols into their initial contract. When you notice resistance to evaluation, act quickly to defuse the resistance, address the concerns, and help the client use information most effectively. The action research process concludes by being terminated or recycled. The process is terminated when the change is successfully implemented. There is no longer a need for a consultant. The client has built capacity to use the action research process on future problems. The action research process is recycled when termination is not a good option for the client. For example, there may be a desire to expand or improve the implementation. There may also be a need to continue working with the consultant if the intervention repeats over time. In some cases, however, the intervention has failed, and it is time to consider a new approach.

Think About It! Re�lective Exercises to Enhance Your Learning 1. The chapter began with a vignette about a Leadership Academy for a state public health agency, which

featured both formative and summative evaluation. Have you been in a situation where an evaluation

occurred? If so, can you recall the different types of evaluation? If you have not experienced a formal evaluation, how might you go about evaluating a change you experienced?

2. Think about a change you have implemented. It could be personal, like changing a habit or starting something new, or professional, like taking on a new responsibility or position or meeting a challenge. Conduct a formative evaluation (focusing on what you did or could have improved on) and a summative evaluation (in which you judge the effectiveness and impact) on the change.

3. Which evaluation framework presented in this chapter was the most appealing to you? Why? 4. Re�lect on how you might go about evaluating a recent change in your organization using one of the data

collection methods outlined in the chapter. 5. Recall a time you have resisted change, especially organization change. How could a consultant or the

organization have helped you become more accepting?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Imagine an organization hires you as an external consultant. It needs you to implement a new recruitment

and retention process aimed at hiring a more diverse workforce. How would you go about evaluating whether the change was successful? a. What is the evaluation’s purpose? b. What steps will you follow to conduct the evaluation? c. What level(s) do you hope to evaluate, as per the Kirkpatrick framework? d. What data collection method will you use?

2. Identify a process, practice, or performance standard you would like to improve and plot how you would go about benchmarking it.

3. Evaluation may be an afterthought in many interventions. How would you ensure evaluation is integrated into a change effort you are involved with or leading? How might you curb resistance?

4. Identify an intervention in which you have participated at work and evaluate it according to Kirkpatrick’s 4- level framework: a. reaction b. learning c. behavior d. results

5. Plan an evaluation according to its: a. purpose b. measures c. information sources and methods d. analysis and feedback e. future action f. political issues

6. If you have ever participated in an OD intervention led by a consultant, identify what types of evaluation were conducted. How well did the consultant do, based on the principles presented in this chapter?

7. Have you experienced a failed OD intervention that had to be recycled? If so, use the information presented in this chapter to diagnose what went wrong.

Additional Resources Media

Michael Quinn Patton Re�lects on Evaluation

https://www.youtube.com/watch?v=7zWHK4Qtvak (https://www.youtube.com/watch?v=7zWHK4Qtvak)

Kirkpatrick Model: Should I Always Conduct a Level 1 Evaluation?

https://www.youtube.com/watch?v=dVnBE2W7qAI&list=PL3D286DBB9370267D (https://www.youtube.com/watch?v=dVnBE2W7qAI&list=PL3D286DBB9370267D)

Kirkpatrick Model: Monitoring Level 3 to Maximize Results

https://www.youtube.com/watch?v=r-qF4kJrTiI&list=PL3D286DBB9370267D (https://www.youtube.com/watch?v=r-qF4kJrTiI&list=PL3D286DBB9370267D)

Web Links

The American Evaluation Association (AEA), an international professional association of evaluators devoted to the application and exploration of program evaluation, personnel evaluation, technology, and many other forms of evaluation.

http://www.eval.org (http://www.eval.org)

Online Evaluation Resource Library, a useful site that collects and makes available evaluation plans, instruments, and reports that can be used as examples by principal investigators, project evaluators, and others.

http://oerl.sri.com (http://oerl.sri.com)

Centers for Disease Control and Prevention Program Evaluation Resources, which offers a plethora of useful content.

http://www.cdc.gov/EVAL/resources/index.htm (http://www.cdc.gov/EVAL/resources/index.htm)

Key Terms

adjusting processes The process of changing the OD intervention once assessment data have been collected and analyzed.

archival data Using existing records such as employment records, production �igures, or quarterly reports as a data source when collecting evaluation data.

assessing changes The process of gathering and analyzing data related to the learning and change associated with an OD intervention.

behavior Kirkpatrick’s level 3 evaluation, which measures how participants perform differently as a result of the intervention.

benchmarking When an organization compares its business practices, processes, and performance standards to other organizations that are best in class.

checking A data-based evaluation to assess whether an intervention had the intended result.

evaluation A data-based checking to assess whether an intervention had the intended result.

formative evaluation Assessments of an intervention before or during its implementation geared toward improving the process.

learning Kirkpatrick’s level 2 evaluation, which measures what skills and knowledge participants gained from the intervention.

observation Watching day-to-day operations to collect evaluation data.

reaction Kirkpatrick’s level 1 evaluation, which measures how well participants liked the intervention.

recycling The process of repeating or revising the action research process when further interventions are desired or the initial intervention has failed.

results Kirkpatrick’s level 4 evaluation, which measures how the bottom line was impacted by the intervention.

summative evaluation Assessment that is done once the intervention is completed to judge whether it attained its goals and addressed the problem and to make future decisions about funding and continuance.

surveys and questionnaires Evaluation data collection method that uses instruments that participants complete to provide feedback on the intervention.

terminate To disengage from a consulting relationship with an organization at the end of the action research process.

7 Individual Interventions

Steve Debenport/E+/Getty Images

Learning Objectives

After reading this chapter, you should be able to:

Describe learning and development interventions, including re�lective practice; T-groups; training, education, and development; and action learning.

Identify when management and leadership development is indicated and discuss values clari�ication and coaching interventions.

Distinguish three types of assessments and explain why it is essential that they be administered by certi�ied professionals, effectively debriefed, and used ethically.

Discuss various ways individual careers can be supported through performance management, career plan development, assessments, and developmental relationships.

Explain how jobs can be better developed with the use of job design, job descriptions, and policy development.

Wavebreak Media/Thinkstock Lindsey attends a training session for her new position.

Lindsey was laid off from her job in a �inancial institution during an economic downturn. Although it was dif�icult for her to be without an income, she had not liked her work; she was often unful�illed and unchallenged. The layoff gave her an opportunity to think hard about what she wanted to do next. She had no dependents, little debt, and enough savings to cover the transition, so she had some �lexibility in her next steps.

To begin exploring her options, Lindsey made an appointment with a consultant, Jennifer, who specialized in career counseling. Prior to their �irst meeting, the consultant gave her a couple of assessments to identify her personality preferences and key interests. During their �irst meeting, Jennifer shared the results of the assessments and asked Lindsey several challenging questions such as: “Where do you want to be in �ive years?” What excites you?” “What is your biggest challenge?” They also worked on a values clari�ication exercise to identify Lindsey’s key values. After each counseling session, Lindsey was given homework that prompted her to explore what opportunities might interest her.

After much soul searching, Lindsey decided to return to school for an accelerated master’s degree in instructional design; this would merge her interests in technology and education. Upon graduation, she was hired by a consumer products company to develop learning and development programs.

When Lindsey started her new position, she under-went an intensive training program that included an orientation and an introduction to the organiza-tion’s training and technology platforms. Her direct supervisor worked with her to develop a career plan within the company. Lindsey joined a national professional organization that had a regional chapter in her metropolitan area. She began attending meetings and developed relationships with several of her peers and seniors in her �ield. She struck up a conversation with the keynote speaker, Jo, at one of the events who was a vice president of learning and development at a technology company. They continued corresponding after the meeting and developed an informal mentoring relationship.

Lindsey’s mentor, Jo, was a good sounding board not only for some of the technical problems she encountered, but also for political issues. Jo recom- mended books, conferences, and other people from whom to seek advice about issues and opportunities. Jo also helped Lindsey make decisions about which opportunities and positions to pursue within her company. Lindsey received high marks during her performance evaluations and continued to evolve her career plan. Eventually, Jo recommended Lindsey to another company who recruited and hired her into a managerial position.

This book has focused on accomplishing OD using the action research model (see Table 5.1). It has moved through the three action research phases of planning, doing, and evaluating. This chapter is devoted to pro�iling several interventions that might be appropriate at the individual level of analysis. For the purposes of this chapter, it is assumed you have followed the action research process up to the point of intervention and carefully selected an intervention in collaboration with the client.

Interventions are generally decided during the discovery or planning that occurs in phase 1 of the action research model. They are implemented in phase 2, doing or action, and assessed in phase 3, checking or evaluating. Chapter 5 de�ined OD interventions as the actions taken on the problem or issue that is the focus of the OD process. Intervention is the culmination of the OD process—it is what OD intends to do from the start.

The interventions covered in this chapter are not comprehensive, but rather representative of the many options available. We could include dozens, as the range and potential of OD interventions is nearly endless. Rather than get lost in a sea of interventions, we will present the most common individual interventions with descriptions of their de�inition, why consultants use them, and how to implement them.

The three intervention chapters in this book have organized interventions according to the levels of individual, group or team, and organization. Although these interventions have been categorized by level for ease of understanding their scope, some interventions, such as leadership development interventions, may fall under more than one category. A leadership development program similar to the one described in the Leadership Academy vignette crosses all three of these levels, since potential leaders receive individual development that impacts their interactions with groups and the whole organization.

Another example of interventions that cross all levels would be the implementation of a performance management system. Individual development and change is usually affected when performance is appraised, and this in turn affects other people, groups, and the organization itself. See Table 7.1 for examples of interventions according to level of analysis.

Table 7.1: Levels of OD interventions

Individual-level interventions Group-level interventions Organization-level interventions

Learning and development Leadership or management development Career development Assessment Job development

Group or team process and development Diversity and inclusion Con�lict management Problem solving and decision making

Vision and mission development Strategic planning Organization design Culture Talent management Large-scale interactive events (LSIEs)

The purpose of this chapter is to pro�ile selected interventions according to the individual level. Individual interventions usually accomplish one or more of the following: learning and development, leadership and management development, assessment, career development, and job development (see Table 7.2). Each will be discussed in this section.

Table 7.2: Categories of individual OD intervention

Category Intervention

Learning and development Re�lective practice Laboratory training (T-group) Training, education, and development Action learning

Leadership or management development Values clari�ication and integration Coaching

Assessment Values clari�ication and integration Coaching

Career development Performance management Career plan development Assessments Developmental relationships

Category Intervention

Job development Job design Job descriptions Responsibility charting Policies

Thomas Barwick/Iconica/Getty Images

7.1 Learning and Development

Learning and development interventions ensure organization members have the knowledge, skills, and abilities needed to do their jobs effectively and help the organization perform optimally. These activities ensure not only that employees are fully trained but that they also remain engaged in ongoing learning, which helps create and sustain the organization’s culture, enables the organization to remain competitive, and promotes employee retention. As we have already discussed, learning and change are intricately related, and this group of interventions helps employees implement change. Learning and development interventions also help new knowledge be shared throughout the organization. Key interventions in this area include re�lective practice; laboratory training, or T-groups; training, education, and development activities; and action learning.

Re�lective Practice

When was the last time you stopped and gave thoughtful consideration to a decision, experience, or idea? Or had a deep, engaging, and thoughtful conversation with another person? When you engage in these pauses to contemplate, you are engaging in re�lective practice.

What Is Re�lective Practice?

Whenever you think critically about your experiences and actions, you are engaged in re�lective practice. Donald Schön introduced re�lective practice in his books The Re�lective Practitioner (1983) and Educating the Re�lective Practitioner (1987). Schön distinguishes two types of re�lective practice according to when they occur. Lindsey, who lost her job in the vignette, engaged in re�lective practice with her career counselor, who asked her to think about what she wanted in the next chapter of her life.

Suppose Sarah facilitates a meeting. During the meeting she might think: “I need to be more pragmatic about keeping everyone focused and on point,” or “I didn’t manage the disagreement between team members about the best solution to the problem,” or “Maybe if I restate the issue, we can solve this problem.” These musings about an experience while it is happening are re�lection in action. That is, Sarah asses an experience, her thoughts about the experience, actions she has taken, or actions she might take, in the moment. Perhaps as a result, she adjusts her actions in the moment. Once the meeting is �inished and Sarah thinks about what happened and imagines how she could have handled things better or what she will do next time, she is engaging in what Schön (1983) calls re�lection on action. Sarah is using what she learned from the experience to shape future thoughts and actions.

Why Do OD Consultants Encourage Re�lective Practice?

When OD consultants ask an organization member to change, they are putting that person into a learning situation. A learner’s ability to critically re�lect on and in action signals their adeptness at learning. Re�lective practice is one of the hallmarks of adult learning (Brook�ield, 1987; Merriam & Bierema, 2014) and helps individuals adopt change more effectively and permanently.

In the opening vignette, Lindsey eng-aged in re�lective practice activities under the guidance of her career coun-selor. This helped her assess her situation, interests, and opportunities. Unfortunately, time to re�lect is largely lacking in the contemporary workplace, since organizations tend to be focused on action at its expense. Your clients may have a dif�icult

Re�lection helps us learn from our experiences. How would you encourage re�lective practice as an OD consultant?

time slowing down to re�lect; they may feel it is a waste of time. On the contrary, re�lection can help clients accept change and be more mindful as they implement it. The more consultants can help their clients think critically, avoid error, and learn from experience, the more effective the intervention.

How Is Re�lective Practice Done?

Brook�ield (1987) pointed out how critical re�lection is used in strategic planning, effective decision making, creative problem solving, situational leadership, entrepreneurial risk taking, research and development activities, and organizational team building. OD consultants that foster re�lective practice in their clients on these and other organizational processes will more effectively help them understand the assumptions that underlie their own thoughts and actions.

A key way to get clients to re�lect is to help them recognize contradictions between thought and action. For example, a manager may claim to treat all employees fairly but show favoritism toward certain people. This behavior is what Argyris and Schön (1974) call espoused theory versus theory in use. The familiar adage “Do as I say, not as I do” aptly captures these kinds of inconsistencies, which are usually rampant in organizations. Helping clients recognize these discrepancies is the �irst step toward helping them make their behavior more consistent with their espoused values.

OD consultants might ask an individual to re�lect on the impending change, a career move, or feedback; they might also build in structured re�lection time when planning for other interventions such as training. Consultants can also send clients on an individual retreat with re�lection assignments. Re�lection is also a key component of coaching and T-groups.

Who Invented That? The Left-Hand Column Exercise

Organization theorists Chris Argyris and Donald Schön (1974) developed the left-hand column (LHC) exercise as part of their work in action science (a process of action research that generates useful information about practical problems in organizations, usually by examining contradictions between what people say and what they actually do). Steps to creating an LHC include:

1. Pick an important conversation you have recently had. 2. Use the following worksheet to document the conversation. 3. Write down the actual words you and your conversant used in the right-hand column. 4. Write down what you were actually thinking and feeling during the conversation as the words

were being said. 5. Compare both columns. 6. What differences, if any, exist between what you said and what you thought?

a. If there were discrepancies, how can you begin to productively raise some of your left-hand column thoughts?

b. How can you prompt your conversant to be more forthright about some of their left-hand column thoughts?

LEFT: What I really thought RIGHT: What I really said

Laboratory Training and T-Groups

Laboratory training, or T-groups, provides opportunities for individuals to re�lect on their own behavior and how it affects the group.

What Are Laboratory Training and T-Groups?

LEFT: What I really thought RIGHT: What I really said

I was hoping he wouldn’t notice we were late.

YOUR BOSS: Let’s meet this week. We are behind with the budget and we need to get these items �inalized. Jim, I’d like to come down there next week. We’re a few weeks behind, and I think we might all bene�it from a meeting at your of�ice.

I need to make it clear that I’m willing to take responsibility for this, but some of this is out of my control.

ME: Yes, the deadlines are of concern. As you know, some of the estimates we need to complete the budget have not come in on a timely basis, although we are working as hard as we can to get them. When do you want to meet?

He always seems to offer help after the crisis has already occurred, not when I really need it. Now it is too late to do anything but wait.

YOUR BOSS: It seems to me that we could have better communication and coordination between the two of us as we establish the budget. I might be able to help.

The changes he keeps making to the renovation plans are the real reason we’re late. Getting estimates takes time.

ME: I’m always open to better ways to build the mousetrap.

YOUR BOSS: I hope you have some better ideas about what we can do here.

I wish I could just level with him that he’s the reason we are delayed. If we can just get him to hold off a bit longer, we should be able to get the estimates.

ME: If we can push off our meeting until next week, I think we can have the budget by then and also brainstorm improved processes.

Your Turn . . .

Click here (https://media.thuze.com/MediaService/MediaService.svc/constellation/book/AUBUS370.14.1/{pdfs}sec_7.1.pdf) to download an interactive version of this assessment.

LEFT: What I really thought RIGHT: What I really said

We introduced T-groups in Chapter 1. Also known as laboratory training or training groups, T-groups are small groups of organization members that provide in-depth feedback to one another about perceptions and how individual behaviors affect the group. Recall that T-groups stimulated the creation of OD and grew in popularity through the 1960s and 1970s. They are less popular today because of the risk of being unable to maintain amicable work relationships after signi�icant self-disclosure and sharing. Also, their results can be dif�icult to transfer back to the work context. Frank disclosure may also put employees at risk with their organizations if management were to retaliate. Refer back to Chapter 1 for a full description of T-groups.

Why Do OD Consultants Do Laboratory Training and T-Groups?

T-groups are bene�icial interventions because they provide fodder for re�lective practice, as discussed in the previous section. Speci�ically, they help group members re�lect on their interpersonal interactions and thereby deepen their self-awareness. Often, individuals fail to consider where their assumptions come from or how their behaviors and comments affect others. T-groups provide a platform for re�lection and disclosure that leads to deeper levels of consciousness.

How Are Laboratory Training and T-Groups Done?

A T-group is rather �luid, usually lacking an explicit agenda beyond enhanced awareness and understanding. The goals of a T-group include increasing members’ self-awareness and improving their understanding of how their individual interactions affect the group. T-groups usually yield useful insights about oneself, others, and the group. T-groups may use the conversation to solve problems, share feedback, or role-play.

T-groups require 8 to 15 participants. The consultant’s role is to guide the group and encourage participants to share emotional reactions (e.g., anger, fear, warmth, or envy) to the other participants’ actions and statements. The group should focus on sharing emotions rather than making judgments or drawing conclusions. The T-group helps participants see how their words and actions trigger emotional responses in the other individuals and ideally makes participants more mindful of how they behave in group settings.

T-groups can be uncomfortable for members because signi�icant self-disclosure and openness are required. Moreover, participants’ feelings may be hurt because of the feedback’s highly personal nature. Experienced facilitators help mitigate these risky dynamics.

Training, Education, and Development

A key individual intervention is to ensure that employees have the necessary knowledge, skills, and attitudes to effectively do their jobs. Training, education, and development make that possible.

What Are Training, Education, and Development?

Training, education, and development are appropriate interventions when new skills, knowledge, or attitudes are needed in areas such as new technology implementation, diversity and inclusion initiatives, machine operation, product safety, and new employee orientation. In the opening vignette, Lindsey pursued all three of these. In this text these three interventions will be referred to as training. You will recall that Lindsey elected to pursue higher education training and then received further training when she joined her new company.

Davis and Davis (1998) offer a comprehensive de�inition of training. Among their key points are:

Training is always a process, rather than a program to be completed. Training develops skills, shares information, and nurtures attitudes. Training helps the organization.

Training usually contributes to workers’ overall development. Training helps workers qualify for a job, do the job, or advance to a new job. Training is essential for enhancing and transforming a job. Training facilitates learning. Learning is not only a formal activity, it is also a universal activity, and many types of people facilitate it formally and informally. Training should always hold forth the promise of maximizing learning.

Why Do OD Consultants Do Training, Education, and Development?

It is easy to associate OD interventions exclusively with training programs, but not all OD problems require a training solution. When training programs are required, it is important that they be well designed and facilitated in ways that meet the intended goals. Training is most effective when it is explicitly linked to organizational strategy and when it targets a problem that can be resolved by training. Thus, training may be used to improve current employee job performance, such as by teaching employees new skills, software, or processes that help them do their jobs with more speed and accuracy. Or it may be a means of orienting new employees to the policies and expectations of the company. In the opening vignette, Lindsey went through extensive orientation training. Training may also be used to prepare employees for advancement. For instance, leadership training may be offered to develop management potential, or tuition reimbursement programs may be provided to help employees build technical and administrative skills.

Tips and Wisdom

As well as promoting both professional and personal growth, training helps the organization enhance its performance. To learn more about training, see Caffarella and Daffron’s (2013) Planning Programs for Adult Learners: A Practical Guide, Lawson’s (2006) The Trainer’s Handbook, or Silberman’s (1998) Active Training: A Handbook of Techniques, Designs, Case Examples, and Tips.

How Is Training, Education, and Development Done?

Training, education, and development are achieved through formal knowledge-building efforts (McLean, 2006; Nadler, 1970):

OD consultants provide or arrange for training via on-site demonstrations, classes, courses, and programs that help employees accrue job-related knowledge. For example, you may have attended computer class or con�lict resolution training. New technical and interpersonal skills help you do your job more effectively. Consultants get asked to provide training most often as it is often selected as an intervention. When you learn how to become an analytic problem solver and use reasoning, you are receiving education. Education is not necessarily job related. Learning how to critique classic texts, for example, may not be speci�ic to your job in health care or manufacturing, but it may be helpful in carrying out your job because it sharpens your reasoning and writing skills. Consultants do less work in this area, although they may refer clients to higher education programs or offer programs in their own area of expertise. For example, if a consultant were an expert writer, she might help the client’s employees develop in this area. When you cultivate your interests, perhaps by taking martial arts or a cooking course, you are engaged in development. Development is sometimes considered more personal and less job related, but like education, it enhances your ability to do your job and makes you more well rounded. Consultants might recommend

development programs as part of an intervention, especially ones that are focused on organization learning and employee satisfaction.

Action Learning

Action learning arose in the 1990s as a reaction to formal learning interventions (such as training) that were viewed as ineffective because of the dif�iculty of transferring knowledge back to the workplace.

What Is Action Learning?

Action learning deliberately accelerates people’s education about real work problems and/or desired outcomes within the actual work context. It is a continuous cycle of learning by doing, followed by re�lecting on the doing. Action learning involves getting relevant people together to work on organizational issues in a fashion that leads to learning throughout the process. For example, suppose a new product is launched and a group of relevant stakeholders comes together to ask questions raised by the launch, re�lect on problems and solutions that arise in the launch, share assumptions about the project, make necessary changes, re�lect on how the changes worked, and consider the learning that transpired in the launch process. Action learning creates a structure for re�lective practice among individuals or groups.

Why Do OD Consultants Facilitate Action Learning?

Consultants favor action learning because, rather than taking people to an unnatural location to teach them unnatural acts about abstract concepts (as training often does), it involves the real people working with the real problem in its real setting. In other words, action learning involves getting people who have a particular problem together in the workplace to undergo cycles of learning and action. This makes the process relevant, timely, and completed by the people who own the problem.

Lawrence (1991) observes that action learning is not only learning by doing, but also involves re�lection with the explicit goal of learning from experience. According to Lawrence, there are three essential characteristics of action learning:

1. Real work: Suppose a certain scheduling process creates problems for multiple workers—there is too much overlap at times and not enough coverage at others.

2. Questioning process: The team gets together and begins to question how the schedule is being made; they suggest changes.

3. Implementation: New scheduling procedures are put in place, and the group reconvenes to evaluate how the changes are working and what was learned.

Lawrence (1991) recognizes that action learning has the following outcomes: visible progress on solving problems, individual development, and change. Unlike some process-improvement tools, action learning is open ended, dynamic, and �luid. Although the purpose of engaging in action learning may be clear, the results are often unexpected. Action learning helps participants understand their internal decision and action processes and makes them aware of how these patterns impact their environment.

How Is Action Learning Done?

Action learning is accomplished by six to eight people who come together to work on a problem. This group is known as an action learning set. There are several variations on steps taken, but generally the process is as follows:

1. Establish an action learning set.

2. Identify a project, task, or problem the set intends to work on. 3. Engage in a process of questioning, re�lection, and inquiry into the problem. 4. Decide on and implement a course of action. 5. Reconvene to evaluate whether the action resulted in a satisfactory outcome and to identify key learning.

Action learning tends to favor asking questions that prompt new thinking, learning, and new solutions.

Take Away 7.1: Learning and Development

Re�lective practice helps clients re�lect critically on their thought and action by considering re�lection in action, re�lection on action, and espoused theory versus theory in use. T-groups are small groups in which individuals receive feedback on how their behavior affected the other members of the group. When done effectively, T-groups facilitate deep critical re�lection and self-awareness. Training, education, and development give individual employees the requisite knowledge, skills, and abilities to perform their jobs. Action learning engages employees in cycles of re�lection and action about real problems they encounter in their real workplace.

© Hero Images/Corbis Leadership and management development programs help individuals take steps to ensure effectiveness in their roles.

7.2 Leadership and Management Development

Learning and development interventions are common across all levels of the organization. They affect not only individuals, but also teams and the organization itself. A more specialized type of development is targeted at current and potential leaders and managers of the organization and is therefore known as leadership and management development.

An Overview of Leadership and Management Development

Both leaders and managers are needed to effectively run an organization. Different approaches are taken for developing each skill type:

Leadership development involves developing people to guide the organization, create long-term vision, develop strategy, staff the organization, communicate, and motivate people toward the vision (French & Bell, 1999). Leadership development is applicable across levels (McLean, 2006). It is fairly common to send potential leaders off to leadership development programs such as those offered by the Center for Creative Leadership http://www.ccl.org/Leadership (http://www.ccl.org/Leadership) . Management development involves the process of equipping people to execute day-to-day practices of organizing, staf�ing, planning, budgeting, controlling, directing, and problem solving. Management development tends to be position speci�ic. For example, the general manager of an automotive company might need to learn very different skills than a city planning manager.

Management and leadership development programs are key ways consultants help individuals and organizations become more effective in day-to-day activities and problem solving. Organizations that lack strong managers and leaders will underperform and have dif�iculty responding to the challenges that continually arise both inside and outside the organization.

Management and leadership development can be accomplished in multiple ways at levels ranging from the individual to the team to the organization. Individual development involves targeting individuals who show management and/or leadership potential or people who are challenged in their current leadership role. These individuals might be sent to leadership development programs, which are usually offered by consulting �irms. Organizations sometimes provide a group of individuals with a more formal leadership development program, similar to the example in the Leadership Academy vignette. The organization may also take on management and leadership development on a large scale and roll out various activities across multiple locations. Such activities could include mentoring, formal training programs, and so forth.

Two interventions—values clari�ication and integration, and executive coaching—are common management and leadership development interventions. They are discussed in more detail in the following sections.

Values Clari�ication and Integration

Values drive thought and action and in�luence the decisions people make. Providing individuals the opportunity to re�lect on what they value and why can help them clarify their life and career goals and identify areas of potential

con�lict with others who might prioritize different values. In the vignette, Lindsey worked with her career counselor to clarify her own values as she planned her next career steps.

What Is Values Clari�ication and Integration and Why Do OD Consultants Do It?

Exercises that help individuals articulate their key values and incorporate them into their thoughts and actions are known as values clari�ication and integration. Such exercises are helpful at all organizational levels.

Engaging in values clari�ication can help leaders gain clarity around why they make certain decisions. It can also help them understand why they experience con�lict with others whose values differ. Values clari�ication is particularly helpful for managers and leaders to engage in before they have to communicate the organization vision to employees. It can help them clarify what is important about the vision, which makes it easier for them to motivate employees.

Values activities can also help build stronger teams by revealing which values are shared by team members. Values clari�ication and integration can also help tie individual values to organization values.

Consultants can also help individuals explore mismatches between what they value and what the organization values. For example, if a client highly values autonomy but works in a highly structured environment that has little autonomy, the consultant might help the client explore this contradiction and �ind ways to cope.

How Is Values Clari�ication and Integration Done?

Values clari�ication can be undertaken with individuals, groups, or organizations. An example is pro�iled in the assessment box below. The exercise takes 15 minutes to an hour to complete, depending on the size of the group and how much discussion the experience yields. The OD consultant should provide a list of values the participant can choose from, as well as spaces for additional values to be added. Time should be built in for the participant to talk about the values identi�ied and why they are signi�icant.

Assessment: Values Clari�ication—What Is Important?

After the exercise, ask the client the following questions to stimulate re�lection and conversation:

What did you learn about yourself? About others? Was it hard to express disagreement with another person’s values? Why or why not? Were there times when you felt uncomfortable or unsafe? What helped you stand by your values at that time? Were there any times you felt unable to stand up for your values? Why do you think that was so? What would support people at times when they feel unable to stand up for a value they believe in?

Executive Coaching

Coaching is becoming increasingly popular not just in organizations, but in multiple facets of life. Although business- related coaching such as executive coaching is relatively well known, there are also career coaches, life coaches, spiritual coaches, health and wellness coaches, transition coaches, grief coaches, renovation coaches, team coaches, relationship coaches, and so on. This book focuses on the business realm and examines executive coaching.

What Is Executive Coaching?

Coaching has been de�ined as “a personal and frequent one-on-one meeting designed to produce speci�ic, positive changes in business behavior within a �ixed time frame” (Corbett & Colemon, 2006, p. 1). Roberts (2000) describes it as “the act of being directly concerned with the immediate improvement of performance and development of a skill by a form of tutoring or instruction” (p. 159).

Tips and Wisdom

The International Coach Federation (ICF) started in 1995 as a nonpro�it organization to support coaches and grow the profession. The ICF created core coaching competencies and a code of ethics. The ICF also de�ined curriculum standards to ensure consistency in coach training and developed a credentialing system for coaches. Today the organization is global, with membership exceeding 20,000. You can �ind reputable information on coaching programs and much more at: http://www.coachfederation.org (http://www.coachfederation.org) .

Why Do OD Consultants Recommend Executive Coaching?

OD consultants who work as coaches take on the daunting task of integrating individual and organization goals. That is, they help the coachee connect his or her individual work with that of the broader organization (values clari�ication can also help make this connection). Consultants who are not trained as executive coaches would be responsible for hiring a reputable one.

Corbett & Colemon (2006) identi�ied speci�ic times that individuals might need a coach. These include when (a) a promotion is involved, (b) a job is at stake, or (c) a new perspective is needed. Complete the assessment below to see if you need a coach.

Assessment: Do You Need a Coach?

The following questions can help you (or your client) determine if coaching is the right intervention at this time.

I need expert consulting services to help me solve a complicated business problem.

YES Do not hire a coach. Instead, hire a business consultant.

NO Continue

I need to discuss a deeply personal matter about my sense of well-being.

YES Do not hire a coach. Instead, locate a licensed psychologist, psychiatrist, or counselor.

NO Continue

I need to discuss the internal politics of my organization and how it affects my career path.

YES Do not hire a coach. Instead, �ind a trusted person who is familiar with your organization who is willing to serve as a mentor.

NO Continue

I need to learn and practice speci�ic new skills that I lack.

YES Do not hire a coach. Instead, �ind an appropriate skill development course that offers many opportunities to practice the new skills, perhaps using videotaped feedback.

NO Continue

I need to acquire a speci�ic type of knowledge.

YES Do not hire a coach. Instead, consider your own learning style and purchase the information in the form of books, tapes, or classes. Set aside time to study and internalize the information.

NO Continue

I need to evaluate whether I am in the right career and explore options for changing my career or profession.

YES Do not hire a coach. Instead, hire an expert in career counseling who can administer aptitude and interest testing and who will assist you in this transition.

NO Continue

I need structured planning and support to help in the accomplishment of a new way of leading or managing others.

YES Hire a coach!

Source: Adapted with permission from Leadership Coaching: When It’s Right and When You’re Ready. Copyright © 2008 Center for Creative Leadership..

How Is Executive Coaching Done?

Coaches should be certi�ied by a reputable coaching institution. In addition to having credentials, the coach should also follow a process that has a beginning, middle, and end. It is important to research a coach’s training and process before you hire him or her. You may also want to check references. A reputable coach will:

1. Establish entry. A coach should offer a contract of services that details the cost, number of meetings, and other expectations.

2. Set expectations and describe the process initially. The �irst meeting between a coach and coachee should focus on sharing information about the process, setting expectations, and agreeing on ground rules for the encounters.

3. Establish accountability. If an organization has hired a coach to work with an employee, the coach should regularly communicate with the person’s boss (or other stakeholder, like a mentor) about the areas needed for development and the progress being made. Usually this contact would occur at the beginning, midpoint, and endpoint. If an individual has hired a coach independently, it is up to the coach and coachee to determine how accountability will be held for progress.

4. Establish a baseline. Coaches need to understand information about their coachee’s behavior, values, interests, and performance. Most coaches use assessments, conduct values clari�ication, and seek feedback

from other organization members in order to get a full picture of their coachee at the beginning of the process.

5. Identify areas to improve. Once the baseline is established, the coach and coachee mutually agree on an area for improvement. The coach helps the coachee develop strategies and new behaviors to make the agreed- upon improvement.

6. Help the coachee solve his or her problems. Effective coaches rarely give advice. Rather, they use questioning and re�lection exercises to help their clients solve their own problems and build con�idence and capacity in their own skill set.

7. Share blunt and direct feedback. Good coaches do not mince words and will serve as a mirror to re�lect the coachee’s behavior and challenge them. Good coaches hold their coachees accountable.

8. End the coaching when the coachee has met the goal. Once the coachee has made the agreed-upon improvements, the coach should move toward ending the coaching engagement and ensure the coachee has the capacity to maintain the change. The coach should remain available for future issues and occasionally check in with the coachee to see that the changes have been maintained.

Take Away 7.2: Leadership and Management Development

Leadership and management development targets current and potential leaders to ensure they have the core skills to help the organization reach levels of high performance. Values clari�ication and integration helps leaders and managers articulate their key values and integrate them into daily behaviors as they manage and lead employees. Coaching is an intense relationship between a coach and coachee that seeks to create positive changes in business behavior.

moodboard/Thinkstock Assessments help individuals gain perspective on a large range of issues, from behavioral style to learning style to con�lict style and more.

7.3 Assessments

Instruments that measure myriad aspects of individual attributes are known as assessments. Assessments are useful for helping individuals gain new insights about themselves but can also be helpful when working with groups and teams. Assessments have great potential to stimulate individual re�lection and change when used appropriately and ethically. There are dozens of assessments available for almost any topic. This section pro�iles some popular ones and their uses.

An assessment attempts to quantify certain aspects of individual personality or behavior, from learning styles to ethical orientation to leadership style. Assessments measure what energizes you, how you behave in certain situations, what your colleagues think of you, how you learn, what side of the brain you favor, and what strengths you possess. Hundreds of assessments exist, as evidenced by the numerous results that appear from an online search for “free personality assessment,” for example.

Consultants juggle multiple variables in their efforts to implement change. Human beings are complex and require different approaches. Assessments yield rich data with regard to how individuals and teams interact. They provide information on how people will engage interpersonally, where they get their drive and motivation, what type of style they employ in multiple situations, how they problem solve and make decisions, how they manage pressure and stress, and how they handle and accept change.

When you ask organization members to learn and change, they need pertinent information. There is nothing more timely and relevant than an assessment to help bridge understanding or point out opportunities for learning and growth. That is why consultants reach for them readily.

We have included assessments in every chapter of this book precisely because they provide immediate feedback or insight into preferences, traits, or behaviors in a way that helps people understand themselves in relation to others. Assessments can be taken with pencil and paper, scanned by computers, or completed electronically.

Although assessment tools can help both the client and consultant develop insights, they should only be administered by a trained or certi�ied professional. In addition, their limitations need to be fully disclosed and their results not taken as a de�initive statement on the person. Assessments are more helpful when used in conjunction with other interventions such as training, feedback, coaching, and leadership development.

This section will pro�ile three commonly used assessments in OD: 360- degree feedback, DiSC (dominant, in�luential, steady, and conscientious), and the Myers-Briggs Type Indicator (MBTI). Like all assessments, they have limitations but offer an additional tool that may be useful as you go about the work of OD on an individual level. Additional links to assessments are included at the end of this chapter. In the opening vignette, Lindsey’s career counselor helped her take several assessments.

360-Degree Feedback

In simple, geometric terms, 360 degrees means “full circle.” A 360-degree feedback assessment, then, is one that seeks input from everyone in the leader’s circle. That includes direct supervisors, mentors, peers, subordinates, customers, suppliers, and any other stakeholders who can provide relevant input.

What Is 360-Degree Feedback?

During a 360-degree feedback process, an OD consultant seeks feedback about an individual from multiple sources and levels, such as peers, subordinates, supervisors, self, and customers (McLean, Sytsma, & Kerwin-Ryberg, 1995). The technique is also known as multirater feedback. The feedback gained is usually used to cultivate an organization’s leaders and managers.

Several companies, such as Personnel Decisions International and the Center for Creative Leadership, administer electronic assessments and provide extensive documented feedback to the individual. These assessments can cost hundreds of dollars. To save money, OD consultants may design their own 360-degree evaluation.

Why Do OD Consultants Use 360-Degree Feedback?

360-degree feedback is relevant because it helps validate what the consultant has already observed and is trying to convey to the client. When it is con�irmed in multiple other ways, it gives the feedback greater validity. For example, imagine you are working with a client who does not listen. You repeatedly observe this behavior and share this feedback with the client, who brushes it off. When lack of listening shows up in a 360-degree evaluation and is mentioned by almost everyone, it usually gives the leader pause and reason to take the feedback more seriously.

How Is 360-Degree Feedback Done?

There are at least two approaches to 360-degree feedback. The �irst is low budget, although it requires time and experience. In this method, the consultant and client identify key informants whom the consultant interviews about the client’s performance. A consultant must be skilled and experienced enough both to identify good interview questions and manage the interview session so that it yields rich, constructive data.

The second approach is to use a validated instrument that sends con�idential questionnaires to participants identi�ied by the client. The instrument is scored to show how groups—such as subordinates, peers, and so forth— rate the client. Also, feedback from the client’s boss is identi�ied. To use these instruments, a consultant must be certi�ied; or a certi�ied vendor should be used to provide feedback. The consultant should be trained in facilitating the session, interpreting the formal feedback, and framing the feedback in a constructive manner.

DiSC

The DiSC is a popular assessment that measures behavioral tendencies. It is useful for understanding how you or others will typically behave.

What Is DiSC?

Understanding the motives behind behavior can offer valuable insight into both individuals and teams, improving the ability to work together and resolve con�lict. The DiSC assesses a subject’s attitudes, values, beliefs, and behaviors and identi�ies a behavioral style as either dominant, in�luential, steady, or conscientious.

1. Dominant: Tends to be a direct, driving, demanding, determined, decisive doer. This style is �iercely independent and persistent about tasks. Dominant individuals tend to focus more on the goal or task than the people.

2. In�luential: Tends to be relational, interactive, imaginative, energetic, inspiring, and friendly. This style is highly social and relational and can be persuasive. In�luential individuals tend to focus more on the people than the task, which can cause them to be poor time managers.

3. Steady: Tends to be submissive, stable, supportive, shy, accommodating, and peace seeking. This style is a helper and will provide listening and support. Steady individuals may sacri�ice their wishes for the good of

the whole. 4. Conscientious: Tends to be cautious, compliant, careful, contemplative, and a critical thinker. This style

prefers logic, facts, and step-by-step procedures. Conscientious individuals are very private and unemotional.

Why Do OD Consultants Use DiSC?

The DiSC is appropriate when examining behavior, especially during coaching, leadership development, or team- building exercises. Understanding behavior helps depersonalize reactions as individuals or groups go about problem solving, decision making, and implementing change.

How Is DiSC Done?

You can take the DiSC free here: http://www.123test.com/disc-personality-test (http://www.123test.com/disc- personality-test) . You can also administer a longer, more expensive test if you become a certi�ied vendor through Inscape http://www.internalchange.com (http://www.internalchange.com) , which is a provider of the original instrument.

Myers-Briggs Type Indicator

The MBTI is a very popular assessment of personality preferences based on Jungian psychology. It is used worldwide.

What Is MBTI?

Understanding personality preferences is useful for self-introspection and interpersonal dynamics. The MBTI measures personality preferences according to four areas, as outlined in Table 7.3.

Table 7.3: MBTI Preferences

Description Preference Description

E: Extroversion

This preference draws essential stimulation from the environment: The outer world of people and things.

How you accumulate energy

I: Introversion

This preference draws essential stimulation from within: The inner world of thoughts and re�lections.

S: Sensing

The sensing function takes in information by way of the 5 senses: sight, sound, touch, feel, taste and smell.

How you gather data

N: Intuition

The intuiting function processes information by way of a “6th sense” or hunch. A few pieces of data, then, a quantum leap.

T: Thinking

The thinking function decides on the basis of logic and objective considerations. Usually dispassionate.

How you make decisions

F: Feeling

The feeling function decides on the basis of personal, subjective values. Logic is used, but the impact of the decision on others is added.

Description Preference Description

J: Judging

A judging lifestyle is decisive, planned, orderly, structured, and with a strong need for closure.

How you order life

P: Perceiving

A perceptive lifestyle is �lexible, adaptable, and spontaneous. It is free and �lowing.

Why Do OD Consultants Use MBTI?

Consultants use MBTI to understand how clients prefer to accumulate energy, gather data, make decisions, and order their life. The MBTI also helps individuals see how they are similar to and different from other colleagues. The MBTI is often used for team building, so it is a common intervention at both individual and team levels.

As with any assessment, the administrator should be trained and certi�ied in the use of the MBTI. Clients should also be cautioned about the instrument’s limitations. The MBTI has been widely critiqued. Psychologists question its validity. Another problem with the MBTI is people tend to read too much into the results and dichotomizing types, rather than stay mindful of its limitations and applicability. This is in part due to the MBTI’s use of binaries to type people; that is, identifying someone as either introverted or extroverted. The MBTI has also been critiqued for its use in hiring decisions. This is considered an abuse of the instrument, since it has also been criticized for having a short test–retest interval, meaning that the result of the personality type might change over time, depending on the life circumstances of the test taker. This would render its use in hiring decisions questionable at best. It can also be inappropriately applied to work teams when types become overused to explain behavior and enforce stereotypes about colleagues (Burnett, 2013).

How Is MBTI Done?

There are several versions of the MBTI. Of�icial instruments cost money to administer and will be more thorough and valid. You can access a free assessment at: http://www.16personalities .com/free-personality-test (http://www.16personalities.com/free-personality-test) .

Take Away 7.3: Assessments

Assessments can help individuals gain insight and self-awareness. 360-degree feedback provides the individual with feedback from supervisors, subordinates, peers, and other stakeholders. The DiSC measures behavioral tendencies according to dominance, in�luence, steadiness, or conscientiousness. The Myers-Briggs Type Indicator (MBTI) assesses personality preferences according to how individuals prefer to accumulate energy, gather data, make decisions, and order their lives.

7.4 Career Development

Many of the individual interventions discussed in this chapter facilitate clients’ career progress by helping them be more effective in their current job or preparing them for advancement opportunities.

Brown (2007) de�ined career development as a “lifelong process involving psychological, sociological, educational, economic, and physical factors as well as chance factors that interact the in�luence the career of the individual” (p. 14). As Brown suggested, fostering this process requires “both self-awareness and knowledge of the occupational structure” (p. 2). Career development is heavily in�luenced by values and role models. This in�luence is visible in how people make career decisions, how they prepare for careers, how their careers unfold, how careers in�luence identity, and how people integrate their careers with their lives. Career development interventions are intended to help people set career-related goals and make choices. Such interventions might include developing self- and occupational awareness, re�ining job-searching skills, adjusting to occupational choices, and coping with job stress or loss.

People are an organization’s most important resource. Organizations that are not focused on hiring, developing, and retaining a talented workforce will have dif�iculty competing. Career development practices help ensure that people in organizations are prepared to perform at high levels. In Career Development Interventions for the 21st Century, Niles & Harris-Bowlsbey (2004) suggest that clients need to develop the following competencies to be most effective at planning for and managing their careers:

1. using both rational and intuitive approaches in career decision making; 2. being clear about the importance attached to each life role and the values one seeks to express through

participating in these roles; 3. coping with ambiguity, change, and transition; 4. developing and maintaining self-awareness; 5. developing and maintaining occupational and career awareness; 6. developing and keeping one’s occupationally relevant skills and knowledge current; 7. engaging in lifelong learning; 8. searching for jobs effectively, even when one is not job seeking; 9. providing and receiving career mentoring; and

10. developing and maintaining skills in multicultural awareness and communication.

This section will pro�ile some common career development interventions such as performance management, career plan development, and developmental relationships.

Performance Management

“Loyalty. Long-term career opportunities. Corporate cultures that allow employees to speak their mind. Senior leaders who lead by example. A new study of how high-performing companies motivate their people shows that some old values—as in sound management practices—never go out of style. Because they work” (Lipman, 2014). Lipman (2014) reports on a study by Towers Watson, “Tracking People Priorities and Trends in High-Performance Companies,” that explored trends in employee opinions over a 5-year period. The high-performing group, which was a cross-section of diverse industry sectors, included 26 organizations that outperformed peers in “�inancial performance” and “employee opinion scores.”

The study showed that four speci�ic areas contributed to these organizations’ success:

1. Career development: particularly companies that put an emphasis and value on talent development and providing long-term career development opportunities and training.

2. Empowerment: providing open, supportive cultures that cultivate innovation and empower staff.

3. Rewards and recognition: offering compensation packages that satisfy employees, including bene�its and nonmonetary recognition. Of high importance was having a supervisor who valued employee contributions.

4. Leadership: delivering leadership that satis�ies employees, particularly with regard to communication and making decisions that were consistent with company values.

Top organizations are high performing on multiple levels, including how they manage and develop people, as shown by the recent study.

What Is Performance Management?

Performance management is the process of aligning organization resources, systems, and people with business goals and strategy. Performance management can involve parts of the organization, such as departments, people, or even products. This chapter is concerned with performance management as it relates to individuals. It focuses on individual goal setting and performance appraisal systems and how they are aligned with reward systems. For example, an organization that takes a strategic approach to performance management would articulate its key goals and ask employees to identify ways they can link achieving them to their own goals.

Why Do OD Consultants Facilitate Performance Management?

“Errors in managing people always add to the cost of a product or service” (Daniels, 1985, pp. 225–226), which is why companies use performance management to help identify performance problems, determine a baseline, make an intervention, and evaluate results. OD consultants commonly encounter performance issues; helping organizations address them can signi�icantly improve organization outcomes.

Daniels (1985) observed that performance can be changed when you change the consequences of what happens to employees based on their performance. In other words, create penalties when desired performance is not achieved and rewards for when it is. He criticized organizations for too rarely tying performance to consequences that directly impact performance, such as salary increases, bonuses, promotions, pro�it sharing, or recognition. Instead, most organizations fall into the trap of giving nonconsequential rewards that may seem related to performance but rarely are. These include cost-of-living adjustments, seniority-based pay and experience, and whims of the boss.

How Is Performance Management Done?

Aubrey Daniels is credited with developing the concept of performance management in the 1970s. He wrote that approaches to employee productivity need to answer the following questions: “What should employees be doing? And precisely how can they be motivated to do it?” (Daniels, 1985, p. 225). Performance management has three components: positive reinforcement, measurement, and feedback (Daniels, 1985).

Positive reinforcement helps employees achieve maximum performance. Daniels (1985) considered it the opposite of the “do it or else” mentality that threatens negative consequences when employees fail to perform, and instead advocated a “do it and else!” philosophy where the employee performs well and then something “distinctly pleasant” (p. 228) happens to them. Positive reinforcement has proved more effective at eliciting high performance than other methods. Organizations need to be clear about what the positive consequences are and ensure they are awarded soon after the positive performance.

Measurement is the second aspect of fac-ilitating performance management. Daniels (1985) believed that any behavior could be measured according to its frequency and quality. A problem with creating behavioral measurements in most organizations is that employees expect negative consequences when they do not make their numbers. Instead, Daniels advocated measurement as a tool “not to justify punishment, but to recognize improvement” (p. 231). Measurement is important, since it is the only accurate way to gauge whether desirable behaviors are occurring.

Tips and Wisdom

Check out performance appraisal examples and tips at this website: http://www.businessballs .com/performanceappraisals.htm (http://www.businessballs.com/performanceappraisals.htm) .

Here you will �ind a plethora of information on performance appraisals, such as examples and templates of appraisals, tips for making them easier and more effective, resources for engaging in your own self- appraisal, and more.

The third element of performance management is feedback. Feedback provides information about the employee’s performance that helps improve future performance. As Daniels (1985) put it, “The sole purpose of measurement and feedback is to create opportunities for positive reinforcement” (p. 232).

Deming (1982, 1986), father of the total quality management movement discussed in Chapters 1 and 8, opposed individual performance appraisals, arguing they only encourage short-term goals and undermined teamwork. They also tend to focus on negative reinforcement and fail to account for issues beyond the control of individual employees, such as systemic organization problems (problematic equipment, processes, and management). Performance management offers an alternative to ineffective feedback and appraisal.

Case Study: Piloting and Evaluating a New Performance Appraisal Process

The Health Defender Insurance Company of Georgia is in trouble. The company’s salespeople spend most of their time �ielding complaints about poor customer service. As one sales rep complained, “All we hear about is how slow our claims processing is and how we don’t respond to the customer.” Sales of new contracts have dropped dramatically over the past few years, and something has to be done.

The company’s new president, Julie Goodrow, is distressed at the company’s state. Dwindling accounts, stressed employees, and frustrated management seem to be the norm. She explains the predicament to an OD consultant, Dan Rock, with whom she worked at her former institution. She and Dan work through the action research process to develop an OD intervention. A year later, Health Defender is in a completely different place. Its new contracts are at their highest rate ever, and Health Defender is outperforming every other state division of the company in the United States.

What was behind Health Defender’s turnaround? The company made a fundamental change to how it managed its frontline employees by implementing a performance management process that incorporated Daniel’s (1985) key elements of positive reinforcement, measurement, and feedback. The results were dramatic and not only included new accounts, but also higher quality customer service and a restored corporate image. Internally, the company also improved morale, decreased absenteeism, and improved employee relations.

The intervention involved training 180 managers and 15 executives, including Julie herself, in performance management. The change was met with the skepticism and resistance that most changes induce in organizations. Health Defender had to overcome previous failed productivity improvement initiatives and efforts to measure performance that were viewed as punitive and threatening.

Career Plan Development

Plato (2000) said, “The beginning is the most important part of any work” (p. 365). Indeed, good beginnings usually involve good plans. It is dif�icult to accomplish big goals if you do not have a vision of what you want to do or how to get there. Career plans serve this function, and consultants work with clients on an individual level to develop them.

What Is Career Plan Development?

A simple yet powerful intervention for individual career development is to ask the client to complete a written plan for his or her immediate, midterm, and long-term career, including developmental needs. This is known as career plan development. Often, it is helpful to work in 5-year increments with shorter or longer increments, depending on the person and their role. A typical career plan might include ideal job descriptions, assessments, work locations, and necessary training and higher education requirements.

Why Do OD Consultants Encourage Career Plan Development?

Consultants use career paths because they help clients focus on what they want to do and create a road map for how to get there. Career plans are developed by doing a thorough self-assessment, often using some of the assessments we have discussed in this book. It is also useful to research various career paths that are desirable. Articulating goals and plans are very powerful activities that help clients imagine a desired future and create the steps they need to achieve it. Career goals can also help clients set priorities, identify needed resources, target potential mentors, and make changes in their current positions to get better aligned for the future.

How Is Career Plan Development Done?

Here are some steps for writing a career plan:

1. Identify goal(s) 2. Outline key action steps for the immediate and longer term 3. Determine the developmental requirements needed to meet the goal(s):

a. Skills b. Abilities c. Interests

Health Defender spent a year implementing the performance management process by incorporating regular feedback and positive reinforcement with rewards for improving. It took some time, but eventually this new feedback-driven process became second nature to managers. A walk through their of�ices reveals graphs of performance data at works stations and a culture that is driven by measurement and healthy competition between departments to see who has the best performance.

Health Defender’s results are impressive. The time to process health claims dropped dramatically, backlogged claims dropped by half, and overall productivity increased. Employee attitudes and morale also improved. People are happier, more responsive to customers, and more satis�ied with their jobs and with management.

Critical Thinking Questions

1. What types of positive reinforcement do you think would be effective for Health Defender? 2. How would you manage resistance to a performance management implementation?

SOMOS/SuperStock Mentoring is a developmental relationship in which a senior person helps a more

d. Education e. Experiences

4. Update your resume 5. Outline next steps

Once the plan is written, it should be shared with a supervisor or mentor and assessed and revised as necessary.

Have you ever written a career plan? It is a very powerful exercise that helps you visualize your future and determine how to make it a reality.

Tips and Wisdom

There are dozens of assessments and resources available related to careers. O*NET is a U.S. Department of Labor resource (http://www.onetonline.org (http://www.onetonline.org) ) that brings access to job information, assessments, and salary information together in one place and is “the primary source of occupational information in the United States” (Brown, 2007, p. 213). Other assessments that may be useful include the Strong Interest Inventory, Skills Con�idence Inventory, Myers-Briggs Type Inventory, Self-Directed Search, and Career Key (Brown, 2007).

Developmental Relationships

The adage “It isn’t what you know, it’s who you know” is often used to describe the way in which opportunities and advancement may be less a function of specialized training and more a matter of networks that connect us to people who can help us advance. These relationships are known as developmental relationships.

What Is a Developmental Relationship?

A relationship that helps advance someone’s career is likely a developmental relationship. This term encompasses a range of relationships that “contribute to individual growth and career advancement” (Crosby, 1999, p. 7). These include mentoring as well as less intense relationships such as sponsorship, networks, and peer support:

When a senior person takes interest in the learning, advancement, and career development of a junior person, this relationship is mentoring. When someone supports you for a particular assignment, recognition, or promotion, this relationship is known as sponsorship. When you belong to a group that shares a particular af�inity for challenges unique to that group—such as women, people of color, or LGBTQ—you belong to a network. When you provide mentoring or coaching to a person at your same rank or position, you are offering peer support.

If you in a developmental relationship, how would you classify it?

Why Do OD Consultants Encourage Developmental Relationships?

junior person navigate career issues, challenges, and opportunities.

Developmental relationships can be rich opportunities for learning, increased visibility, exposure to role models, developmental experiences, and promotional opportunities. Although developmental relationships depend on the right chemistry, consultants can encourage organization members to forge them.

How Are Developmental Relationships Developed?

As a consultant, you may not be able to direct people to form developmental relationships, because they depend on timing and chemistry. However, you can help individuals develop skills to build effective developmental relationships. In seeking a developmental relationship, you will want to:

Observe how your colleagues and superiors interact and learn from them. a. What do they do well? b. How could they improve? c. What do you want to emulate? d. With whom do you want to build a relationship? Talk about your career plan with your supervisor, colleagues, and others with whom you might like to develop a developmental relationship. Ask past and present colleagues, supervisors, professional contacts, mentors, coaches, family, or friends for feedback on your key strengths and growth areas. Reach out to people with whom you would like to build a developmental relationship. Share your career aspirations and ask for their help. Join professional associations and get involved. Thank the people who help you and pay it forward.

Tips for being in the more senior role in a developmental relationship include:

Be a positive role model. Conduct yourself in ways you want to see your protégés emulate—they are watching you. Show genuine interest and learn about your protégé. This means following through on your commitment to provide support and guidance when needed and make time for the person. Share your experiences, insights, and mistakes, and model re�lective practice. Listen. Be patient. Be open-minded and compassionate. Ask questions and avoid giving answers. Provide a fresh, objective perspective. Give constructive feedback and positive reinforcement. Help your protégé network. Celebrate your protégé’s achievements and give public recognition. Continue to seek mentoring yourself to keep your edge. Comentor with a peer—mentor each other.

You can see from this section that Lindsey, from the opening vignette, underwent several career development interventions, beginning with her career counselor. She also had training and experience (via higher education and corporate-sponsored programs) that boosted her career. She had a developmental relationship through her mentor, while her new work supervisor encouraged her to write a career plan and gave her feedback through performance appraisal.

Take Away 7.4: Career Development

Career development is a process of lifelong learning that in�luences individual career choices according to psychological, sociological, educational, economic, and physical factors. Performance management involves elements of positive reinforcement, measurements, and feedback to achieve optimal organization performance. Career plan development is the process of helping the client document career goals and values and create a road map for the present, near- and long-term future. Developmental relationships are ones that help individuals advance their careers, such as mentoring, sponsorship, networking, peer support, and coaching.

7.5 Job Development

Sometimes the intervention is less about the individual and more about the job. For example, key responsibilities of a secretary once included tasks like taking dictation, composing correspondence, and scheduling meetings. Today technology makes it possible for most of us to do these things ourselves. Thus, the secretary of yesteryear is today’s administrative professional, whose duties have dramatically changed to include project management, purchasing, meeting and event planning, writing and editing, creating and delivering presentations, maintaining multiple schedules and calendars, and electronic record keeping, all using multiple computer software applications (International Association of Administrative Professionals, 2014). The evolution of the administrative professional role is but one example of how a job has changed. Organizations have the challenge of helping employees evolve with the changing needs of the job. This can be particularly challenging for workers who have been in a job for many years.

When we make interventions that are job speci�ic, we are undertaking job development. The interventions that may be used include redesigning jobs, writing job descriptions, and creating policy.

Consultants make job development interventions when certain jobs no longer meet the needs of the organization and must be restructured to better respond to organization needs, market shifts, or customer demands. For example, airport check-in areas today are peppered with self-service kiosks. Employees working the registration area need to be able to help customers troubleshoot as they check in for their �lights.

Job development can be accomplished through job redesign, job description writing, and policy development.

Redesigning a Job

A job design is the way a job is organized in terms of its tasks or overall purpose (McLean, 2006). Redesigning a job requires identifying the tasks of the job, how to do them, how many to do, and in what order. More broadly, it involves assessing the current work practices, conducting a task analysis, designing or redesigning the job, implementing the new design gradually, and evaluating the design on a regular basis (McLean, 2006).

OD consultants are frequently hired to redesign jobs in order to “heighten skill variety, task identity, task signi�icance, autonomy, and feedback from the job” (French & Bell, 1999, p. 236). Another common reason for job redesign is to accommodate advances in or problems arising from technology. The traditional secretarial job, for example, was redesigned to keep pace with advances in communication and information technology. A manufacturing process may be changed when repetitive hand movements begin to cause physical problems for workers, such as carpal tunnel syndrome.

McLean (2006) noted that a job redesign is more likely to succeed when the plan considers not only the individual job but also how it interacts within the complex context of the organization. If we return to the example of airline registration employees, they are required not just to help customers learn how to use the self-service kiosks, but also to negotiate an increasingly global, diverse traveling population and help travelers with any problems they encounter.

Like any change, job redesign will be most effective when employees participate in the process. Employees know the precise details of the job as well as its challenges and stressors, making them best equipped to identify new designs.

Job Descriptions

Job development can also be aided by having a clear, current job description; that is, a document identifying the key aspects of the position. Essential elements of a job description include:

Job title Start date Job location Contact information Number of available positions Number of hours per week Required years of experience Required education Required license, certi�icate, or registration Starting salary Bene�its. (McLean, 2006, pp. 146–147)

Job descriptions exist in most organizations, although their quality and accuracy depend on the human resource function that is usually responsible for overseeing them. Accurate job descriptions serve several purposes. First, they identify the job’s key responsibilities and quali�ications. Prospective employees need this information to gauge whether they want to apply. Job descriptions can help managers set expectations for employees and determine key measures of performance. Job descriptions are also useful when evaluating employee performance. They also help determine equity across positions in large organizations because they allow job characteristics and requirements to be compared.

Figure 7.1: Job description and job speci�ication

A job description details key aspects of a position, such as its title, grade, payroll status, and expectations.

Tips and Wisdom

There are several resources for writing effective job descriptions. Check out these resources:

U.S. Small Business Administration: Writing Effective Job Descriptions: hhttp://www.sba.gov/content/writing-effective-job-descriptions (http://www.sba.gov/content/writing- effective-job-descriptions)

O-NET OnLine (Occupational Network): http://www.onetonline.org (http://www.onetonline.org)

Policies

Corporate policy statements offer the organization a blueprint for operating. Many companies have policy statements that describe legal obligations, compensation, work rules, grievance procedures, and leave guidelines, to

name a few.

What Are Policies?

Policies are rules according to which an organization and its members act. Employee handbooks usually have information on the following organization policies:

Nondisclosure agreements and con�lict of interest statements Antidiscrimination policies in compliance with the equal employment opportunity laws prohibiting discrimination and harassment (e.g., the Americans with Disabilities Act) Compensation, including required deductions for federal and state taxes and any voluntary deductions for the company’s bene�its programs. Other compensation issues include: a. Overtime pay b. Pay schedules c. Performance reviews d. Salary increases e. Timekeeping records f. Breaks g. Bonuses Wage and hour laws Employment taxes Workers’ compensation Work schedules Standards of conduct General employment information a. Employment eligibility b. Job classi�ications c. Employee referrals d. Employee records e. Job postings f. Probationary periods g. Termination and resignation procedures h. Transfers and relocation i. Union information, if applicable Grievance procedures Employment and labor laws Foreign workers, immigration and employee eligibility Performing preemployment background checks Terminating employees Unions Safety and security Computers and technology Media relations Employee bene�its Leave policies

Why Do OD Consultants Help Organizations Develop Policies?

OD consultants might be hired to update policy statements when they are out of date, the company merges with another, or they do not exist. Most companies will involve legal counsel in this process to ensure they are in compliance with the law.

Policy can in�luence organizational culture, so it deserves ongoing attention. For example, an organization’s maternity policy can offer some insight into how supportive the organization is of mothers and families. Organizations can also signal how inclusive and equitable they are by the types of policies they keep around governance and access to promotional opportunities.

As we have discussed throughout this book, employees should be involved in policy development or change to promote buy-in.

Take Away 7.5: Job Development

Job development makes interventions related to job redesign, job descriptions, and policy development. Job redesign is the reordering of the overall purpose or tasks of a job to ensure it meets the organization’s needs. Job descriptions document key aspects of a job in terms of responsibilities and quali�ications. Policies ensure that organizations have a blueprint for operating that details legal obligations, compensation, work rules, grievance procedures, leave guidelines, and so forth.

Summary and Resources

Chapter Summary Re�lective practice helps clients re�lect critically on their thoughts and action by considering re�lection in action, re�lection on action, and espoused theory versus theory in use. T-groups are small groups in which individuals receive feedback on how their behavior affected the other members of the group. When done effectively, T-groups facilitate deep critical re�lection and self-awareness. Training, education, and development help individual employees get the requisite knowledge, skills, and abilities to perform their jobs. Action learning engages employees in cycles of re�lection and action about real problems they encounter in their real workplace. Leadership and management development targets current and potential leaders to ensure they have the core skills to help the organization reach levels of high performance. Values clari�ication and integration helps leaders and managers articulate their key values and integrate them into the daily behaviors as they manage and lead employees. Coaching is an intense relationship between a coach and coachee that seeks to create positive changes in business behavior. Assessments help individuals gain insight and self-awareness. 360-degree feedback provides the individual with full-circle feedback from supervisors, subordinates, peers, and other stakeholders. The DiSC measures behavioral tendencies according to dominance, in�luence, steadiness, or conscientiousness. The Myers-Briggs Type Indicator (MBTI) assesses personality preferences according to how individuals prefer to accumulate energy, gather data, make decisions, and order their lives. Career development is a process of lifelong learning that in�luences individual career choices according to psychological, sociological, educational, economic, and physical factors. Performance management involves elements of positive reinforcement, measurements, and feedback to achieve optimal organization performance. Career plan development is the process of helping the client document career goals, values, and a road map for the immediate present, near- and long-term future. Developmental relationships are ones that help individuals advance their careers, such as mentoring, sponsorship, networking, peer support, or coaching. Job development makes interventions related to job redesign, job descriptions, and policy development. Job redesign is the reordering of the overall purpose or tasks of a job to ensure it meets the needs of the organization. Job descriptions document key aspects of a job in terms of its responsibilities and quali�ications. Policies ensure that organizations have a blueprint for operating that detail legal obligations, compensation, work rules, grievance procedures, leave guidelines, and so forth.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Pick an assessment presented in this chapter (or book) and take it. What new insights did you gain? Are

there contradictions? Con�irmations? What implications do they have for your career? 2. When was the last time you sat down and deeply re�lected on where you are in your career and where you

are going? Make some time for yourself to do some careful thinking and determine if you are on track. 3. Have you been involved in a developmental relationship? How would you classify it? How helpful was it? 4. Review the tips for building developmental relationships. What do you need to work on to �ind a mentor or

sponsor? How can you be a better mentor or sponsor?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. The chapter began with a vignette about Lindsey, who was in a career transition. Have you ever been in a

career transition or known someone who was? What types of interventions were applied? 2. Write a career plan as outlined in this chapter. 3. Identify a position that you aspire to. Do some research and document:

a. the education and training required b. salary c. a city you prefer to live in, in terms of cost of living, environment, and so forth

4. Talk with people in the position you aspire to and get their advice. 5. What training, education, and development have you done in the past year? Write down an inventory and

see how well your learning has aligned with your career plan. 6. Get a copy of your current job description. Review it for accuracy and rewrite it if it needs updating. 7. Review the policies for your organization and note key likes and dislikes. 8. Review or write a job description for your position or desired positions. 9. Write or revise your resume.

Additional Resources Media

360 Degree Feedback Humor

https://www.youtube.com/watch?v=OXJkP13xACg (https://www.youtube.com/watch?v=OXJkP13xACg)

Web Links

Learning, Training, and Development

The Association for Talent Development, a professional association of learning and development resources.

http://www.astd.org (http://www.astd.org)

Training, Development, and Education for Employees, a page that offers employee development resources, including on-the-job training, training transfer, internal training, and more.

http://humanresources.about.com/library/bltraining.htm (http://humanresources.about.com/library/bltraining.htm)

International Foundation for Action Learning, a charity that supports a network of action learning practitioners and enthusiasts.

http://ifal.org.uk (http://ifal.org.uk) or http://www.ifal-usa.org (http://www.ifal-usa.org)

Action Science, which aims to accurately describe and ef�iciently demonstrate the theory and practice of action science and to connect individuals and groups interested in working with action science.

http://www.actionscience.com (http://www.actionscience.com)

Leadership Development

Performance, Learning, Leadership, and Knowledge, a window into learning, training, leadership, design, and all matters related to improving human performance.

http://www.nwlink.com/~donclark/index.html (http://www.nwlink.com/~donclark/index.html)

Coaching tips to make you a more ef�icient coach.

http://humanresources.about.com/od/coachingmentoring/a/coaching.htm (http://humanresources.about.com/od/coachingmentoring/a/coaching.htm)

Career Development

National Career Development Association, which offers professional development, resources, standards, scienti�ic research, and advocacy.

http://www.ncda.org/aws/NCDA/pt/sp/home_page (http://www.ncda.org/aws/NCDA/pt/sp/home_page)

Assessment

The Riley Guide, which offers useful self-assessment resources.

http://www.rileyguide.com/assess.html (http://www.rileyguide.com/assess.html)

Job Development

Job Design, an interesting management blog.

https://www.boundless.com/management/organizational-behavior/job-design-and -motivation/de�ining- job-design (https://www.boundless.com/management/organizational-behavior/job-design-and-motivation/de�ining-job- design)

Key Terms

action learning set A group of six to eight people who come together to work on a problem using action learning.

assessments Instruments that measure myriad aspects of individual attributes such as personality, learning style, or cultural awareness.

career development The lifelong process of balancing psychological, social, educational, economic, and physical variables in making career decisions.

career plan development A written plan that identi�ies immediate, midterm, and long-term career goals and developmental needs.

coaching A one-on-one helping relationship focused on replacing the client’s ineffective business behaviors with positive ones.

development The cultivation of interests, not necessarily related to work.

developmental relationship A relationship that helps advance an individual’s career, such as mentoring, sponsoring, or networks.

education The cultivation of reasoning and analytical problem solving.

espoused theory versus theory in use Inconsistency between your actions and what you profess you will do.

job description A document that details the key aspects of a position.

job design The way a job is organized.

job development Job-speci�ic interventions.

leadership development Helping people guide the organization, create long-term vision, develop strategy, staff the organization, communicate, and motivate people toward the vision.

management development The process of equipping people to execute day-to-day practices of organizing, staf�ing, planning, budgeting, controlling, directing, and problem solving.

mentoring A helping relationship where a more senior individual provides career advice and support to a less senior individual.

peer support Mentoring and sponsorship provided to a person of similar rank.

performance management The process of aligning individual employee performance with organization goals and strategy.

re�lection in action Re�lective practice about an experience and potential actions during the experience.

re�lection on action Re�lective practice about and experience and potential actions after the experience.

sponsorship Supporting and recommending individuals for career advancement experiences and opportunities.

360-degree feedback An assessment method in which performance feedback is solicited from multiple sources at the levels surrounding the individual (self, subordinate, peers, and supervisor). This is also known as multirater feedback.

training The accrual of job-related knowledge.

values clari�ication and integration Exercises that help individuals articulate their key values and incorporate them into their thoughts and actions.

8 Group Interventions

Caiaimage/Sam Edwards/OJO+/Getty Images

Learning Objectives

After reading this chapter, you should be able to:

Identify interventions that OD consultants use to build highly functioning groups and teams.

Identify situations in which diversity and inclusion interventions are warranted and describe various interventions.

Recognize when individuals or teams are in con�lict and discuss different interventions for resolving the con�lict.

Explain how problem solving and decision making are handled in organizations.

Ammit/iStock/Thinkstock On its retreat, AutoMark engaged in activities that built teamwork and communication. What activities would you recommend for encouraging team cohesion?

AutoMark, an automotive parts maker, needed to radically change the sound system it had produced for years. Fast- changing technology and computer advances had made even relatively new vehicular sound systems obsolete. Producing a new sound system posed a host of challenges: designing the component, ensuring compatibility with other components and systems in the vehicle, and communicating across several functional areas, including design, manufacturing, engineering, and the union. AutoMark’s general manager, David, was new and had inherited a business with a long history of botching new system launches: They were chronically late, over budget, and under quality speci�ications. David had recently been exposed to OD in his evening MBA courses and was anxious to see if he could change AutoMark’s track record with the new sound system rollout.

David contacted the company’s internal OD person, Anne, to see what could be done about the anticipated sound system launch. After completing the action research steps to discover the problems, they determined that the team involved had to be more cross-functional and that the team members lacked the requisite skills to pull off a successful launch. They decided to put a new team in charge of the launch.

The new team was composed of representatives from design, manufacturing, engineering, and the union. The team’s �irst meeting consisted of a charge to alter the way AutoMark handled new system launches. The team members established roles, ground rules, and a clear purpose statement for their work. They agreed it would be bene�icial to build the team’s skills, and so, with Anne’s help, they planned a retreat to set themselves up for success.

The retreat was held the following month at an off-site location. Everyone on the team had taken a DiSC assess-ment (see Chapter 7); those results were shared with the team so individuals could begin to appreciate their differences and communicate effectively with each other. The team members engaged in activities to help build cohesion and understanding. They learned new skills for managing dif�icult conversations and for listening during disagreements. They also learned a new problem-solving model and reviewed quality standards to make sure these issues were consistently considered in their process. Finally, they revisited their original purpose, ground rules, and roles to see if these needed to be altered based on their work over the past month.

The retreat was a success, and the group dove into its work. The group was highly functioning, based on its up-front investment to establish a functional, collaborative team. During the �irst few meetings there were some moments of confusion; people were not sure of the key goal, and at times roles and responsibilities were not clear. But the group was able to resolve each of these issues. So far, the team was ahead of schedule on

making decisions and getting approvals on the new sound system’s design. As the launch date got closer, the team members were under increasing stress and some began to experience con�lict. Meetings were getting bogged down by disagreements; people argued over decisions, and some resorted to personal attacks. Two members in particular did not like each other and usually stirred things up for the rest of the team.

David became increasingly concerned that the disagreements were sapping too much time and energy from the team. He decided to intervene and called the two instigators into a meeting, where he could mediate the dispute. Anne facilitated the conversation, since she was a neutral party. The two team members aired their grievances and were eventually able to identify common ground and problem solve their issues.

The team went on to complete its work after the midpoint intervention. Using a deliberate team process helped the team turn the launch process around with an on-time, under-budget, and superior-quality product.

This book has focused on undertaking OD using the action research model. We have moved through the three action research phases of planning, doing, and evaluating. This chapter is devoted to pro�iling several interventions that might be appropriate at the group or team levels of analysis and assumes you have followed the action research

process up to the point of intervention and carefully selected an intervention in collaboration with the client (see Table 5.1).

Interventions are generally decided during the discovery or planning that occurs in phase 1 of the action research model. They are implemented in phase 2, doing or action, and assessed in phase 3, checking or evaluating. Chapter 5 de�ined OD interventions as the actions taken on the problem or issue that is the focus of the OD process. Intervention is the culmination of the OD process—it is what OD intends to do from the start.

The interventions covered in this chapter are not comprehensive, but rather representative of the many options available. This book could include dozens, as the range and potential of OD interventions are nearly endless. Rather than get lost in a sea of interventions, this chapter presents some of the most common group and team interventions (see Table 7.2).

Human interactions tend to be messy and unpredictable, and groups have fascinating dynamics as they negotiate roles, differences, work practices, power relations, and tasks. OD consultants commonly address the challenges that arise in groups with interventions to improve group or team process and development, increase diversity and inclusion, manage con�lict, and solve problems and make decisions. The interventions within each of these categories are summarized in Table 8.1 and are pro�iled in this section.

Table 8.1: Categories of group or team OD intervention

Group or team process and development

Diversity and inclusion

Con�lict management

Problem solving and decision making

Dialogue Team life cycle Team start-up or transition Team building Team learning Virtual teams

Cultural awareness Cross-cultural development

Con�lict resolution Confrontation meetings Third-party intervention Appreciative inquiry

Work-Out Total quality management (TQM) Quality of work life (QWL) Problem-solving models

8.1 Group or Team Process and Development

Although the terms group and team are often used interchangeably, they have different de�initions. Suppose a group of people gets on an elevator. A team emerges in the event the elevator gets stuck. A group usually consists of three or more people that may share common perceptions, motivations, goals, or organization membership. In the case of the elevator, the group shares the common goal of traveling to a different �loor. When the elevator becomes stuck, the group is suddenly transformed into a team. These team members not only share a common goal (getting out of the elevator) but must work together to achieve it. The difference is subtle, but important for understanding group dynamics. Table 8.2 contrasts groups and teams.

Table 8.2: Contrasting groups and teams

Groups Teams

1. Compete against each other 2. Seek personal agendas 3. Are staid and stodgy 4. Make decisions independently 5. Are motivated by fear 6. Fail to connect teamwork with success 7. Operate dependently or independently 8. Tolerate each other and the work 9. Accept complacency with no sense of urgency

10. Avoid risk

1. Compete outward together 2. Share a team agenda 3. Value innovation and continuous improvement 4. Make decisions participatively 5. Are motivated by opportunity 6. Link team success to organization success 7. Work Interdependently 8. Enjoy each other and the work 9. Embrace sense of urgency

10. Thrive on challenge, take risks

Because an organization’s work is largely carried out by teams whose members have to cooperate, create, and collaborate, helping members build these interpersonal skills and the infrastructure in which they are supported can boost the organization’s ability to accomplish its mission. Building capacity in group or team process and development is important to ensure that new groups or teams start off on the right foot, as well as to strengthen established groups or teams that are embroiled in con�lict, unproductive, or lacking focus. This section features some interventions that OD consultants use to build highly functioning groups and teams.

Dialogue

Can you recall a conversation in which each person aggressively advocated a point and tried to convince everyone to agree? What was the outcome? Such win–lose conversations do not usually result in constructive outcomes or new learning for the participants, yet they are dif�icult to avoid. Just turn on your television or radio, listen to politicians, or attend a meeting for numerous examples of such point–counterpoint discussion, which is often heated. This type of communication is a discussion, the dominant form of discourse in U.S. culture that generally involves participants aggressively advocating their own point of view.

“The word discussion stems from the Latin discutere, which meant “to smash to pieces’” (Senge, Kleiner, Roberts, Ross, & Smith, 1994, p. 353). The term is also related to the words percussion and concussion, with the general meaning of heaving back and forth to beat the opponent down and prove a point in a win–lose confrontation. Discussion promotes group fragmentation and wars of advocacy between members. Linguist Deborah Tannen (1999) refers to this conversational crisis as the “Argument Culture,” in which communication is focused on confrontational discourse; it is a win–lose proposition for individuals caught in this vicious conversational cycle.

Alternatively, you can probably recall really invigorating, exciting conversations in which each participant built on the points being made and people were open to questioning their viewpoints, learning from

Fuse/Thinkstock You probably engage in true dialogue more often with friends than coworkers. Why is dialogue important in OD?

each other, and changing their minds. This type of inquiry-based discourse is known as dialogue. Dialogue is contrasted with discussion as its polar opposite and recommended by Tannen (1999) and others (Ellinor & Gerard, 1998; Isaacs, 1999; Senge et al., 1994) as an alternative communication means that is focused on inquiry and learning, rather than advocacy of a certain position.

Dialogue is rooted in the Greek words dia (meaning “through” or “with each other”) and logos (meaning “the word”) (Senge et al., 1994, p. 353). Together, dia logos means “through meaning.” It can be thought of as meaning that �lows through a group of people, where new understandings and ideas emerge. Whereas discussion is advocacy- based, dialogue is inquiry based. The goal is not to �ind the right answer, but rather to examine multiple perspectives surrounding an issue that would not have been possible through individual re�lection or discussion. Dialogue is the collective engagement in re�lective practice, discussed in Chapter 1 of this book. Effective OD consultants hone their dialogue skills and use them across all interventions. Dialogue is an effective team process because it requires individuals to slow down and listen to each other. The AutoMark team learned this skill, and it helped them converse about complicated issues that crossed several people’s functional territory. Being skilled at dialogue will also help individuals and teams better apply other interventions.

Why Do OD Consultants Advocate Dialogue?

Throughout the action research process, consultants help clients adopt new behaviors, learn new ways of listening and speaking, and cultivate new tools for bridging understanding and dealing with disagreement. Because win–lose conversation is so prevalent in U.S. culture, engaging in dialogue is a major change for most organization members. They need training in how to dialogue, ideally at the beginning of the action research process so that it can serve the team as it navigates the challenges of implementing change.

Dialogue helps consultants achieve multiple interventions such as listening, problem solving, decision making, strategic planning, talent management, and more. Speci�ic bene�its of dialogue include

conversing in ways that help clients think and re�lect differently, asking good questions that advance the conversation, using new knowledge created from the conversation, engaging in questioning that informs better decision making and action, sharing broader and deeper feedback than a back-and-forth discussion would yield, steering members away from argumentation and toward deeper inquiry that probes and challenges ideas, shifting away from unconditional acceptance of dominant ideas, and creating an atmosphere that is tough on the issues and easy on the people.

How Do OD Consultants Help Facilitate Dialogue?

Dialogue is not easy. It requires new listening and conversing, which for most people means changing lifelong bad habits. There are several ways to use dialogue. Some guidelines for achieving a dialogue that is inquiry-based include the following:

Situate participants in a barrier-free circle (e.g., no tables). This con�iguration physically removes obstacles and creates a more vulnerable space for the dialogue.

Figure 8.1: Tuckman’s stages of group development

Tuckman’s model, which shows how groups become high performing, remains one of the best-known group development models.

Ask participants to suspend assumptions and certainties. This means that everyone willingly questions their own ideas and beliefs, as well as those of others. Listen. This is more important than talking. There are several ways an OD consultant can promote listening: a. Use a “talking stick.” Provide a stick, ball, or some other artifact that signals the right to speak. Participants

must have possession of the talking stick to speak. b. Blindfold participants to remove nonverbal cues that people use to dominate conversation. c. Involve all participants in monitoring listening and confronting bad listening behaviors such as

interrupting or signaling to speak before the speaker has �inished. Focus on inquiry and re�lection instead of decision and action. Observe equality of members and give equal air time to everyone who desires to speak. Respect differences. Suspend role identi�ication. This means that participants cannot invoke their roles in the organization hierarchy to make points or dominate (“As the vice president, here is how I see it”). Nor can participants look to people who have certain roles and ask for guidance (“As our vice president, what do you think?”). Strive for learning over results. This means that the dialogue is a time to truly think about a problem. Once new knowledge is created and the dialogue ends, insight can be used to make decisions and act. Dialogue helps slow down and evaluate decisions that are poorly thought out. Allow speakers to talk without interrupting. This is probably the most challenging aspect of dialogue, because everyone wants to be heard and advocate their viewpoint. Assure con�identiality among the group. What is said in a dialogue stays in the dialogue.

Team Life Cycle

There has been an enduring interest in group dyn-amics since the advent of OD. Tuckman (1965) reviewed 55 articles dealing with stages of small group development and isolated commonalties. From this research, he created a model of stages that groups experience in order to become high performing. He called this the group or team life cycle. Tuckman’s model laid the groundwork for understanding and researching groups and remains one of the best-known models of group development (see Figure 8.1). See if you can identify these stages in a group you belong to or apply them to the AutoMark vignette.

Later group development models have added a �ifth stage, adjourning. In this stage the group disbands after it has moved through the �irst four stages and met its goals.

Although it is a widely used model of group development, Tuckman’s (1965) model is only one of several that have grown out of Kurt Lewin’s �ield theory. Lewin suggested that a group has its own psychological �ield or life space that consists of the group and all the variables in its environment and affects the group’s behavior (Lewin, 1947). Cummings and Worley (2009) proposed that group effectiveness could be judged based on the degree to which the task was accomplished, the level of satisfaction experienced by the group members, and the viability of the group itself.

Why Do OD Consultants Pay Attention to the Team Life Cycle?

The team life cycle model serves multiple purposes. First, it helps the consultant observe where the group or team is in its

development and plan interventions accordingly. If a team is just getting started, it is likely to be at the forming or

storming stages. Agenda-driven interventions are probably warranted, and when the group gets stuck storming, con�lict resolution can also be helpful.

Helping team members understand the life cycle helps them recognize the challenges and con�licts that arise as normal developmental processes. This in turn helps depersonalize the dif�iculties associated with collective goal pursuit and allows members to focus on moving to the next stage.

When managers understand the team life cycle, they can help the groups and teams they manage through more effective decision making, problem solving, and con�lict resolution.

How Do OD Consultants Help Clients Learn About the Team Life Cycle?

An effective way to teach the team life cycle is through an experiential activity. A popular one is the Tinkertoy activity:

1. Organize the team into groups of about four to six people (depending on the size of the group). 2. Give each group a bag of Tinkertoys. They should have the same number and type of pieces in each bag, or

give each group their own container. 3. Each group is given the following instructions:

a. Build the tallest freestanding tower with the materials provided. b. Groups have 20 minutes to plan and 40 seconds to build. c. Pieces cannot be connected during planning (they will be removed by the facilitator).

4. Facilitators serve as timekeepers. 5. All pieces are returned to the bag or container before building. 6. Construction must stop when the time limit is reached. 7. Once the activity ends, debrief around the stages of the team life cycle and help participants see how they

moved through the stages.

There are dozens of such activities available to help develop teams. Find some resources you are comfortable using and become familiar with them.

Team Start-Up or Transition

Helping a team get off to a positive and productive start requires support from the beginning. It is common for organizations to set high expectations for teams without giving them the support or training needed to be high- functioning; they then wonder why a team could not produce. Effective team-based OD interventions set teams up for success, whether they are new or already exist.

Why Do OD Consultants Facilitate Team Start-Up?

Giving teams a strong foundation at their formation helps them build the capacity to do what is expected of them. At a minimum, new or transitioning teams should be given a clear goal and the necessary resources to accomplish it. They also need training on the team life cycle and the tools for moving through the stages. Providing the team with training and a structure for effective meetings helps them make good use of their time together. Topics to explore to help the team get off on the right foot might include

the team life cycle; a change model (such as Lewin’s unfreezing, moving, and refreezing); a problem-solving model; meeting-effectiveness tips; and team-building exercises.

saovadee/iStock/Thinkstock

How Do OD Consultants Do Team Start-Up?

Some key steps to follow include the following:

1. Establish a clear goal or charge for the team. 2. Create roles (e.g., facilitator, note taker, process observer). 3. Rotate roles. 4. Identify members’ communication expectations and needs. 5. Develop ground rules. 6. Create agendas for meetings. 7. Use tools to enhance meeting facilitation, such as decision-making and consensus procedures. 8. Evaluate team process on an ongoing basis.

Which of these start-up strategies were in place for the AutoMark vignette?

Team Building

A common OD intervention is team building; that is, training and other activities that help teams perform more ef�iciently and effectively. This type of activity can also be used for team start-up. McGregor (1960) de�ined effective teams as those that

1. foster a relaxed and comfortable atmosphere, 2. clearly understand and accept their tasks, 3. are able to engage in dialogue and effective listening behaviors, 4. are tough on the issues and easy on each other, 5. use consensus decision making, and 6. complete their actions.

Why Do OD Consultants Do Team Building?

Team-building OD interventions are centered on helping members move through the stages of group development (Tuckman, 1965) and on helping the team settle on task roles, goals, relationship building, group process, and activities to ensure smooth functioning. Team building is often accomplished through training and ongoing process checks as the team works on its activities. Speci�ically, team building can facilitate

improved morale and leadership skills among team members, the elimination of barriers that thwart creativity and collaboration, the de�inition of clear objectives and goals, improved processes and procedures, improved productivity and results, targeting and eliminating team weaknesses, and building up team strengths.

How did these strategies play out in the AutoMark vignette?

How Do OD Consultants Do Team Building?

A successful team is only as good as its members, so following the team start-up tips will get the team primed to build deeper relationships. Burn

Team building strengthens the team’s relationships and members’ understandings of roles and responsibilities.

(2004) suggested that skilled team members

Develop norms and roles compatible with team success. Build a group with norms of cooperation. Make status assignments based on speci�ic-status characteristics. Minimize status differences. Engage in constructive controversy. Use constructive confrontation when group norms are violated. Establish a supportive communication climate. Recognize the bene�its of member diversity. Create a superordinate (shared) group identity. Use group goal setting. Rely on explicit coordination and pre-planning. Persuade members that their contributions are needed, noticed and valued. Tie valued individual outcomes to group outcomes. Balance task and socioemotional leadership. Choose discussion and decision-making procedures that prevent domination by a few members and ensure that all relevant information and perspectives are considered (p. 389).

Consultants need to monitor the team and adjust interventions according to its needs.

Team Learning

Team learning is distinct from team building in that it strives to “transform conversational and collective thinking skills, so that groups of people can reliably develop intelligence and ability greater than the sum of individual members’ talents” (Senge et al., 1994, p. 6). Team learning emerged out of the learning organization movement in the 1990s. In addition to team building, team learning engages participants in the use of dialogical communication to bring assumptions to the surface and to address issues faced by the team, with the goal of collective learning.

Why Do OD Consultants Facilitate Team Learning?

Usually, team learning is sought by organizations that have made a commitment to becoming a learning organization. Team learning helps teams apply dialogue and action learning to solving problems encountered in the team dynamics, work projects, or change implementations.

Whereas team building improves courtesy, communication, performance, and relationships, team learning is a process of learning collectively. Team learning challenges individuals intellectually, emotionally, socially, and spiritually. It assumes self-mastery and self-knowledge while challenging members to look outward to develop shared alignment around goals and purpose.

How Do OD Consultants Facilitate Team Learning?

Team learning adds to the team-building efforts that have likely taken place with the team. The consultant helps the team focus on its re�lection in action and re�lection on action through dialogue, action learning, and deliberate efforts to identify learning as it occurs while the team goes about its work, problem solving, and decision making.

To ensure that teams are prepared for learning, they need a clear purpose or goal, effective facilitation, ground rules, and dialogue skills. Usually, teams need to be trained on how to build effective skills. A common focus is on re�lective practice using action learning, assumption testing, and mistake sharing. Members must be willing to take risks to

raise dif�icult issues, question structures that may inhibit group or organization functioning, and enhance the group’s knowledge base and learning as a whole.

The consultant can also help team members adopt certain behaviors that help them be more effective team learners, such as

listening to team members; empathizing with other team members’ viewpoints; taking interest in teammates by making eye contact, respecting them, and learning about them; watching nonverbal behavior (self and others); resisting the temptation to interrupt teammates; listening for implicit as well as explicit meaning in the team conversation; looking for omissions in both thought and action; af�irming the speaker versus evaluating or criticizing; paraphrasing to check for understanding; and listening more than talking.

Virtual Teams

Organizations and people are increasingly working across the globe. Separated by time and distance, interaction must be mediated with technology, and people often work in virtual teams. Although the art of face-to-face facilitation is well developed, the art of virtual facilitation is in its infancy. Technologies that facilitate virtual teamwork include multiple Internet applications, videoconferencing, teleconferencing, and webcams. Engaging with others virtually, with no opportunity to meet face-to-face, requires cultural awareness and effective communication skills.

Why Do OD Consultants Facilitate Virtual Teams?

Because of the global workplace, there is a need to develop capacity for effective virtual interactions, and this is accomplished in the same way as traditional team building and team learning. Consultants can help virtual participants be better virtual citizens and help virtual facilitators be effective in that context.

How Do OD Consultants Facilitate Virtual Teams?

Consultants can coach individuals to be good virtual team members. Being a good virtual team member involves the following behaviors:

Be timely. If team members cannot be on time for the meeting, they should let the organizer know in advance. It is just as disrespectful to be virtually late as it is to be physically late. All members should plan to take necessary breaks prior to the meeting. Virtual meetings tend to be ef�icient, so it can waste everyone’s time if members step away from the session for various reasons. When team members must step away from the meeting, they should let the attendees or organizer know, preferably via an online chat feature. Always be professional. Even though team members may be at home or communicate solely via an audio feed, they should assume the same behavior they would in a boardroom. No one wants to hear what their children, cats, or dogs are doing. Do not do other work during the meeting. All team members’ input is valued, and the attendees are counting on everyone’s thoughts and contributions. Actively participate. If participants are presenting slides or sharing other kinds of information, they should practice prior to the meeting.

Follow the same respectful behaviors you would in person: 1. Do not interrupt. 2. Listen intently. 3. Stay on topic.

Table 8.3 provides strategies for dealing with the challenges that arise from facilitating a virtual team. It is based on research by Mittleman, Briggs, and Nunamaker (2000).

Table 8.3: Challenges and strategies for facilitating virtual teams

Challenge Strategies

Following virtual meetings is dif�icult for participants who may do unrelated tasks, arrive late, leave early, or disappear for long periods.

Provide explicit preplanning instructions including prework, timed agendas, and the meeting’s purpose and objectives. Encourage interest and make it personal. Contact participants individually in advance of the meeting to con�irm their participation and discuss their interests. Create a scorecard. Use an electronic meeting platform to identify where you are in the agenda and who is participating. Distinguish transitions from one topic to another to keep the team focused. Clarify the intended outcome(s) for each agenda item (discussion, decision, action, etc.).

Virtual teams receive minimal feedback on the meeting’s progress and process.

The facilitator should periodically offer and solicit feedback. Engage in frequent process checks on the meeting (“Are we on task?” “Mark, are you still with us?” “Is there any concern about this course of action?”). Invite feedback via the meeting platform, e-mail, or online chat.

Participants forget who is attending the meeting. Use names during the meeting. The facilitator can use them or ask people to clarify their name before they speak. Provide frequent reminders of who is in the meeting (or use a meeting platform that lists attendees). Distribute short biographies and photos of attendees.

Virtual team building is challenging. Follow the best practices for team building already discussed in this chapter. Ensure the team has a clear goal. Meet face-to-face when possible, especially when the team is forming. Create breaks, particularly for long sessions, that promote team bonding on nonwork topics like the weather, interests, hobbies, and so forth.

Challenge Strategies

Technology is great when it works, but. . . Be patient and assume people are on a learning curve with their technology. Have a backup plan. Have technical support ready to assist if needed. Have a plan for reconnecting if the technology must be reestablished. Introduce new technology on an as-needed basis.

Communicate effectively, virtually. Exchange dialogue and conversation rather than listen to lengthy one-way presentations. Speak clearly and into the microphone when you have the �loor. Mute your sound when you are not speaking.

Making decisions can be more dif�icult virtually. Plan decision-making procedures (consensus, vote, etc.). Conduct process checks to �ind out where people are in the process.

Take Away 8.1: Group or Team Process and Development

Using the inquiry-based discourse of dialogue (instead of discussion) promotes learning and understanding among team members. The team life cycle represents the various stages teams undergo as they form and develop procedures and working relationships. The stages are forming, storming, norming, and performing (and sometimes adjourning). Team start-up or transition helps acclimate teams to new members or new challenges by establishing clear goals, providing training, creating support structures (e.g., facilitation guidelines, meeting structures, problem-solving procedures), and evaluating progress. Team building is the process of helping teams perform more effectively and ef�iciently via relationship-building and team-management procedures (e.g., clear roles and responsibilities). Team learning attempts to harness the team’s knowledge and use action learning to address challenges and problems. Virtual teams use technology to mediate their communication and work; they are increasingly common and important for organizations to compete and accomplish in global markets.

Tim Robbins/Mint Images RF/Getty Images Promoting diversity and inclusion helps an organization build a stronger workforce that is more equipped to excel in global markets.

8.2 Diversity and Inclusion Interventions

The U.S. workforce is diverse and changing. There are more women employed than ever before, racial and ethnic minorities will soon surpass whites in numbers, and the workforce is aging. Diversity commonly refers to a heterogeneous group—one in which members differ in gender, race, age, religion, or sexuality. A more useful de�inition of diversity for OD consultants is “those individual differences that are socially and historically signi�icant and which have resulted in differences in power and privilege inside as well as outside of organizations; namely race, gender, and sexuality” (Thomas, 2005, p. 9).

Thomas (2005) identi�ies several challenges associated with leading modern, diverse organizations. These include attempting to understand

the differences between how work used to be accomplished and how it will change with an increasingly diverse environment; and the legal, ethical, and day-to-day issues that arise from employing a more diverse workforce comprised of immigrants, racial and ethnic minorities, women, older workers, sexual minorities, and the disabled.

Thomas (2005) asserts that a goal for OD is “to maximize the bene�icial aspects of diversity for organizations and for individuals while minimizing and perhaps preventing any negative challenges of that same diversity” (p. 3). She further emphasizes that those trained in the organizational sciences are uniquely quali�ied to address diversity issues by monitoring selection and placement, training and development, organization development, performance measurement, and quality of work life. OD consultants can help ensure that the dynamic complexity of diversity is respected in policy development and workplace practices that are fair, equitable, and sensitive.

OD consultants must be sensitive to diversity issues, regardless of whether their interventions currently address an issue related to diversity. Although this book discusses diversity interventions under group-based OD, it is important to note that such interventions may occur at any level and will often be implemented across multiple levels simultaneously.

Case Study: Diversity and Inclusion

Over several decades, TechCo has built a reputation for its commitment to recruiting and developing a diverse workforce. But recently that reputation has slipped. About 5 years ago, the company underwent a top leadership transition. The new CEO dropped diversity and inclusion from its strategic goals because, in his words, “TechCo has already accomplished outstanding diversity and the infrastructure exists to sustain it.”

What the CEO did not anticipate was that TechCo’s competitors would expand their efforts to become more diverse and inclusive organizations. The top employees of TechCo are now being avidly recruited by these competitor organizations, and some begin to jump ship—particularly women and people of color— because they see more promising opportunities to work in organizations that appear to value diversity

more than TechCo. Meanwhile, TechCo is falling behind in its strategy and ability to do realistic succession planning for future leadership. As management becomes less diverse, so does its recruitment pool and talent development.

Today TechCo’s top leadership is approximately 90% White and male. Competing �irms have much higher percentages of female, African American, Latino, and Asian executives. Few TechCo employees participate in af�inity groups (e.g., women leaders, LGBTQ support groups, African American leaders, etc.), whereas its competition has doubled these types of supports.

TechCo needs an intervention, and fast. Its lack of diversity at the top of the organization and absence of a plan to resolve the problem could spell long-term disaster in its ability to recruit and retain the best people and remain competitive in its markets.

Critical Thinking Questions

1. What immediate steps can TechCo take to address its problems with diversity and inclusion? 2. What mid- to long-term steps do you recommend TechCo take to become a more diverse and

inclusive organization?

Cultural Awareness

A �irst step for group members to more competently deal with diversity and inclusion is to gain cultural awareness, which is becoming conscious of and appreciating the differences between the characteristics of your own and other cultures.

Why Do OD Consultants Promote Cultural Awareness?

Groups with low levels of cultural awareness will likely experience more con�lict and less productivity than groups that exhibit consciousness of and appreciation for other cultures. Groups with low cultural awareness may be candidates for interventions to increase their cultural learning. These include the following:

Practicing re�lection, which can help group members examine how their own culture differs from others. Assessing values, which allows group members to compare what they value with others and tie values to cultural differences. For example, some cultures place a high value on punctuality, whereas others do not. The punctual culture may view lateness as rudeness without considering cultural meanings of time. Encouraging dialogue with people from different cultures. Dialogue, as has been discussed, creates a format for communication that builds inquiry and re�lection into the exchange, making it an ideal way to learn about other cultures. Participating on diverse teams, which creates the opportunity to focus on achieving tasks and problem solving with people from different backgrounds. Encouraging group members to share information about their culture with others.

How Do OD Consultants Promote Cultural Awareness?

One way to measure group members’ cultural awareness is by administering a cultural intelligence quotient (or CQ) assessment, such as the one shown in Figure 8.2 (Earley & Ang, 2003). The assessment measures four distinct CQ capabilities:

1. CQ drive (motivation): interest in and con�idence at functioning effectively in culturally diverse settings;

2. CQ knowledge (cognition): knowledge of how cultures are similar and different; 3. CQ strategy (metacognition): how someone makes sense of culturally diverse experiences; and 4. CQ action (behavior): capability to adapt behavior to different cultures (Livermore, 2010).

OD consultants can also roughly gauge CQ by observing people while keeping in mind these four capabilities.

There are multiple cultural interventions; consultants should build skill in this area via reading and additional training or bring in experts in the area.

Figure 8.2: Cultural intelligence scale—self-report

While consultants can gauge CQ by observing, there are more formal methods of assessing it, such as this self-report scale.

Source: Cultural Intelligence Center.

Cross-Cultural Development

Cross-cultural competence is what de�ines an employee who manages international business operations. Such an employee is often referred to as a global manager, international manager, or global leader (Ramburuth & Welch, 2005). Educating people to engage cross-culturally involves cross-cultural development. Preparing teams to engage cross-culturally is cross-cultural team building. These are similar interventions; that is, the distinctions pertain more to the type of work group than the speci�ic skills developed.

McLean (2006) lamented that much cross-cultural development is inadequate because it focuses more on the do’s and don’ts of traveling in certain places, versus building the competency to productively engage cross-culturally,

appreciate difference, and resolve con�lict. Cross-cultural development is often short on actual experiences that build cultural competence.

Tips and Wisdom

Refer to the U.S. Department of State’s website for useful information relating to traveling and doing business globally (http://www.state.gov/misc/list/index.htm (http://www.state.gov/misc/list/index.htm) ).

Why Do Consultants Promote Cross-Cultural Development?

Cross-cultural development is important for a workforce that is more culturally diverse and mobile than ever before. Organizations bene�it in myriad ways from hiring diverse, culturally savvy personnel who can relate to diverse work groups, customers, and suppliers. Unfortunately, few companies manage cross-cultural training well.

Organizations that send employees abroad to work take signi�icant risks. First, it costs about 3 times an employee’s annual salary to send her or him abroad. Given that 30% to 40% of international assignments end prematurely, often because the cultural adjustment fails, it is worthwhile to help employees engage new cultures. Further, more than half of expatriated executives do not remain with their companies after an overseas assignment. In addition, international joint ventures have poor success rates, making it even more important to develop cultural understanding.

In spite of the high failure rate of cultural ventures, fewer than half of expatriated employees are given formalized cross-cultural training. Not surprisingly, fewer than half are also unable to manage cultural differences when they are sent abroad. The employee’s family typically receives even less assistance.

Tips and Wisdom

Cross-cultural training resources from the U.S. Department of State: a compilation of cultural training program providers from around the globe. This list is useful whether you are seeking a consultant or seeking to �ind employers of consultants (http://www.state.gov/m /fsi/tc/79756.htm (http://www.state.gov/m/fsi/tc/79756.htm) ).

How Do OD Consultants Facilitate Cross-Cultural Development?

Cross-cultural development should emp-hasize key competencies needed by global leaders and teams. These include skills, traits, and knowledge across four dimensions (Ramburuth & Welch, 2005):

1. Cultural sensitivity and awareness; this involves awareness of how your own culture affects your behavior and shapes your beliefs (Lane, Maznevski, Dietz, & DiStefano, 2012).

2. Knowledge of other cultures and countries, including their norms, behaviors, cultural symbols, rituals, and belief systems (Hofstede, 2001).

3. Concrete business skills that help manage cultural differences, including cross-cultural negotiating, cross- cultural con�lict resolution, and cross-cultural teamwork (Laughton & Ottewill, 2000).

4. Personal characteristics that support productive cross-cultural interactions such as emotional intelligence, psychological maturity, and the ability to manage cognitive complexity (Sagha�i, 2001).

Other traits important to cross-cultural competence include tolerance, persistence, �lexibility, self-esteem, self- questioning, and openness to learning and growth (Cui & Awa, 1992; Rhinesmith, 1996).

Tips and Wisdom

Games and simulations are a fun and effective way to introduce issues of cultural awareness and intercultural communications. The games and simulations on this site were compiled by the Intercultural Studies Project: http://www.carla.umn.edu/culture/resources/exercises.html (http://www.carla.umn.edu/culture/resources/exercises.html) .

Effective cross-cultural development involves creating experiences ahead of time in which participants can experience some of the challenges and emotions that may arise in an unfamiliar culture. Simply creating opportunities for the employee to interact with people from different cultures can also help. OD interventions that can provide such experiences will promote more cross-cultural exchange. Examples of effective cross-cultural development include the following:

Engage in self-awareness re�lective activities such as the Twenty Statements Test (see the assessment box below). Create simulations that “plunge students into a state of uncertainty and confrontation, yet discovery and excitement that evokes the sensation of culture shock” (Ramburuth & Welch, 2005, p. 11). A popular cultural simulation is the game Bafa Bafa. Engage in multicultural teamwork. Perform case studies. Engage in immersion experiences or exchange programs.

Assessment: The Twenty Statements Test

The Twenty Statements Test (TST) (Kuhn & McPartland, 1954) is a long-standing psychological and social psychological assessment that asks participants to re�lect on their sense of self by providing answers to 20 questions that ask the participant, “Who am I?” Answers usually re�lect the various roles participants play and give clues to their culture. The assessment is simple to administer; an example is provided for you to try (see Figure 8.3). Download an interactive version of this assessment by clicking here (https://media.thuze.com/MediaService/MediaService.svc/constellation/book/AUBUS370.14.1/{pdfs}sec_8.2.pdf) .

Figure 8.3: Twenty Statements Test

Source: Cultural Intelligence Center.

1. Notice the words used to describe yourself. What did you emphasize? What do you notice? 2. Did you include any of these typical descriptors?

a. Physical description (height, weight, skin color, eye color) b. Social roles (student, spouse, employee, parent) c. Personal traits (competitive, adventurous, quiet) d. Existential statements (spirituality or values statements such as “I believe in equality for all.”)

3. What did you learn about yourself? Others? 4. How might this new knowledge assist you in cross-cultural interactions?

Take Away 8.2: Diversity and Inclusion Interventions

Building cultural awareness increases organization members’ consciousness of and appreciation for cultural differences. Developing cultural awareness promotes more effective group and team processes. Cross-cultural development provides participants with the education and experience to effectively navigate multicultural groups and teams and to travel abroad for business.

Jetta Productions/Iconica/Getty Images Con�lict can be productive when it is steeped in ideas. When it becomes personal, it can be destructive and require an intervention.

8.3 Con�lict Management

“A con�lict is a problem in which two or more people have a difference of opinions, methods, goals, styles, values, and so on” (Brounstein, 2001, p. 155). Con�lict exists in every organization and is normal. Moreover, con�lict has a positive side, since it stimulates new solutions and helps clarify issues.

OD consultants may be called on to resolve con�lict between individuals or groups. These con�licts usually involve business concerns or working relationships. Often, OD consultants become aware of con�lict while implementing an intervention for another concern. Therefore, OD consultants need to be aware of the symptoms of con�lict. These include the following behaviors:

Ideas are attacked before they are completed. Comments are made with vehemence. Members belittle one another’s ideas or the ability of the group or team. Members accuse one another of not understanding. Members distort one another’s ideas. Members are impatient with one another. Members stick to their own points rather than �inding common goals or ground. Members take sides. Suggestions do not build on previous suggestions. Little movement is made toward resolution. We–they (win–lose) pressures and attitudes prevail. Members provoke, attempt to control, and give advice.

OD consultants can help clients develop attitudes that are conducive to resolving con�lict by cultivating

a mutual belief in the availability and desirability of �inding a solution; a recognition that con�lict is a natural part of relationships; empathy for others’ views; a commitment to cooperation, not competition; realization that the process must gravitate from problem identi�ication to solution; methods to minimize the power and status differences that elicit defensiveness and guarded communication; a belief that the other party can compete, but opts to cooperate; an attitude of self-examination to assess whether you are part of the problem or the solution; awareness of the limitations of arguing; ardent practice of dialogue; and a belief that differences of opinion (not interpersonal strife) are helpful.

Con�lict can be resolved by developing interpersonal skills, team building, and teamwork. Often, those in con�lict need to learn to recognize and value different perspectives, build self-awareness of their biases, improve communication skills, and devise solutions that reconcile the con�licting interests (Burn, 2004). Defusing con�lict can be accomplished through dialogue, trust-building activities, negotiation, or third-party intervention (when a neutral party attempts to resolve con�lict). This section pro�iles con�lict resolution through confrontation meetings, role negotiation and analysis, third-party intervention, and appreciative inquiry.

Confrontation Meetings

A gathering that aims to identify problems, set priorities and targets, and begin working on identi�ied problems is known as a confrontation meeting (Beckhard, 1967). Confrontation meetings can be used any time and are especially useful when the organization is in stress and communication problems characterize the relationship between workers and top management.

Why Do OD Consultants Do Confrontation Meetings?

Confrontation meetings allow timely intervention around a problem or issue. The process seeks broad participation from employees who represent the entire organization. Confrontation meetings work best when management is strongly committed to solving the problems that are communicated and when participants are committed to �inding a solution. Confrontation meetings are also used when communication must be immediately improved, employee morale needs a boost, the culture needs adjusting, relationships are suffering, and solutions are needed.

Confrontation meetings provide top management with speci�ic data regarding organization conditions and recommended actions from employees. The process involves multiple levels and gives top management the opportunity to identify key priorities. The entire process engages the organization in problem solving, decision making, strategic planning, and committing to action.

How Do OD Consultants Facilitate Confrontation Meetings?

Consultants facilitate confrontation meetings by gathering relevant stakeholders. The goal of the meeting is to identify problems about the work environment and the organization’s effectiveness. The attendees are organized into smaller groups that represent all of the organization’s departments, but members who have a direct reporting relationship should not be grouped together. These departmental groups are tasked with candidly identifying organizational problems. The ground rules emphasize that neither individuals nor groups will be criticized for raising issues. Usually groups are challenged to see who can raise the most issues.

After the groups have generated issues or problems, they reconvene and hear reports from each group. Next, issues are consolidated and categorized. Participants are divided into problem-solving groups; the composition of these usually differs from the original problem-identi�ication groups, depending on the issues raised. Each group ranks the problems it has been assigned, creates action plans, and determines an appropriate timetable for completing them.

Each group then periodically reports its list of priorities and tactical plans of action to management as a follow-up to the original meeting. The steps of a confrontation meeting are presented in Table 8.4.

Table 8.4: Confrontation meeting steps

Step Time Description

Climate setting 1 hour Management explains the confrontation meeting purpose and objectives and shares more background on the issue or problem. Open dialogue is invited.

Step Time Description

Information collection

1 hour The group is divided into smaller groups of six to eight participants representing functional areas as much as possible. Managers and subordinates are separated. Topics for information collection may include

1. concerns, 2. obstacles to progress, 3. demotivators in the culture, 4. problematic policies or procedures, 5. goals, 6. other topics as appropriate, and 7. key things that would improve the organization.

Information sharing 1 hour Each group appoints a reporter to share its information, usually put on a �lip chart or projected for everyone to see. The consultant helps identify major categories of issues and sorts them into groups, with input from participants.

Priority setting and group planning

1 hour + The entire group engages itself in a conversation about the categories. Individuals work to rank the categories in terms of priority. Participants shift into their functional groups to engage in planning, including managers. Each group is asked to

1. dialogue about the problems and issues raised, 2. identify how the issues impact the group, and 3. propose actions or solutions that the group is willing to commit

to.

Organization action plan

2 hours Participants return to a “group of the whole.” Each functional unit reports its priorities, commitments, and plans. Top management is asked to react to this list and commit to action where needed. Participating units also share how they will communicate the results to colleagues not attending the session.

Immediate follow- up by top team

1 to 3 hours

Top management team convenes immediately after the confrontation meeting ends to plan how it will follow up. Management shares its plan within a week.

Progress review Ongoing Progress on commitments is assessed periodically as groups present to the top management team.

Third-Party Intervention

When individuals or groups are unable to resolve con�licts on their own and enlist a neutral party to provide either mediation or arbitration, they are engaged in third-party intervention. Mediation is when a third party, after learning about the con�lict, makes nonbinding recommendations to the parties. Arbitration is similar to mediation, but the recommendations are binding. Mediation tends to be the preferred type of third-party intervention in OD. Organizations often train internal members to serve as mediators, but mediators can also be external.

Why Do OD Consultants Do Third-Party Intervention?

Third-party intervention is warranted when a con�lict has become personal and debilitating to the individuals in con�lict and/or those around them, and the individuals are unable or unwilling to engage in con�lict-resolution activities themselves. Third-party intervention requires the consent of the individuals embroiled in con�lict and is usually sought by colleagues and/or managers who are exasperated by the con�lict and the challenges it poses to the work environment.

How Do OD Consultants Facilitate Third-Party Intervention?

Mediation is usually a 3-stage process:

Stage 1, or setting the stage, is when the mediator spells out ground rules between the disputants and gathers information about the con�lict. Stage 2, problem solving, is when solutions are generated. Stage 3, achieving a workable agreement, encourages the disputants to settle the disagreement with a win– win outcome (Burns, 2004).

If the con�lict escalates, the mediator may have to meet with the parties separately.

Burns (2004) outlined the following steps for facilitating mediation:

1. Initiate direct contact between disputants only if hostility is low and common ground is high. When hostility is high, direct contact may escalate the con�lict. Therefore it is advisable to “caucus” with the two parties separately to identify underlying interests and present the other side’s position in a sympathetic way.

2. Teach the disputants constructive communication skills and negotiation concepts so that direct communication and resolution become possible.

3. Situate the negotiations at a neutral site to prevent one side from gaining a tactical advantage, and to enhance mediator control.

4. Promote trust between the parties by emphasizing overlapping interests and by encouraging both to make small but irrevocable concessions to show they are committed to the conciliatory process.

5. To cool off parties’ emotions, listen carefully and sympathetically to participants’ expressions of emotions such as anger and resentment, holding caucuses with each side.

6. Use the parties’ underlying interests to come up with integrative solutions. 7. Emphasize superordinate goals (common objectives) to promote cooperation. 8. Frame agreements in such a way that each side can make concessions without appearing weak. 9. To create a sense that agreement is possible, arrange the issues so that participants can work on easier

issues �irst. 10. After signi�icant progress has been made toward integrative solution, impose a deadline by which a �inal

agreement should be reached. Do not impose a deadline too early because time pressure makes joint problem solving less likely. (p. 208)

Appreciative Inquiry

As discussed in Chapter 2, appreciative inquiry (AI) was originated by Cooperrider, Barrett, and Srivastva (1995). It is an OD process that focuses on renewal, change, and performance. It can be used to resolve con�lict or engage in strategic planning or visioning. AI follows steps similar to the action research model. The major departure is that rather than analyzing the organization’s strengths and weaknesses, AI focuses only on the positive aspects of the issue or culture. AI frames questions and future visioning positively, seeking to identify the basic goodness in a person, a situation, or an organization with the result of enhancing the organization’s capacity for collaboration and change.

Why Do OD Consultants Do Appreciative Inquiry?

Appreciative inquiry can be used for several reasons. The organization may be in a rut and have dif�iculty envisioning a solution or desired future. Because AI reverses the human tendency to focus on the negative, it can help organizations see issues in a new light. It may also help shift the organization from a de�iciency mindset to a more opportunistic one.

How Do OD Consultants Facilitate Appreciative Inquiry?

AI uses a 4-stage process that focuses on the following:

1. Discover: identify organizational processes that work well. 2. Dream: envision processes that would work well in the future. 3. Design: plan and prioritize processes that would work well. 4. Destiny (or Deliver): implement (execute) the proposed design.

AI’s precept is to build on what works instead of trying to �ix what does not. McLean (2006) suggests that anecdotal research shows it may be bene�icial, particularly for organizations with a recent trauma such as a hostile takeover or downsizing. Although AI may be useful in bolstering morale and understanding an organization’s strengths, it may also sti�le dialogue on dif�icult issues and reinforce existing power arrangements and further privileging management.

Take Away 8.3: Con�lict Management

Confrontation meetings can be effective during times of organization stress and change when there is potential for miscommunication between employees and management. Participants identify issues, and management responds to them. Third-party intervention or mediation features an objective, neutral party that hears both sides of the con�lict and makes nonbinding recommendations to the feuding parties. Appreciative inquiry can be used to resolve con�lict by shifting group members away from negatives, problems, and de�iciencies and toward opportunity, positive attributes, and possibilities.

8.4 Problem Solving and Decision Making

Another group of interventions are used to help organizations solve problems and make decisions in ways that promote continuous improvement and innovation. Pro�iled interventions include total quality management, quality of work life, problem-solving models, and Work-Out.

Total Quality Management

Total quality management (TQM) is a comprehensive approach to employee involvement that aims to create high- quality goods and services that exceed customer expectations through a process of continuous improvement. This method is therefore also known as continuous process improvement. TQM programs involve employees in activities focused on quality improvement. These usually are accompanied by extensive training, information sharing, shared decision making, and performance-based rewards systems.

Engineers W. Edwards Deming (1982) and Joseph Juran (1974) introduced TQM to the US during World War II. Their ideas had more traction in Japan, and it was not until the 1980s that TQM received serious attention in the US. TQM follows a plan, do, check, act cycle (Deming, 1982, 1986) that is similar to the phases of action research.

Why Do OD Consultants Do TQM?

TQM helps organizations improve quality and minimize costs. It also helps reduce errors and defects in products and services. TQM promotes employee involvement because it develops quality-improvement teams. It also helps participants

learn to use problem-solving models; develop new skills in interpersonal communications, leadership, and facilitation; and incorporate best practices that meet or exceed expectations.

This, in turn, translates into higher competitiveness, productivity, cost reduction, market share, and job security.

How Do OD Consultants Do TQM?

Several steps have been proposed for TQM implementation. Table 8.5 offers examples from well-known quality gurus Deming (1986), Juran (1974), and Crosby (1979), all prominent leaders in the quality movement.

Table 8.5: Quality gurus’ points

Deming Juran Crosby

Deming Juran Crosby

1. Create constancy of purpose.

2. Adopt the new philosophy of quality.

3. Cease dependence on mass inspection.

4. End practice of choosing suppliers based on cost.

5. Identify problems and continuously improve system.

6. Adopt modern training and development methods on the job.

7. Change focus from quantity to quality.

8. Drive out fear. 9. Break down barriers

between departments. 10. Stop requesting increased

productivity without providing methods to achieve it.

11. Eliminate standards and quotas.

12. Remove barriers to pride of workmanship.

13. Vigorously educate and retrain.

14. Create enabling management.

1. Build awareness of opportunities to improve.

2. Set goals for improvement. 3. Organize to reach goals. 4. Provide training. 5. Carry out projects leading to

problem solving. 6. Report progress. 7. Give recognition. 8. Communicate results. 9. Keep score.

10. Keep momentum strong for continuous quality improvement.

1. Management commitment. 2. Quality-improvement

teams. 3. Quality measurements. 4. Cost of quality. 5. Quality awareness. 6. Corrective action. 7. Zero defects planning. 8. Supervisor training and

development. 9. Zero defects day.

10. Goal setting. 11. Error cause removal. 12. Recognition. 13. Quality councils. 14. Do it all over again.

Deming (1986) also identi�ied “seven deadly sins” that organizations should avoid if they are seeking TQM:

1. lack of constancy of purpose; 2. emphasizing short-term pro�its and immediate dividends; 3. evaluation of performance, merit rating, or annual review; 4. mobility of top management; 5. running a company only on visible �igures; 6. excessive medical costs; and 7. excessive costs of warranty.

TQM initiatives require long-term senior management commitment, member training in quality methods, creating quality-improvement projects, measuring progress, and rewarding accomplishments.

Quality of Work Life Programs

Quality of work life (QWL) programs are also known as employee involvement programs. QWL emerged as a reaction to the workplace’s poor quality-of-life conditions. This concept has evolved over time into participative

management programs. Four key elements are generally regarded as important for effective employee involvement or QWL:

1. Power—when employees have authority to make work-related decisions. This is also referred to as “empowerment.”

2. Information—when employees have timely access to relevant information to foster decision making. 3. Knowledge and skills—when employees are given the proper training and skills to effectively function. 4. Rewards—when employees are recognized for results.

QWL programs yield improved communication, coordination, motivation, capability, and productivity.

Why Do OD Consultants Do QWL?

QWL interventions seek to develop organization climates that are conducive to healthy workplaces; that is, workplaces that maintain a comfortable balance between life and work for employees. QWL initiatives actively involve employees in shaping organization life. There are at least four principles of QWL that serve as a rationale for doing it (Herrick & Maccoby, 1975):

1. Security: the principle of humanism, which undergirds OD, implies a workplace free from anxiety, fear, or loss of employment. Additionally, workers’ health and safety are protected.

2. Equity: an organization characterized by fairness and justice, including pro�it sharing. 3. Individuality: honoring the uniqueness of employees and encouraging them to develop to their full potential

and competence. 4. Democracy: valuing broadly shared authority and responsibility among employees, including decision

making and problem solving.

How Do OD Consultants Do QWL?

Lawler (1982) identi�ied several characteristics of participative systems such as QWL or employee involvement:

The programs depend on participative organization systems that have a �lat, lean, team-based organization structure that is designed around participative structures and decision making. The programs often have self-managing teams. Training is heavily emphasized, including peer training, economic education, and interpersonal skills. Information is transparently shared via open job postings, decentralized team management, participative goal setting, and open-door policies. The reward system is open, skill-based, and egalitarian, often incorporating gainsharing or shared ownership of the enterprise, �lexible bene�its, and an all-salaried workforce. Selection of coworkers is an open process that seeks team input. It is centered on hiring right-�it employees by giving them a realistic preview of the job and seeking out employees who will contribute to the organization’s participative nature. The organization is safe and pleasant and the personnel policies transparent and egalitarian. Organizations implementing high-involvement programs seek to improve employee attraction and retention, motivation, productivity, and employee well-being and satisfaction (Cummings & Worley, 2009).

Problem-Solving Models

Most groups and teams do not function for long before they encounter a problem to solve. Without any knowledge of team process or steps to resolve issues, teams may �lounder and fail to achieve results. Applying a problem-solving model helps teams stay focused and on task.

Why Do OD Consultants Do Problem Solving?

Problem solving is warranted when the issue is complex, has implications for numerous stakeholders, and has is no de�initive solution. For example, many American communities struggle with developing safe, walkable, bikable routes that also allow vehicular traf�ic. There are many options and much disagreement about what the best solution is. This type of complicated issue that has multiple solutions is a perfect candidate for a problem-solving intervention.

Problem solving is also advisable when information from multiple sources is required to make an informed decision about appropriate courses of action, especially when experts have highly biased views on what makes the most sense. Regarding the safe routes issue again, pedestrians, cyclists, and motorists all have different views on what to do. Expert community developers and road scientists would also take different approaches.

Problem solving as in intervention has both advantages and disadvantages, as noted in Table 8.6.

Table 8.6: Disadvantages and advantages of problem solving as an OD intervention

Disadvantages Advantages

Competing interests that can escalate into unproductive con�lict. Unwillingness to listen to differing viewpoints. Conformity or tendency for individuals to try to reach a consensus before all options have been effectively vetted and because they want to avoid con�lict. Lack of objective facilitation. Problem-solving groups require a leader who can provide balanced, neutral guidance to the direction and content of the discussion. Time constraints. Effective problem solving takes more time than arbitrary decisions reached by individuals. Often the group loses patience and seeks the option that allows the process to �inish as quickly as possible.

Diverse input based on different experience, knowledge, views, and values. This yields a larger volume of potential ideas and solutions. Cross-fertilization of ideas between members of the group. Reduced bias due to a collective responsibility for acting on the problem and challenges from group members to avoid prejudice. Increased risk taking due to the shared responsibility in the outcome. Higher commitment based on a “we’re all in this together” mindset where the group has valued individual and collective contributions to the process. Improved communication around potential solutions, con�licts, and decisions. Better solutions that use the critical thinking and broad thinking of the group.

How Do OD Consultants Do Problem Solving?

High-performing teams, as well as TQM and QWL processes, usually incorporate problem-solving models that follow a series of steps, such as:

1. Identify the problem. 2. Get speci�ic. De�ine the following:

a. Nature of the problem—what exactly do we mean by “the problem”? b. Cause—why does the situation exist? Why is it occurring? c. Scope—how widespread is the problem? To what extent does it exist? Who and what does it affect? Is it

large or small? d. Severity—”How bad is it?” e. Is it a regular or an occasional event?

3. Diagnose the problem (this is where the root cause is determined. Previous steps allow us to make an accurate diagnosis).

4. Set objectives for solving the problem. 5. Identify potential constraints on problem solving. 6. Develop a plan for overcoming constraints and solving the problem. 7. Evaluate the plan. 8. Implement the plan. 9. Monitor and evaluate the plan after implementation.

A formal and intensive method of engaging in team problem solving is a Work-Out. Also referred to as a town meeting or step-level meeting, a Work-Out involves considerable planning. The following tasks need to be completed in advance:

Identify the facilitator(s). Select a problem for the group to work on. Secure management support. Identify potential participants. Prepare participants for what to expect. Select and prepare the site.

The event itself proceeds as follows:

1. A group of employees and other appropriate stakeholders convenes with their manager at an off-site location.

2. The manager charges the group with solving a problem or set of problems shared by the group that ultimately falls under the manager’s responsibility.

3. The manager leaves and the group spends 2 or 3 days working on devising solutions to the problems under the guidance of skilled outside facilitators or consultants.

4. At the conclusion of the meeting, the manager returns, along with her or his boss, to learn the group’s recommendations.

5. The manager has a choice of three responses to each recommendation: a. “Yes.” b. “No.” c. “I have to consider it more” (in which case the manager clari�ies what must be considered and how and

when the decision will be made). 6. The process is strongly supported by management. Resistance to the process or outcome is not tolerated

and is considered a career-limiting move.

Who Invented That? Work-Out

Work-Out was developed at General Electric during the late 1980s as an intensive approach to team problem solving (Ashkenas & Jick, 1992; Cosco, 1994; Tichy & Charan, 1989). Work-Out played a key role in the company’s notable performance over the past decade and has been implemented in many other organizations. Dave Ulrich, Steve Kerr, and Ron Ashkenas created Work-Out. You can read more about the process in their book:

Ulrich, D., Kerr, S., & Ashkenas, R. (2002). The GE Work-Out: How to Implement GE’s Revolutionary Method for Busting Bureaucracy & Attacking Organizational Problems—Fast! New York: McGraw Hill.

Work-Out is a useful intervention because it reinforces an existing or desired culture of fast problem solving, broad employee involvement, employee empowerment, dialogue across organization levels, accountability for solutions and results, and continuous improvement. Doing a Work-Out is not cheap, given that it requires external facilitation and a group of employees to go off-site for a few days. However, it

signals to the organization that there is a commitment to invest resources in seeking employee input and solving problems in a timely fashion.

Take Away 8.4: Problem Solving and Decision Making

Total quality management (TQM) uses a process of continuous improvement to solve problems, make decisions, and function in ways that yield high-performing teams, products, and processes. Quality of work life (QWL) programs seek to involve and empower teams to make decisions and problem solve in ways that enhance the workplace and its productivity. Problem-solving models provide steps for groups and teams to follow as they attack challenges such as mistakes, errors, defects, or interpersonal con�lict.

Summary and Resources

Chapter Summary Using the inquiry-based discourse of dialogue (instead of discussion) promotes learning and understanding among team members. The team life cycle represents the various stages teams undergo as they form and develop procedures and working relationships. The stages are forming, storming, norming, and performing (and sometimes adjourning). Team start-up or transition helps acclimate teams to new members or new challenges by establishing clear goals, providing training, creating support structures (e.g., facilitation guidelines, meeting structures, problem-solving procedures), and evaluating progress. Team building is the process of helping teams perform more effectively and ef�iciently via relationship- building and team-management procedures (e.g., clear roles and responsibilities). Team learning attempts to harness the team’s knowledge and use action learning to address challenges and problems.

Virtual teams use technology to mediate their communication and work; they are increasingly common and important for organizations to compete and accomplish in global markets. Building cultural awareness increases organization members’ consciousness of and appreciation for cultural differences. Developing cultural awareness promotes more effective group and team processes. Cross-cultural development provides participants with the education and experience to effectively navigate multicultural groups and teams and to travel abroad for business. Third-party intervention or mediation features an objective, neutral party that hears both sides of the con�lict and makes nonbinding recommendations to the feuding parties. Appreciative inquiry can be used to resolve con�lict by shifting group members away from negatives, problems, and de�iciencies and toward opportunity, positive attributes, and possibilities. Total quality management (TQM) uses a process of continuous improvement to solve problems, make decision, and function in ways that yield high-performing teams, products, and processes. Quality of work life (QWL) programs seek to involve and empower teams to make decisions and problem solve in ways that enhance the workplace and its productivity. Problem-solving models provide steps for groups and teams to follow as they attack challenges such as mistakes, errors, defects, or interpersonal con�lict.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Re�lect on a team you belong to and see if you can pinpoint Tuckman’s (1965) stages of group development

(forming, storming, norming, and performing). 2. Think of a group (versus a team) to which you belong. See how many of the characteristics of groups versus

teams �it your experience. 3. Re�lect on your own cultural identity and awareness and think about how it affects the groups and teams to

which you belong. 4. Think of a con�lict you are currently experiencing and characterize it based on the information presented in

the chapter.

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Practice dialogue in your conversations for 1 day and jot down your experiences. What did you notice? What

did you learn? What was challenging? 2. Pick �ive tips from the virtual teams section and apply them the next time you have a virtual meeting. What

was the impact of changing your behavior? 3. Take the cultural intelligence quotient. What are your strengths? What are your opportunities to learn? 4. Take the Twenty Statements Test with a family member or friend and follow the debrie�ing questions listed

in the chapter. 5. Identify the problem-solving and decision-making tools you have used. 6. Practice appreciative inquiry on a problem you are experiencing. 7. Identify a problem you want to resolve and follow the problem-solving steps presented in this chapter.

Additional Resources Media

Tuckman’s Stages of Team Development

https://www.youtube.com/watch?v=P_HZd5rAF6g (https://www.youtube.com/watch?v=P_HZd5rAF6g)

Con�lict Resolution

https://www.youtube.com/watch?v=KY5TWVz5ZDU (https://www.youtube.com/watch?v=KY5TWVz5ZDU)

Problem-Solving Strategies

https://www.youtube.com/watch?v=4U04TbCR28g (https://www.youtube.com/watch?v=4U04TbCR28g)

Web Links

Group or Team Process and Development

Infed, which provides a space for people to explore education, learning, and social action.

http://infed.org/mobi/bruce-w-tuckman-forming-storming-norming-and-performing-in -groups (http://infed.org/mobi/bruce-w-tuckman-forming-storming-norming-and-performing-in-groups)

Research Center for Group Dynamics, whose mission is to advance the understanding of human behavior in social contexts.

http://www.rcgd.isr.umich.edu (http://www.rcgd.isr.umich.edu)

Diversity and Inclusion

Skills USA Diversity and Inclusion, a partnership of students, teachers, and industry leaders that work together to ensure America has a skilled workforce.

http://www.skillsusa.org/about/inclusion.shtml (http://www.skillsusa.org/about/inclusion.shtml)

Con�lict Management

U.S. Institute of Peace Con�lict Styles Assessment, provided by the independent, nonpartisan con�lict-management center created by Congress in 1984 to prevent, mitigate, and resolve international con�lict without resorting to violence.

http://www.buildingpeace.org/act-build-peace/learn/con�lict-styles (http://www.buildingpeace.org/act-build- peace/learn/con�lict-styles)

Appreciative Inquiry Commons, a worldwide portal devoted to sharing academic resources and practical tools on appreciative inquiry.

http://appreciativeinquiry.case.edu (http://appreciativeinquiry.case.edu)

Problem Solving and Decision Making

American Society for Quality, which provides the quality community with training, professional certi�ications, and knowledge to a vast network of members of the global quality community.

http://www.asq.org (http://www.asq.org)

Association for Quality and Participation, which provides learning and recognition opportunities to help people, teams, and organizations achieve performance excellence.

http://www.aqp.org (http://www.aqp.org)

American Productivity and Quality Center, a member-based nonpro�it and a leading proponent of business benchmarking, best practices, and knowledge management research.

http://www.apqc.org (http://www.apqc.org)

International Society of Six Sigma Professionals, which exclusively promotes the interests of Six Sigma professionals.

http://www.isssp.com (http://www.isssp.com)

Memory Jogger resources from Goal/QPC (http://www.goalqpc.com (http://www.goalqpc.com) ) such as:

Brassard, M. (1989).The Memory Jogger Plus+™: Featuring the Seven Management and Planning Tools. Methuen, MA: Goal/QPC.

Brassard, M., & Ritter, D. (1994).The Memory Jogger™ II: A Pocket Guide of Tools for Continuous Improvement and Effective Planning. Salem, NH: Goal/QPC.

Key Terms

arbitration When a third party hears a con�lict and makes a binding resolution.

con�lict When two or more people have a difference of opinions, methods, goals, styles, or values.

confrontation meeting A gathering that aims to identify problems, set priorities and targets, and begin working on identi�ied problems.

cross-cultural development Education aimed at helping individuals and teams engage with increasingly diverse, cross-cultural groups and build capacity for inclusion.

cultural awareness Competence in dealing with diversity and inclusion in organizations.

diversity The increasingly multicultural and varied composition of the workforce.

group Three or more people bound by common perceptions, motivations, goals, or organization membership.

group or team life cycle Stages of development that groups pass through to become high performing: forming, storming, norming, and performing.

mediation When a third party hears a con�lict and makes a nonbinding resolution.

problem solving De�ined steps to work in the process of addressing issues, from problem identi�ication to resolution.

team Three or more individuals working together toward a common goal.

team learning A process that builds a team’s capacity to create and share new knowledge in a way that bene�its the organization.

third-party intervention When individuals or groups cannot resolve problems on their own and involve a mediator or arbitrator to provide neutral assistance.

virtual teams Teams that function through computer-mediated communication across different geographical and time zones.

Work-Out An intensive approach to team problem solving.

9 Organization-Level Interventions

John Lund/Blend Images/Getty Images

Learning Objectives

After reading this chapter, you should be able to:

Discuss the role of vision, mission, and values in driving organization-level change.

Describe key activities that facilitate strategic planning, such as environmental scanning, SWOT analysis, SMART goals, and scenario planning.

Of the various organization designs, identify those that best facilitate the organization’s mission and those that need to be reorganized or restructured.

Explain how learning can be used strategically, such as by capturing organization learning and developing a strategic learning organization.

Explore how culture in�luences organizations and can be changed through interventions, including diversity and inclusion initiatives.

Describe key talent management interventions, such as talent management strategy and succession planning.

Examine the role of large-scale interactive events for organization change.

A nonpro�it health care organization had been struggling to keep its doors open. When the region’s largest employer went out of business, the size and needs of the population served by the organization rose signi�icantly; it was becoming increasingly dif�icult to provide services to clients. The executive director, Jane, was relatively new and decided the organization needed to improve its ability to raise funds. Jane contracted with an OD consultant, Jeff, to address the issue.

Jeff took Jane and the organization through the action research process to discover the root cause of the problem. He began by collecting data. He reviewed the organization’s website and brochures and interviewed employees, donors, and clients. After analyzing the data, he concluded that the organization was not clearly communicating its mission and services well enough and that it lacked a strategic plan. Jeff also suspected that the organization design was not conducive to carrying out its work.

Jeff and Jane began to address this problem by holding a retreat. During the retreat, board members and staff engaged in numerous exercises to express, clarify, and revise their mission, vision, and values statements. For example, they spent time identifying the organization’s strengths, weaknesses, opportunities, and threats over the short, mid-, and long term. They imagined various scenarios that would create very different outcomes for the organization, such as changes in health care coverage, escalating expenses, a new employer moving into town, future company closures, and an electronic medical record.

Immediately following the retreat, the organization updated its website, letterhead, and brochures to re�lect its more concise mission, vision, and values. Jeff and Jane also worked with the board on developing a 5-year strategic plan that included more aggressive communication to potential donors, increased fund-raising efforts, and enhanced diversity of both its board members and donor base.

Part of the strategic plan included reorganizing the nonpro�it around its programs to more readily respond to its distinct stakeholder groups, such as patients and insurance companies. The reorganization was preceded by a large- scale event that brought together employees, patients, other health care providers, board members, and other local nonpro�its that worked closely with the organization to plan for the future and how best to meet its needs. Each of these steps will be illuminated in the following sections.

Organization-level OD interventions tend to be more comprehensive and long term than individual and group interventions. Their goal is to help the organization set direction, determine strategy, solicit feedback, facilitate learning, manage knowledge, change the culture, value diversity, develop the workforce, and manage day-to-day activities. Although the list of potential interventions is endless, this chapter introduces the range and variety of interventions that are typically used in OD. These can be categorized into seven areas, including mission, vision, or values development; strategic planning; organization design; learning infrastructure; culture; talent management; and large-scale interactive events (see Table 9.1). The �irst of these is the development of mission, vision, and values statements.

Table 9.1: Categories of individual OD intervention

Mission, vision, and values development

Strategic planning

Organization design

Learning infrastructure

Culture Talent management

Large- scale interactive events

Mission, vision, and values development

Strategic planning

Organization design

Learning infrastructure

Culture Talent management

Large- scale interactive events

Mission Environmental scanning

Organization structure

Organization learning

Culture change

Talent management strategy

Interactive strategic planning

Vision SWOT analysis Reorganization Learning organization

Diversity and inclusion

Succession planning

Future search

Values SMART goals

Scenario planning

Conference model redesign

Open space technology

Simon Dawson/Bloomberg via Getty Images An organization’s mission is its reason for being. It is usually based on a central product or service. Shown here is eBay’s mission statement.

9.1 Mission, Vision, and Values Development

If an organization is to communicate its core beliefs to the world, it must have a clear and concise statement of its mission, vision, and values. Start-up, merged, or signi�icantly reorgan-ized organizations need to develop or revise these statements, and even established organizations should revisit them periodically. OD consultants often get involved in these efforts. Take a moment to jot down the vision, mission, and values of your organization. Can you do it from memory? If not, you are in good company, since most employees and other organization stakeholders cannot; this signals that these statements are probably in need of some revision.

Mission

A mission statement explains why an organization exists. It identi�ies the organization’s target audience and the product or service it provides in a way that expresses the organization’s core values. Good mission statements are easy to remember and describe.

Why Do OD Consultants Advocate Mission Statements?

Mission statements create boundaries of service, motivate staff, and help evaluate whether the organization has met its goals. They succinctly communicate the organization’s purpose to both the internal and external world. They can also help focus strategic planning, product development, and innovation.

How Do OD Consultants Help Organizations Create Mission Statements?

There are three parts of a good mission statement: the audience, the product or service, and the evaluative measures. Consider a social media company’s mission statement to evaluate these elements:

“TechConnect’s mission is to give people the power to communicate and connect worldwide.”

Audience: The audience de�ines whom the organization serves. TechConnect is boundaryless to people who have access to a device and an Internet connection. TechConnect’s audience is “people . . . worldwide,” as noted in the statement. Product or service: The product or service identi�ies what the organization provides. TechConnect’s service is social networking, with the aim of openly connecting the world. Evaluative measures: Evaluative measures are the standards by which the organization can be judged in terms of whether it is achieving its mission. TechConnect’s mission is to connect people throughout the world. How well it is doing that might be measured by the number of users, ad revenue, or site traf�ic.

Mission statements should be short, succinct, and easy to remember, like the ones listed earlier in this section. Management guru Peter Drucker was known to have advocated mission statements that were no longer than eight words and could easily �it on a T-shirt. In his opinion, anything larger was simply too long (Wartzman, 2012). Chances are, if you cannot state an organization’s mission, it may not be a good statement.

You can use Figure 9.1 to write your own mission statement or evaluate your organization’s mission according to how well it articulates audience, product or service, and evaluative measures.

Figure 9.1: Mission statement assessment worksheet

Use this worksheet to write or evaluate your organization’s mission statement. Download an interactive version of this assessment by clicking here (https://media.thuze.com/MediaService/MediaService.svc/constellation/book/AUBUS370.14.1/{pdfs}�ig_9.1.pdf) .

Jeff and Jane, from the opening vignette, planned a retreat with staff and the board, who used their time away to craft a mission statement that could be communicated more succinctly. A list of exemplary mission statements can be found at http://topnonpro�its.com /mission-statements (http://topnonpro�its.com/mission-statements) .

Vision

A vision statement articulates an organization’s desired end state. When the organization is able to articulate its image of a desired future—that is, where it wants to go and what it will be like once it gets there—it has clear vision (Senge, Kleiner, Roberts, Ross, & Smith, 1994). Although leaders are responsible for formulating vision, Senge and colleagues (1994) argue that fostering and ful�illing the vision is everyone’s responsibility. Examples of good vision statements include:

Motorcycle Company: “To awaken adventure through motorcycling”

Wine Maker: “To be the world’s most distinguished producer of �ine wines”

Chain Restaurant: “To create a �irst-rate, accessible dining company”

Why Do OD Consultants Advocate Vision Statements?

Noting that “not all visions are equal,” (p. 299) Senge and colleagues (1994) identify several attributes that make a vision powerful. Powerful visions “tap into an organization’s deeper sense of purpose and articulate speci�ic goals that represent making that purpose real, [and] have unique power to engender aspirations and commitment” (Senge et al., 1994, p. 299).

Creating a shared vision requires stakeholders to re�lect on the organization’s purpose and future. Senge and colleagues (1994) equate building shared vision with building shared meaning that yields a collective sense of what is important.

How Do OD Consultants Help Organizations Development Vision Statements?

The consultant helps the client determine how it hopes its products or services might change the world. The statement should capture the organization’s dream; it is a picture of the organization’s ultimate success.

There are multiple methods for creating vision statements. These include simple wordsmithery and generative activities in which multiple participants identify key vision ideas that are collated and ranked. Other companies may use exercises involving pictures and visual aids to create images of the desired future. Table 9.2 compares the characteristics of vision and mission statements.

A list of exemplary vision statements can be found at http://topnonpro�its.com/vision -statements (http://topnonpro�its.com/vision-statements) .

Table 9.2: Comparing mission and vision statements

Mission statements: Why the organization exists

Vision statements: The organization’s desired end state

Succinct one-sentence statement explaining why the organization exists. It should

1. be simple and clear, 2. avoid jargon, 3. be easily memorable, 4. be distinctive, and 5. not be confused with vision statement.

Succinct one-sentence statement describing the organization’s long-term desired end state. It should

1. be simple and clear, 2. avoid jargon, 3. be easily memorable, and 4. not be confused with a mission

statement.

Examples of mission and vision statements

Automobile Company Mission Go the Distance: We Go the Distance to exceed the expectations of our customers in quality and performance.

Automobile Company Vision To be the world's leading provider of automotive products and services.

Children’s Hospital Mission Committed to Making them All Better: We make children better today, and healthier in the future.

Children’s Hospital Vision To transform the landscape of pediatric healthcare and improve the health of all children.

Values

An organization’s values are principles that govern how the organization expects to function in pursuit of its vision. OD consultants are often hired to help the organization clarify and articulate its values, along with its mission and vision.

Why Do OD Consultants Help Clients Develop Values Statements?

A values statement brings the mission and vision statements to life by describing what the organization believes in and how it will behave. These statements signal the organization’s beliefs and culture. Values statements can serve as a moral compass for the organization by de�ining leadership expectations, establishing standards, and guiding decisions.

How Do OD Consultants Help Clients Develop Values Statements?

Values are usually derived in conjunction with mission and vision statements. They are generally based on consensus and ideally involve input from top management and stakeholders across the organization.

What are the values of an organization of which you are part?

OD interventions often center on helping organizations articulate their mission, vision, and values in a collective process that is developmental. It may involve other visioning interventions introduced later in this chapter, such as a Future Search Conference, SWOT analysis, or environmental scanning. Creating the mission, vision, and values statements are often an integral part of strategic planning.

Take Away 9.1: Mission, Vision, and Values Development

Mission statements explain why organizations exist and are often created or revised during strategic planning. Vision statements articulate the organization’s desired future or end state. They are often created or revised during strategic planning. Values statements explain how the organization aspires to behave in pursuit of its mission and vision. These statements are generally created or revised during strategic planning.

9.2 Strategic Planning

Strategic planning is “a disciplined effort to produce fundamental decisions and actions that shape and guide what an organization (or other entity) is, what it does, and why it does it” (Bryson, 2004, p. 6). Strategic planning seeks to accomplish several goals, including establishing or revisiting long-term vision, values, and mission statements that span several years. Strategic planning scans the environment to assess the competitors, products, and services that characterize the industry context. The plan generates strategies to be implemented over a 5-year period that delineate speci�ic activities, champions to advocate for the plan, and deadlines for accomplishing tasks. For example, Jeff and Jane led the nonpro�it health organization’s staff and board through a strategic planning process that helped accomplish these goals.

The strategic planning process has several steps, including

engaging in comprehensive, effective information gathering; clarifying the organization’s mission, vision, and values; identifying issues to be addressed in pursuit of the mission; developing and exploring strategic alternatives; emphasizing the future impact of present decisions; and creating speci�ic, measurable actions and time lines, usually in 5-year increments.

Strategic planning helps organizations communicate their mission and goals to employees and other stakeholders. The process is often collective and seeks input from across the organization and its constituents. It represents multiple agendas, interests, and values. It also creates a deliberative assessment of the past, present, and future and establishes accountability measures. An organization typically makes a public commitment to its strategic plan and uses the plan to guide its decisions and actions. Figure 9.2 outlines a simple approach to strategic planning.

Figure 9.2: Strategic planning steps

Strategic planning is a 3-step process to determine where you are, where you want to be, and how to get there.

An effective strategic plan will communicate the organization’s mission, vision, and values to the organization’s constituents. The plan will also help the organization prioritize and allocate resources and provide a basis for measuring progress and change. Consultants who facilitate a strategic planning process must educate themselves on the necessary steps, usually by undergoing continuing education or graduate study. They should also use products

such as MyStrategicPlan (http://mystrategicplan.com (http://mystrategicplan.com) ) to track progress and make the plan and accomplishments visible on the organization website.

Several interventions support the strategic planning process. These include environmental scanning, SWOT analysis, scenario planning, and creating SMART goals. Each will be pro�iled in the following sections.

Environmental Scanning

When the organization scrutinizes external and internal factors that provide critical information about its future, the organization is engaged in environmental scanning. Environmental scanning involves both external and internal scans:

External scans examine industry and government reports, relevant journals, conferences, and any other sources that can be used to evaluate the industry. This information might include competitors, market conditions, government regulations, demographics, technology, economic development, global trends, or anything else that might affect the organization’s livelihood. Internal scans draw on stakeholder interviews, annual reports, planning documents, analysis reports, customer surveys, employee surveys, marketing reports, board meeting minutes, human resource databases, and other sources that provide relevant information.

Why Do OD Consultants Recommend Environmental Scanning?

Environmental scanning systematically scrutinizes the organizational context (economic, competitive, social, political, and so forth) and collects data to develop a picture of current and future conditions that could positively or negatively impact the organization. Environmental scanning is important for organizations to maintain or improve their competitive position. The data generated by an environmental scan is used to develop or change strategies and plans. Environmental scanning can be done on any scale. Individuals may engage in it on a personal level when they try to understand the job market or select the best product to buy. Organizations use it regularly to anticipate the future and be more internally and externally strategic.

How Do OD Consultants Facilitate Environmental Scanning?

Environmental scanning involves the following steps:

1. Collect data about the context in which the organization operates, including a. economic, b. government, c. legal, d. demographic, e. social, f. political, and g. environmental.

2. Use data sources such as a. publications, b. focus groups, c. industry leaders, d. internal leaders, e. media, and f. civic associations.

3. Critically examine competitors to discover trends, opportunities, and threats that have implications for the organization.

4. Conduct an internal scan to examine the organization’s strengths and weaknesses. This should include reviewing short- and long-term goals.

5. Assess where the organization is now and where it should be in 10 years. Conduct a gap analysis as discussed in Chapter 4.

6. Collect relevant data from the community in which the organization operates. Outcomes might be joint projects or strategies. Relevant stakeholders might include a. nonpro�it organizations, b. governmental or social agencies, c. higher education institutions, and d. religious organizations.

7. Analyze the data and use it to develop or modify strategy.

Have you ever participated in environmental scanning? See the activity at the end of the chapter to practice.

SWOT Analysis

During a SWOT analysis, employees and other stakeholders come together to identify an organization’s strengths and weaknesses and to examine environmental opportunities and threats. It is often done as part of strategic planning and is very effective if performed correctly.

Why Do OD Consultants Do SWOT Analysis?

The act of simply carrying out an analysis using the SWOT framework can be enough to reveal what needs to change and to stimulate new ideas. SWOT analyses are often undertaken following environmental scanning to establish strategies to maximize opportunities and minimize threats.

How Do OD Consultants Do SWOT Analysis?

To carry out a SWOT analysis, re�lect on the questions listed in Figure 9.3.

Figure 9.3: SWOT analysis questions

When answering the questions, participants should avoid being overly modest. Instead, they should be realistic and consider both internal and external variables.

Facilitating a SWOT analysis for a client involves following these steps:

1. Ask participants to individually brainstorm on each of the SWOT categories (strengths, weaknesses, opportunities, and threats). Have them write down their ideas on Post-it notes.

2. Invite participants to place their Post-it notes on �lip charts stationed around the room. Each �lip chart should be devoted to one SWOT category. Individuals will work around the room in carousel fashion, adding one issue to each �lip chart until all ideas are exhausted.

3. Tally the issues. Seek consensus on prioritization of the key issues in each SWOT category. 4. Review and discuss the issues. 5. Invite the group to raise questions and answers. 6. Help the group plan action around key issue(s). 7. Summarize the process and outcomes.

Keep in mind that groups have a tendency to get stuck in the process of identifying issues and have dif�iculty moving toward commitment to action. Plan for transition out of the SWOT analysis to bridge the gap between idea generation and meaningful action.

Returning to the vignette, the nonpro�it organization underwent a SWOT analysis as part of its planning to adjust priorities and goals. The process helped clarify the nonpro�it’s challenges around fund-raising in particular.

SMART Goals

Strategic plans should incorporate SMART goals; that is, goals that are:

Speci�ic Measurable Attainable Realistic or Relevant Time bound

Table 9.3 offers descriptions and examples of SMART goals.

Who Invented That? SMART Goals

The SMART mnemonic was introduced by George Doran, Arthur Miller, and James Cunningham in 1981. Since that time it has served as the standard tool for creating effective goals. The words have been modi�ied over the years, as re�lected in Table 9.3. You can read more about the development of SMART goals in the following article:

Source: Doran, G. T., Miller, A. F., & Cunningham, J. (1981). There’s a SMART way to write management’s goals and objectives: How to avoid costly job mismatches. Management Review, 70(11), 35–36.

How Do OD Consultants Help Clients Set SMART Goals?

Why Do OD Consultants Help Clients Set SMART Goals?

SMART goals help clients develop goals that hold them accountable for implementing their strategic plan. Addressing each aspect of the SMART goals helps clients develop good goals.

Scenario Planning

Scenario planning is a strategic planning approach that assesses all possible environmental changes that could affect the organization and creates a story about the outcomes. Strategic responses to the stories are developed so that all imaginable contingencies have been considered.

Why Do OD Consultants Do Scenario Planning?

Organizations use scenario planning to plan long-term strategy in a shifting environment. For example, the process was used by Royal Dutch Shell to predict future shifts in the oil industry. The creation of scenarios can give organizations a context and situation that mimic reality and more readily allow problem solving and innovation.

How Do OD Consultants Do Scenario Planning?

Scenario planning was introduced in the 1960s as a military tool to design weapons technology. It was then adopted for business planning and community building (Haeffner, Leone, Coons, & Chermack, 2012). Chermack (2011) suggests that scenario planning involves

1. emphasizing changed thinking, 2. creating informed narratives or stories of plausible futures, 3. making better decisions about the future, and 4. enhancing human and organization learning.

For example, during the nonpro�it retreat pro�iled in the vignette, Jeff and Jane developed potential stories of what might happen in the future if fund-raising further diminished or increased dramatically.

Take Away 9.2: Strategic Planning

Environmental scanning is often used to provide a baseline for strategic planning. It is a process of scrutinizing internal and external factors that have implications for the economic, competitive, social, and political context of the organization. SWOT analyses examine the organization’s strengths, weaknesses, opportunities, and threats and use them in strategic planning. SMART goals are speci�ic, measurable, attainable, realistic or relevant, and time bound. Scenario planning develops stories that represent possible outcomes for the organization, which can use them to problem solve and innovate.

9.3 Organization Design

How an organization is set up in terms of its reporting relationships is known as organization design. Organization design “describes how the overall work of the organization is divided into subunits and how these subunits are coordinated for task completion” (Cummings & Worley, 2009, p. 315.). The design is in�luenced by the environment, the organization’s size and strategy, and technology (Cummings & Worley, 2009). Organization design can take several forms in terms of its structure. When an organization’s structure does not work well or prevents the organization from achieving its goals, it will redesign or restructure.

Organization design may change following a shift in strategy, a merger or acquisition, or outsourcing and downsizing. Such a shift allows the organization to more effectively meet the changing demands and market conditions.

Organization Structure

The order of reporting relationships and their general design is known as organization structure. There are several varieties, including functional, divisional, matrix, process, and network (Cummings & Worley, 2009). We will de�ine each type shortly. Having an appropriate structure facilitates the organization’s work and productivity.

Why Do OD Consultants Address Organization Structure?

An organization’s structure determines reporting relationships, level of formality, and how work gets accomplished. Consultants examine organization structure to assess how well it �its with the organization’s overall mission, vision, and values.

How Do OD Consultants Address Organization Structure?

Consultants �irst assess the organization’s type of structure and then examine the mission and vision, key processes, and functions to see if the structure makes sense. For example, most automotive companies have hierarchy, assembly lines, and clear productivity targets. However, that type of structure would not be�it a company focused on high-tech, quick response, and innovation.

Types of Organization Structure

This section pro�iles common organization structures. See if you can identify the structure of an organization you belong to as one of these types.

Functional Structure

Functional organizations are organized according to functional activities such as �inance, human resources, operations, and so forth (Cummings & Worley, 2009). The functional structure values skill specialization, in that certain subdivisions carry out all tasks associated with that function for the organization. This structure promotes career development within the function, sometimes at the expense of exposure to other functions. The functional structure is sometimes accused of being “siloed” in that the functions become isolated from each other and lack understanding and communication across the organization. See Figure 9.4 for an example of a functional structure.

Figure 9.4: Functional structure

This structure is the classic hierarchy most of us think of when we envision organization structure.

Divisional Structure

In a divisional structure, also called a self-contained unit, activities are organized according to products, services, customers, or geography (Cummings & Worley, 2009). Because members identify with the product or service rather than their own function and are oriented to the customer, departments tend to be more cohesive across the organization as compared to the functional structure. Cross-training is also more easily facilitated. However, the divisional structure may not be as ef�icient as the functional structure because of duplication of services, and career advancement within a specialty is more dif�icult. Divisional structure is depicted in Figure 9.5.

Figure 9.5: Divisional structure

The advantage of a divisional structure is the cohesiveness it tends to create.

Matrix Structure

The matrix structure attempts to blend the functional and divisional structures by “superimpos[ing] a lateral structure that focuses on product or project coordination on a vertical functional structure” (Cummings & Worley, 2009, p. 319). This structure promotes the sharing of functional and product knowledge across functions. It requires a �lexible and supportive management, since employees often report to both functional and product managers,

making this structure more politically contested and dif�icult to implement than other structures. See Figure 9.6 for an example of a matrix structure.

Figure 9.6: Matrix structure

The matrix structure allows for sharing of information across functions, but because employees may report to more than one person (i.e. functional and product managers), this structure often creates tension and is more dif�icult to implement.

Process-Based Structure

Cummings and Worley (2009) describe the process-based structure as “a radically new logic for structuring organizations [by forming] multidisciplinary teams around core processes such as product development, order ful�illment, sales generation, and customer support” (p. 322). This is a relatively �lat structure with a small senior management team. Each major process has an owner who oversees its management. This structure is highly customer oriented and able to quickly adapt to the environment. There is generally strong teamwork based on the need to work across process groups to serve the customer. Successfully organizing according to process requires a shift in thinking about management’s role. Moreover, it may take longer to make decisions and accomplish tasks in the process-based structure. See Figure 9.7 for an example.

Figure 9.7: Process-based structure

The process-based structure has teams focusing around core processes instead of around products.

Network Structure

This structure “manages the diverse, complex, and dynamic relationships among multiple organizations or units, each specializing in a particular business function or task” (Cummings & Worley, 2009, p. 328). Network structures have been described as spider webs, clusters, or starbursts. They are characterized by vertical disaggregation, or the splitting of business functions into separate organizations that perform specialized work. Network organizations do not have hierarchies but are often managed by brokers who orchestrate processes, much as a general contractor draws on a network of specialties to construct a building (Cummings & Worley, 2009). Brokers coordinate a variety of informal relationships, contracts, and market mechanisms.

Network structures are �lexible and adaptable to the environment and are usually good at meeting customer and market demands. However, this structure is complex and unstable, making recruitment and retention challenging. See an example in Figure 9.8.

Figure 9.8: Network structure

The most adaptable of the organization structures, the network structure allows for a �lexible environment to meet customer and market demands.

Organization design is driven by the organization’s mission, vision, values, and strategic plan. When there is a mismatch, reorganization is usually necessary.

Reorganization and Restructuring

Organizations must make changes that allow them to more nimbly respond to environmental factors such as increased competition, globalization, and new technologies. Often these factors require organizations to rethink their structures through reorganizing or restructuring their operations to allow them to more effectively meet market conditions.

Why Do OD Consultants Help Clients Reorganize and Restructure?

Organizations often decide to reorganize to improve communication, quality, or customer satisfaction or to improve productivity and performance. These activities can also be part of strategic plan implementation, particularly when the goals relate to improved performance and ef�iciency.

How Do OD Consultants Help Clients Reorganize and Restructure?

Restructuring is the process by which an organization design is changed. Organizations will usually shift from a more traditional structure (such as a functional, divisional, or matrix) to a more integrative and �lexible structure (such as a process based or network). Also known as �lattening, restructuring involves shifting the organization to become more agile, responsive, productive, and effective. Restructuring is in�luenced by the environment, the geographic span of operations, organization size, technology, and strategic plan. Here we discuss three common approaches to restructuring: reengineering, mergers and acquisitions, and downsizing.

Reengineering

Reengineering (Hammer & Champy, 1993) is the radical redesign of the organization’s core work processes to provide greater linkage and coordination among tasks. The goal is to achieve higher, faster performance and better customer service. Reengineering is primarily concerned with streamlining business processes and pays little attention to the human social system (French & Bell, 1999; McLean, 2006). The reengineering process is often

associated with technological advances that the organization must adopt. Reengineering questions tasks and processes and attempts to unearth the assumptions that govern them. The result is usually radical changes in thinking and practice and improved customer service.

Reengineering is accomplished by preparing the organization, usually through data and education, about the need for the change. Preparatory work also involves clarifying the organization’s strategy and objectives so that the reengineering effort supports the long-term vision and mission. The reengineering process begins with a fundamental rethinking of how work gets accomplished by identifying and analyzing core business processes, de�ining performance objectives, and designing new processes. Next the organization restructures around the new business processes. Typical process changes include shifting from functional departments to process teams; changing jobs from simple tasks to multidimensional work; empowering workers to have more authority in their roles; shifting compensation and performance measures from activities to results; �lattening the organization’s structure; and shifting managerial behavior from supervisory to coaching (Cummings & Worley, 2009).

Mergers and Acquisitions

Restructuring is usually necessary when companies merge or acquire new businesses. McLean (2006) identi�ies four methods of restructuring after a merger or acquisition:

1. Limited integration: Operations continue as they were premerger; alternatively, the acquisition is managed by a holding company, which houses several other organizations. For example, Walt Disney is the world’s largest mass media holding company, with theme parks, studios, television channels (Disney, ESPN, A&E, and ABC Family), as well as familiar �igures like Mickey Mouse.

2. Dominant company: The acquiring company absorbs the acquired company into its operations. 3. Mutual best of both: Melds the best of each organization into a new organization. 4. Transformation to new company: Although similar to mutual best of both, this structure adopts entirely new

organization practices to create a new organization.

Have you ever been part of an organization that experienced one of these changes? If so, which structure did you experience?

Mergers and acquisitions often stimulate multiple OD efforts at the individual, team, and organization levels. Sometimes mergers and acquisitions stimulate downsizing.

Downsizing

When an organization decreases its size to reduce cost and bureaucracy, it is downsizing. Downsizing is usually prompted by mergers and acquisitions, restructuring, lost revenue and market share from industrial and technological change, or social pressure to create a small, lean organization (Cummings & Worley, 2009). Additionally, McLean (2006) identi�ies economic downturn, change in product or service demand, technological shifts, improved processes, and �lattening as reasons organizations downsize.

Downsizing is usually accomplished through workforce reduction, organization redesign, or systemic redesign (Cameron, Freeman, & Mishra, 1991; Cummings & Worley, 2009):

Workforce reduction seeks to reduce the organization’s head count and is usually a short-term downsizing tactic accomplished through layoffs, attrition, retirement incentives, and buyout packages. Organization redesign seeks more fundamental organization change than workforce reduction and is a longer term strategy accomplished by merging units,

moodboard/Thinkstock Organizations downsize to save money, although there is little evidence that it effectively accomplishes cost savings.

redesigning tasks, and eliminating functions, layers, and products. Systemic redesign seeks transformational culture change. A long-term strategy, it involves changing responsibilities, adopting continuous improvement programs, simplifying processes, and accepting downsizing as a way of life.

Incidentally, the rise of the contingent workforce is a consequence of downsizing. Research on downsizing indicates that it does not achieve intended results in cost reduction or productivity gains (Cummings & Worley, 2009).

Take Away 9.3: Organization Design

Organization structure determines how work gets accomplished, how employees relate, and an organization’s level of formality. Organization structure takes several forms, including functional, divisional, matrix, process based, and network. Organization design can be changed through reorganization or restructuring, often in the form of reengineering, mergers and acquisitions, or downsizing.

alvarez/Vetta/Getty Images Interventions that support learning value the process and strategy for creating a learning culture.

9.4 Learning Infrastructure

When an organization embraces learning as a process and strategy and creates systems to capture and share learning, it is concerned with learning infrastructure. We have shifted from the industrial age to the knowledge age, and with that change we need to facilitate learning and thinking that begins at the individual level and ideally spreads throughout the organization. “Organizations will no longer remain competitive with informal approaches to knowledge and learning” (Gilley & Maycunich, 2000, p. 16). Organization-level interventions aimed at learning seek to raise awareness of how knowledge can give organizations a competitive edge. Two learning infrastructure interventions—organization learning and the learning organization—gained popularity in the 1990s, particularly with the publication of Peter Senge’s (1990) The Fifth Discipline: The Art and Practice of the Learning Organization. These are discussed here.

Organization Learning

An organization concerned with des-cribing the nature and process of internal learning is focused on organization learning (Callahan, 2003). When an organization focuses on learning, it pays attention to how knowledge is developed and shared.

Why Do OD Consultants Facilitate Organization Learning?

Developing organizational capability for learning builds adaptive capacity that is important in continually shifting markets that are highly competitive and driven by knowledge. The quality of individual learning impacts organizations, yet learning is often riddled with errors that prevent change and progress.

In his classic Harvard Business Review article, “Teaching Smart People to Learn,” Argyris (1991) argued that most people do not know how to learn. Even people who are regarded as the smartest are rarely effective learners. He suggested that professionals’ greatest fears are to make mistakes and fail; they therefore create elaborate mechanisms to defend themselves against either outcome, at the expense of the system. For instance, when most people are confronted with a question they cannot answer, they make up one instead of admitting they do not know (or pledging to �ind out). People will go to great lengths to avoid appearing ignorant or inexperienced. Yet such behavior can ultimately hurt both

individuals and organizations, especially when it results in poor decisions or unshared learning. Argyris also found that otherwise smart people go to great lengths to cover up mistakes. Argyris called this unwillingness to admit ignorance or mistakes learned incompetence. Interestingly, most individuals and organizations are not even aware that they have learning de�iciencies.

How Do Consultants Facilitate Organization Learning?

Argyris and Schön (1974) developed the original models of organization learning. The organization uses learning to change behavior; the new knowledge helps the organization transform information, which improves its long-term capacity (Callahan, 2003). Organizations committed to organization learning will undergo interventions such as re�lective practice, action learning, team learning, learning and development programs, and problem solving.

Learning Organization

Senge (1990) de�ines a learning organization as “an organization that is continually expanding its capacity to create its future” (p. 14). Watkins and Marsick (1993) view it as learning that transforms or changes the organization and observed that it occurs at four interdependent levels: individual, team, organization, and society.

In effective learning organizations, the workforce is accustomed to participatory management, supportive culture, ongoing learning opportunities, and rewards for learning. Such organizations

encourage managers to be coaches, mentors, and facilitators of learning; build a culture of feedback and disclosure; take a systemic, holistic view of the organization; create shared vision with all stakeholders; establish systems for sharing learning and using it in the business; provide regular opportunities to learn from experience; foster trust throughout the organization; and embrace the unexpected as opportunities to learn (Marquardt & Reynolds, 1994; Mclean, 2006).

Embracing organization learning usually requires a signi�icant shift in the organization’s culture. This is the subject of the following section.

Take Away 9.4: Learning Infrastructure

Organization learning represents a learning infrastructure intervention that is concerned with the nature and process of learning and how it can be captured and shared for future advantage. The learning organization makes a strategic commitment to harnessing learning for the organization’s bene�it.

9.5 Culture

Every human being belongs to multiple social groups that have rules, rites, and rituals that shape members’ beliefs, values, and behaviors. These variables mesh together to create culture. Nations, cities, organizations, churches, sports teams, universities, and so forth all have distinct cultures. The meaning of culture has been debated and studied for decades. In fact, during the 1950s Kroeber and Kluckhohn (1952) found more than 150 de�initions of culture in academic literature.

Edgar H. Schein’s (1991) groundbreaking work suggested that by understanding culture, we gain a deeper appreciation for the way it affects members’ thoughts, feelings, and actions. Schein de�ined culture as a pattern of basic assumptions that are invented, discovered, or developed by a given group as it learns to cope with problems adapting to the external environment. Culture is thus a learned value system or structure for solving problems that is passed down from old members to new ones. It is a signi�icant in�luence on how members perceive, think, and feel about their environment, as well as how they behave.

Culture is often described as encompassing three levels: (a) basic underlying assumptions, (b) espoused beliefs and values, and (c) artifacts (see Table 9.4).

Table 9.4: Levels of culture

Level of culture Description

Artifacts Visible structures and processes Observable behaviors a. Symbols b. Slogans c. Published list of values

Espoused beliefs and values Ideologies, goals, aspirations May not be consistent with “published values” Validated by shared experience

Basic underlying assumptions Unconscious, takes for granted beliefs and values Determines perceptions and behaviors

As you study this table, think of a culture to which you belong. How would you describe each of these levels? Consider fans of a sports team as an example:

1. Basic underlying assumptions a. Team superiority b. Support the team whether it wins or loses c. Part of U.S. culture

2. Espoused beliefs and values a. “We are number one” b. “We are the Bulldawg Nation” (as said at the University of Georgia) c. Sportsmanship

3. Artifacts a. Mascot b. Cheers c. Attire d. Stadium

We will examine two different culture interventions: culture change and diversity and inclusion.

Culture Change

Most people are unaware of the extent to which culture dictates their thoughts and actions, including in organizations. All members of an organization participate in and shape its culture. For example, working long hours may be a part of one organization’s culture. Although this rule is not written anywhere or explicitly discussed, it is understood by everyone who is part of the organization, and newcomers quickly adopt it. When members fail to comply with cultural rules, the culture �inds ways to correct, reprimand, or remove them.

Why Do OD Consultants Facilitate Culture Change?

There are good and bad cultures. OD interventions targeted at culture aspire to make the culture more positive, productive, inclusive, or innovative.

How Do OD Consultants Facilitate Culture Change?

Culture change is challenging because it attempts to change “business as usual.” “Changing an organization’s culture is one of the most dif�icult leadership challenges. That’s because an organization’s culture comprises an interlocking set of goals, roles, processes, values, communications practices, attitudes and assumptions” (Denning, 2011).

A good way to approach culture change is to use survey research. Conducting a survey about how people regard the organization’s culture, practices, policies, products, and management provides a baseline (or comparative data, if a survey has been conducted before). This type of data offers management rich feedback on what is working well and less well. The results can provide an agenda for change that the organization can prioritize and implement.

Next the leadership needs to offer a vision for the future once the organization changes. This might be product innovation, market dominance, customer satisfaction, or ef�iciency. The vision needs to be communicated clearly and broadly so that the organization both understands and supports it.

If the changes require new roles, then management needs to articulate what these are. It also needs to establish new reward systems that recognize contributions to the new culture, along with metrics that measure progress. For example, if the leadership culture is being changed from autocratic to participative, managers would be rewarded for exhibiting participative behavior, such as including employees in decision making. There also need to be clear consequences for supporting (or not supporting) the desired culture changes. Finally, infrastructure to support the new culture needs to be created. This might include resources, new positions, new policies, or new procedures.

Tips and Wisdom

Culture change at the World Bank has proved dif�icult over the years, particularly because it presents a unique culture change challenge. The organization’s formal purpose is ambiguous, and the institution is a combined philanthropic foundation, a university, and a bank. Governments around the world own this international organization, with a resident board of directors and staffs who operate the World Bank on a day-to-day basis and regularly question the management. Read a case study of culture change at the World Bank:

http://www.forbes.com/sites/stevedenning/2011/07/23/how-do-you-change-an-organizational- culture. (http://www.forbes.com/sites/stevedenning/2011/07/23/how-do-you-change-an-organizational-culture)

monkeybusinessimages/iStock/Thinkstock The U.S. workforce is becoming increasingly diverse.

Diversity and Inclusion

Organizations and their members are inimitable. Each has distinctive values, cultures, identities, and social norms that blend into the complex sociocultural system of work. Diversity and inclusion interventions aim to make organizations more welcoming and af�irming of an increasingly varied workforce; as such, they address changing demographics, the dearth of ongoing diversity and inclusion interventions, their spotty success rates, and their pitfalls and strategies.

Assessment: Equity and Diversity

Take the Equity and Diversity Quiz to assess your level of awareness related to issues of diversity and inclusion:

http://www.edchange.org/multicultural/quiz/quiz1.htm (http://www.edchange.org/multicultural/quiz/quiz1.htm)

Why Do OD Consultants Promote Diversity and Inclusion?

The U.S. Census Bureau (https://www.census.gov/newsroom/releases/archives/population /cb12-243.html (https://www.census.gov/newsroom/releases/archives/population/cb12-243.html) ) predicts dramatic demographic shifts over the next 50 years, the rami�ications of which are already being felt in many organizations. By 2043 the United States is projected to become a majority–minority nation, meaning that although the non-Hispanic White population will continue to be the largest single group, no group will constitute a majority. The population is predicted to grow slowly and age rapidly, and more older adults are remaining in the workforce: In 1990 just 21.8% of adults aged 65 to 69 were working full time, whereas in 2010, 30.8% were.

“The worldwide phenomenon of economic globalization not only has provided different logistics and consumption habits, but also has generated a new workplace environment much more diverse than ever” (Castro, 2013, p. 37). Today’s organization is characterized by people of different genders, generations, ethnicities, sexual orientations, physical abilities, countries of origin, and religious beliefs working side by side. Each of these groups has its own culture, needs, and expectations from work.

Historically, U.S. organizations have been designed and run by White males. People outside of that cultural group have been offered fewer training and development opportunities, received fewer promotions, suppressed their identity in order to assimilate to patriarchal culture, and experienced harassment or other mistreatment (Bierema, 2002). Obviously, diversity and inclusion interventions are needed throughout U.S. organizations, yet according to Castro (2013), only 40% of 300 multinational organizations surveyed intend to deliver multicultural programs to develop leaders; only 9% already do. This indicates that a majority of organizations are not taking steps to prepare for an increasingly diverse workforce. Moreover, 36% of organizations surveyed were not even aware of the meaning of a “multicultural program.” Nacherla (2008) reports a study that found 68% of companies do not hold senior executives accountable for diversity and inclusion oversight; 65% lack a global diversity strategy; and 53% do

not sponsor any training in this area. Given these statistics, diversity and inclusion interventions are likely to continue to be important for years to come, until organizations become much more accommodating of diverse perspectives and needs.

Even when organizations engage in diversity and inclusion interventions, they may not �ind them effective. Numerous researchers have observed that these interventions lack a track record of success (Cavaleros, Van Vuuren, & Visser, 2002; Kochan et al., 2003). For example, a comprehensive review of 31 years of data from 830 mid- to large-sized U.S. workplaces found that diversity training at most �irms precipitated a 7.5% drop in the number of women in management. The number of Black female managers fell by 10%, and the number of Black males in top positions fell by 12%. Similar trends were seen for Latinos and Asians (Kalev, Kelly, & Dobbin, 2006; Vedantam, 2008). This discouraging research highlights the need for OD consultants to have training and expertise in this area.

How Do OD Consultants Promote Diversity and Inclusion?

Organizations face several obstacles in promoting diversity and inclusion. This section identi�ies some of these and offers strategies for overcoming them. These have been adapted from Lankau (2013) and Nacherla (2008).

Diversity and Inclusion Intervention Pitfalls

Obstacles to promoting diversity and inclusion commonly include the following:

Managers and leaders assume diversity and inclusion is not their job, but rather the responsibility of human resources. In reality, it is everyone’s job, with zero tolerance for disrespect of diversity. The organization focuses on recruiting a diverse workforce but not retaining one, because the organization values diversity but lacks inclusivity. Not surprisingly, people leave. There is little or no assessment of organization culture to evaluate how inclusive and diverse it is or to intervene as necessary. Training sessions are nonsubstantive; that is, they focus on nonthreatening topics such as appreciating different customs or foods but fail to help employees build capacity to manage intercultural con�lict and differences. Training sessions have �lawed content and delivery and do not help the organization build needed capacity to manage and celebrate difference. Diversity and inclusion programs are conducted to comply with compulsory legal requirements but have little organizational or leadership commitment. There is little or no buy-in from senior management and no role modeling. Diversity and inclusion programs lack a strategic connection to the organization’s long-term plans. Expectations to embrace diversity and inclusion are not strategically embedded in the rewards system or culture. The organization does not productively deal with con�lict—particularly con�lict related to diversity and inclusion issues. Participation in diversity and inclusion training is mandatory, which makes employees resent it. There are no goals or strategies for diversity and inclusion and it is not a part of the rewards or recognition system. Diversity “fatigue” sets in—that is, people get tired of hearing about it and ignore it, or they think “we do this well already” and shift their attention away from it. The organization’s management lacks accountability for improving diversity and inclusion.

Diversity and Inclusion Intervention Strategies

The following are some common strategies organizations can adopt to promote diversity and inclusion:

Initiate diversity actions with top management support and examples.

Maintain a clear and consistent emphasis on diversity and inclusion in the organization’s vision, mission, values, and strategy. Identify business drivers for diversity and how addressing it can improve organization results (such as innovation, creativity, market growth, customer satisfaction, and supplier base). Appoint a diverse board of directors. Support formal and informal mentoring programs that target diverse employees. Engage employees in the process of creating a diverse and inclusive organization through planning, participation in training, soliciting feedback, and evaluating the process. Set expectations for and reward diversity and inclusion. Promote a culture of communication and productive con�lict resolution around misunderstandings and problems. Re�lect diversity in the organization’s hiring practices and leadership. Tie diversity and inclusion to the bottom line. Articulate organization values around diversity and inclusion. Integrate diversity and inclusion into the organization’s strategy. Engage in a long-term multifaceted change strategy to make the organization more diverse and inclusive. Engage in community and philanthropy for multicultural nonpro�its. Partner with educational institutions to increase minority student enrollment. Measure progress and create accountability mechanisms.

Ensuring management accountability will increase the likelihood of a successful diversity and inclusion intervention. Under CEO Jack Welch’s leadership, for example, General Electric implemented an aggressive diversity and inclusion strategy that appointed a chief diversity of�icer and used employee networks, regular planning forums, formal mentoring programs, and college recruitment of diverse populations to increase the diversity of its workforce. From 2000 to 2005, the company’s female, minority, and non-U.S. citizen employees increased 12% among top leadership and 11% among senior executives (Nacherla, 2008). The vignette at the beginning of the chapter featured a nonpro�it that lacked diversity. Through its strategic planning process, it was able to create speci�ic goals and measures for pursuing more diverse board members and donors.

Case Study: Culture Change in the More Company

The More Company is in trouble. Sales are �lat, and a recent survey of employees shows that more than half are dissatis�ied with management, 25% are considering leaving in the next year, and an overwhelming 90% say culture change is needed. These results are the focus of an executive meeting.

“We obviously have problems and need to change,” notes CEO Lauren Gerald. “What do we need to do to create a culture where people are proud and happy to work here?” Discussion ensues among her team, which decides to call in an OD consultant who can help the company engage in some serious assessment and perhaps undertake cultural interventions. Lauren makes it clear that she expects improvement and change over the next year.

Joelle Herbert, the OD consultant, attends the next executive meeting. She asks a lot of questions, such as:

How would you describe your current culture? What is your strategy? Who are your current leaders? Future leaders? How do you perform in comparison to your competition? What is the demography of your organization? Why do you think people leave? Stay?

What supports are in place to help employees navigate the organization and develop in their careers?

Joelle carefully records and analyzes data from her visit with the leadership team. She also reviews the survey data and interviews frontline supervisors and a cross-section of employees. The problems are clear. Employees do not trust management and have no idea where the organization is headed. They feel excluded from any decisions that affect the business’s strategy and consequently have no buy-in to the current strategy. A culture of mistrust has developed.

Joelle gives this feedback to the leadership team. The team members realize something has to change. They work together to draft a new vision for the organization that focuses on creating product excellence and service and building an organization that breeds employee loyalty and performance. They create SMART goals, communicate these to their respective teams, and invite input. The team decides to make four changes:

1. Increase the quality and quantity of management communication via multiple outlets, including face-to-face, written, online, and customer.

2. Strategically recruit top talent to contribute to the mission, and retain, train, and mentor the current workforce to meet the new strategy.

3. Broadly solicit input into the strategic plan and modify as needed. 4. Change reward systems that are tied more directly to the strategic plan to reward managers who

advance the new, more open and collaborative culture.

The plan is implemented fairly quickly, but progress is slow. Culture change is dif�icult, and employees are usually suspicious of it. Some managers resist the change.

Subtle shifts begin once employees who work toward the change are repeatedly recognized. Managers begin consulting with their employees and allowing more time to discuss issues prior to making decisions. Communication improves. The changes are not total, but progress is made in the right direction.

The CEO, Lauren, did several things to position the organization for culture change:

1. Stage setting: The CEO put forth her expectations as a result of the negative survey and took action on it by hiring a consultant.

2. A vision for the culture change was shared broadly, and the strategic plan was modi�ied with employee input.

3. SMART goals were created across the organization. 4. Progress was measured and tracked. 5. Expected behaviors were clari�ied and rewarded.

Critical Thinking Questions

1. What other interventions might you make if you were CEO? 2. What steps might you take if you were the consultant? 3. What resistance to this change can be expected?

Take Away 9.5: Culture

Culture is dif�icult to change. Culture change interventions attempt to change the beliefs, values, and behaviors of the organization culture in ways that make the organization more positive, productive, inclusive, or innovative. Interventions to improve diversity and inclusion help the organization maximize innovation because of the variety of ideas a diverse workforce offers.

Seong Joon Cho/Bloomberg via Getty Images Talent management involves identifying high-potential employees and developing them to take key leadership roles. Samsung is one company that has applied talent management with much success. Here, CEO Oh-Hyun Kwon speaks during the company’s annual shareholders’ meeting.

9.6 Talent Management

Interventions aimed at developing and optimizing the organization’s workforce productivity revolve around a process called talent management (Nagra, 2011). Talent management is concerned with recruiting, onboarding, retaining, managing, and developing a high- performing workforce. In a survey of 850 American, British, Italian, French, German, Spanish, Japanese, and Chinese executives, 67% ranked talent management as second only to competition in importance for their organization (Altman, 2008).

One reason for this is that talent management improves organization performance: According to a McKinsey & Company study (as cited in Axelrod, Hand�ield-Jones, & Welsh, 2001), organizations with top talent management practices outperformed their competition by a 22% return on shareholder value. These companies also reported higher productivity, pro�it, and sales. An example is Samsung, which transformed itself into a leader in the electronics industry under chair Kunh-Hee Lee, who emphasized quality-based management and talent development. Under his 25-year leadership, the company market capitalization went from approximately $1.1 billion in 1987 to $375.5 billion in 2012 (Chung, 2013). “The key to Samsung’s talent management is to prepare a pool of next-generation leaders as part of a succession plan” (Chung, 2013, p. 58).

Talent management employs multiple strategies, such as the previously discussed individual interventions of training, assessment, career development, leadership development, and work design. Talent management can also be addressed at the organization level by creating a talent management strategy and succession planning. Each of these will be discussed in this section.

Talent Management Strategy

Managing talent is not accidental. It requires a talent management strategy; that is, a plan, commitment, and collaboration across the organization. Much like a strategic plan, a talent management strategy seeks to make personnel decisions and placements that shape and guide the organization according to its vision and mission.

Why Do OD Consultants Promote Talent Management Strategy?

The largest investment an organization will ever make is the one it makes in its workforce. Thus, it is prudent for organizations to take a long-term strategic approach to developing it (Morgan & Jardin, 2010). Although most organizations understand the importance of cultivating potential leaders, many fail to do so. This means that, when current leaders leave or retire, the organization is unable to replace them quickly and appropriately and is forced to work under capacity, a situation that is damaging over time (Nada, 2008). Determining successors to current leaders takes time, expertise, and knowledge of the workforce.

How Do OD Consultants Promote Talent Management Strategy?

There are some key strategic steps to developing a talent management strategy. The �irst is to make talent management everyone’s job. This means the task does not fall just to human resources or OD. Ideally, the responsibility crosses the organization’s functions of sales, operations, engineering, and so forth. All managerial personnel need to think about developing talent within their units and about who could replace them in the future.

The second step is to develop what a McKinsey & Company report called the “talent mindset” (as cited in Michaels, Hand�ield-Jones, & Axelrod, 2001, p. 11). Having a talent mindset means that the organization keeps the development of high-performing employees a priority at all times and constantly considers its ability to develop talent by posing questions such as “What is our capacity do our jobs well?” or “Where do we need to improve to be more competitive?” (McCauley & Wake�ield, 2006).

Creating a culture of feedback and assessment also helps build a talent management system. McCauley and Wake�ield (2006) recommend that consultants integrate needs assessment of leadership (much like the steps in the discovery stage of the action research model) to determine key strengths and weaknesses of employees they wish to develop.

Individual leadership development is another strategy that prepares employees to move to the next level. This intervention was discussed at length in Chapter 7.

Having a reputable performance evaluation process is also helpful. The best such processes are ongoing; that is, managers should not wait for an annual review to intervene when they see a developmental opportunity. They seize the moment for feedback and coach and monitor progress.

Finally, organizations that have successful talent management programs are committed to learning, as discussed in the previous sections on organization learning and the learning organization. The ability to learn from experience and share it with the next generation is imperative for talent management.

Developing top talent is a strategic business imperative. Morgan and Jardin (2010) recommend that companies take the same approach to employee talent development that they do to market development. Companies typically divide markets into segments based on certain niches, such as potential for greater revenue or improved margins. The same can be done for employees around key learning and development needs, stretch assignments (projects that signi�icantly challenge the employee), or mentoring.

Tips and Wisdom

Top talent is de�ined as workers who continually exceed expectations and demonstrate productive behaviors and agility in their learning and approach (Morgan & Jardin, 2010). Talent management programs identify top talent and use several interventions to manage it, such as workforce planning, analyzing gaps between needs and existing talent, recruiting, staf�ing, training, retention, talent reviews, succession planning, and evaluation (McCauley & Wake�ield, 2006). A key question to encourage your managerial clients to ask is “How can I develop talent in my organization?” See the accompanying adapted list of the American Productivity and Quality Center and the Center for Creative Leadership’s best talent management practices.

1. De�ine “talent management” broadly. This means that organizations take a liberal approach to cultivating talent through learning and development, experiences, and assignments.

2. Integrate the various talent management interventions into a comprehensive system. Instead of just offering a leadership development course to targeted employees, organizations might launch mentoring, networking, assessments, and other comprehensive learning activities that develop talent.

3. Focus talent management programs on the most highly valued talent.

4. Get commitment from CEOs and senior-level executives. 5. Build competency models to develop a shared understanding of the skills and behaviors the

organization needs and most values in employees. 6. Monitor talent across the organization to identify potential talent gaps. 7. Excel at recruiting, identifying, and developing talent. 8. Develop effective performance management and retention processes. 9. Evaluate the results of the talent management process on an ongoing basis. (McCauley &

Wake�ield, 2006).

Succession Planning

Succession planning is the process of identifying employees with high potential to assume leadership roles in the organization. Targeted positions would include top executives and the management levels immediately below that level that will eventually feed the executive pipeline.

Why Do OD Consultants Promote Succession Planning?

Most workers stay with a particular organization for an average of 4.4 years, and the youngest workers log about half that (Meister, 2012). Organizations that lack a contingency plan for the unexpected departure of key leaders and other personnel are at risk. Succession planning identi�ies potential replacements of current leaders and managers and determines what key experiences, training, and mentoring they need to take on the next role.

How Do OD Consultants Promote Succession Planning?

A succession plan is a document that highlights key leadership and management roles. It also identi�ies potential successors according to their experience and what development they would need in order to take on a particular role. Steps to succession planning include:

1. Identifying positions where succession planning is necessary. 2. Specifying the key knowledge, skills, and abilities for the positions. 3. Assessing potential successors’ applicable knowledge, skills, and abilities. 4. Developing potential successors for future positions, especially where de�iciencies are noted (McLean,

2006).

Miles (2009) suggests that effective succession planning programs engage stakeholders in determining the succession pool and process. Stakeholders typically include current top leaders, human resources managers, and consultants. In terms of losing executives, organizations should assume the worst; that is, they should be prepared to replace all key positions as soon as vacancies occur. If a successor is not readily identi�ied in the organization, there should be a contingency plan to deal with the potential vacancy, such as targeted industries or external candidates.

It is also important to assess the talent pool to determine how potential successors can be developed through training, work assignments, and experiences to prepare them for new roles and to strengthen any noted weaknesses.

Take Away 9.6: Talent Management

Developing a talent management strategy positions an organization to meet competitive, innovation, and long-term personnel demands. Succession planning is a strategic plan for talent. It identi�ies potential leaders and managers so that the organization is not left without the key skills and talents needed to run the business.

aerogondo/iStock/Thinkstock Large-scale interactive events attempt to capture the collective thinking of key stakeholders in deciding the organization’s future.

9.7 Large-Scale Interactive Events

Large-scale or organization-wide OD is concerned with system-wide interventions usually targeted at improving problem solving, leadership, visioning, and task accomplishment between groups. These activities are known as large-scale interactive events (LSIEs). LSIEs can be traced to Kurt Lewin’s (1951) original change model, discussed in Chapter 2. That is, their basic steps are �irst to “unfreeze” the current situation so change can occur, then to make changes, and �inally to “refreeze” the new situation in place.

Why Do OD Consultants Do LSIEs?

LSIEs are conducted when the organization wants to seek broad input from a range of stakeholders, generate innovative ideas, and/or plan for the future. Because of the highly participative nature of the LSIE, the results tend to promote acceptance of and enthusiasm toward the ideas generated during the event.

The major features of large-scale, real-time change management processes include the following:

They take a systems approach to the problem and consider all angles and options. They use environmental scanning to consider the organization system in the wider system. They share information across the organization. They are quick processes that result in immediate action. They are characterized by shifts in perspective: Learning shifts from the individual level to the organization level as individuals, groups, and the organization gain new insights and ideas. Accountability shifts from senior management to the whole organization system, since the process gets “the whole system in the room” to engage in planning and thinking. The change process itself shifts from incremental to fundamental, organization-wide change.

LSIEs are challenging to accomplish and require careful planning and skilled facilitation. They are usually offered only by OD consultants experienced in facilitating large events.

How Do OD Consultants Do LSIEs?

When planning LSIEs, the OD team must confront a variety of special considerations for large group interventions. First, a compelling meeting theme is essential. Is the meeting for strategic planning, innovation, culture change, or some other objective? Second, attendance must include all appropriate stakeholders, depending on the theme. Stakeholders might include all employees or a large cross-section of them, particularly of employee groups such as managers, members of an organization, residents of a community, customers, suppliers, and so forth. The agenda must include relevant tasks to address the conference theme, including the following:

mapping the current organization context; assessing the organization’s responses to environmental dynamics; identifying the organization’s core mission, vision, and values; creating a realistic future scenario of environmental expectations and organization responses; creating an ideal future scenario of environmental expectations and organization responses; and

comparing the present with the ideal future and preparing an action plan for reducing the discrepancy (Cummings & Worley, 2009).

Methods of LSIEs

This section provides a summary of the best-known methods for managing organizational change with large groups. These include Dannemiller Tyson’s Interactive Strategic Planning, Marvin Weisbord’s Future Search Conference, Dick Axelrod’s Conference Model Redesign, and Harrison Owen’s Open Space. Each will be brie�ly pro�iled. Much of the information on these methods is from Smith and Smith (1994) and Bunker and Alban (1992).

Interactive Strategic Planning

Dannemiller and her coworkers (1994) developed a 2- to 3-day interactive strategic planning event that can accommodate up to 2,300 people. The event helps organizations identify a new strategic direction and provides feedback to top people in the organization.

The Dannemiller Tyson approach is based on a formula that Beckhard and Harris (1987) attribute to David Gleicher:

Dissatisfaction × Vision × First Steps > Resistance to Change

According to this formula, dissatisfaction, vision, and �irst steps must exceed zero, otherwise, resistance to change will overwhelm any efforts to make lasting change. This intervention aims to identify dissatisfaction and enable articulating vision and taking �irst steps so that change can begin.

The approach is task focused and structured, and it involves interaction in small groups as part of the full-group proceedings. First, a database of the current reality is developed. This is accomplished by collecting views from customers, leaders, workers, and their industry. Next, the problems that impede change and progress are diagnosed. Small groups (which may be functional) next send valentines to each other—these messages convey what people appreciate as well as what they need from each other to do their jobs more productively. The rest of the approach involves setting strategy and gathering and processing feedback on it. A method of “preferred futuring” is followed (similar to Weisbord’s, below), with action planning to secure commitments for developing the proposed strategy into reality.

The Future Search Conference

The Future Search Conference (Weisbord, 1992; Weisbord & Janoff, 1995) is a planned 2½-day event. Ideally, it involves 64 people, with a maximum of 72. The Future Search Conference is based on Asch’s (1952) conditions for effective dialogue, with an emphasis on �inding common ground. The process involves looking at the past— examining the previous state of the people, the business, the industry, and the global environment—and looking at the present—examining events that shape their reality. Weisbord (1992) uses an exercise that involves “prouds and sorries,” which helps participants re�lect on successes and failures, or things in the organization they are proud of and sorry for. They are also encouraged to devise scenarios of their ideal future (keeping some of the past, changing where needed for the future). The process has a heavy emphasis on action planning to de�ine the steps that will be taken so that the process does not end with the conference itself but is translated into future action steps.

Conference Model Redesign

This method (Axelrod, 1992, 1993, 1995) uses a series of four 3-day conferences, held a month apart. It is a process of reengineering intended to produce permanent, radical organization redesign that occurs quickly. Axelrod (1992, 1993, 1995) recommends thoroughly planning and establishing a steering committee, a data assist team, and a walk-through staging in advance of the meeting. His approach is customer focused, concentrates on the technical

work �low, and develops a preferred design for the organization. The process involves four fast and highly participative conferences:

1. vision conference: similar to Weisbord’s Future Search Conference; 2. customer conference: to de�ine the requirements, business relationships, roles, and customers; 3. technology conference: to identify redundancy and variance and clarify participants’ assumptions about

their business; and 4. design conference: to develop a preferred design; uses “treasure hunt” features.

The conferences are followed by a succession of implementation steps for putting the plans into action.

Open Space

Open Space was devised by Owen (1992). The purpose of Open Space is to surface information and promote dialogue. The approach is based on the notion of an “idea marketplace” that stresses learning, networking, and community building. It can be characterized as relevant, emerging, creative, and self-shaping, and it encourages personal responsibility for self-learning.

The Open Space model features open facilities, an open agenda, breakout rooms, and blank walls. Its ground rules include focusing on the “here and now” and allowing order to emerge from an apparent lack of planning and structure. The conferences, which last from 1 to 3 days and involve from 20 to 100 participants, have no structured agenda. Team members post issues in the “open space” and assume ownership of their personal issue. Other members choose to work on the issues and are free to move from issue to issue. The outcome is unpredictable, but usually results in deeper understanding and action related to an issue. Owen summarizes his method as:

“whoever comes” “whatever happens” “whenever it starts” “when it is over, it’s over.” (as cited in Rouda, 1996)

Take Away 9.7: Large-Scale Interactive Events

Large-scale interactive events (LSIEs) are system-wide interventions that seek to improve organizational problem solving, leadership, vision, or task accomplishment. Types of LSIEs include Interactive Strategic Planning, Future Search Conference, Conference Model Redesign, and Open Space.

Summary and Resources

Chapter Summary Mission statements, which explain why organizations exist, are often created or revised during strategic planning. Vision statements articulate the organization’s desired future or end state. They are often created or revised during strategic planning. Values statements explain how the organization aspires to behave in pursuit of its mission and vision. These statements are generally created or revised during strategic planning. Environmental scanning is often used to provide a baseline for strategic planning. It is a process of scrutinizing internal and external factors that have implications for the economic, competitive, social, and political context of the organization. SWOT analyses examine the organization’s strengths, weaknesses, opportunities, and threats and use them in strategic planning. SMART goals are speci�ic, measurable, attainable, realistic or relevant, and time bound. Scenario planning develops stories that represent possible outcomes for the organization, which it can use to problem solve and innovate. Organization structure determines how work gets accomplished, how employees relate, and an organization’s level of formality. Organization structure takes several forms, including functional, divisional, matrix, process based, and network. Organization design can be changed through reorganization or restructuring, often in the form of reengineering, mergers and acquisitions, or downsizing. Organization learning represents a learning infrastructure intervention that is concerned with the nature and process of learning and how it can be captured and shared for future advantage. The learning organization makes a strategic commitment to harnessing learning for the organization’s bene�it. Culture is dif�icult to change. Culture change interventions attempt to change the beliefs, values, and behaviors of the organization culture. Interventions to improve diversity and inclusion help the organization maximize innovation because of the variety of ideas a diverse workforce offers. Developing a talent management strategy positions an organization to meet competitive, innovation, and long-term personnel demands. Succession planning is a strategic plan for talent. It identi�ies potential leaders and managers so that the organization is not left without the key skills and talents needed to run the business. Large-scale interactive events (LSIEs) are system-wide interventions that seek to improve organizational problem solving, leadership, vision, or task accomplishment. Types of LSIEs include Interactive Strategic Planning, Future Search Conference, Conference Model Redesign, and Open Space.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Find the mission, vision, and values statement of an organization you belong to or want to explore. Assess

the statements. How compelling and memorable are they? How well do they convey what the organization does?

2. Find the strategic plan of an organization of your choice and review it. What are its strengths and weaknesses? How would you change it?

3. Take time to re�lect and write your own personal mission statement. You can �ind many resources by Googling “personal mission statement.” Or start by reading this informative blog on the topic:

http://www.personalbrandingblog.com/strong -personal-mission-statement-works-like-a-career- gps (http://www.personalbrandingblog.com/strong-personal-mission-statement-works-like-a-career-gps) .

4. Return to the “Dimensions of the Learning Organization Questionnaire” by Watkins and Marsick (http://www.partnersforlearning.com/instructions.html (http://www.partnersforlearning.com/instructions.html) ) to assess whether your organization would qualify as a learning organization. What new insights do you have now that you have learned about organization-level interventions?

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. The chapter began with a vignette about a nonpro�it organization that needed help articulating its mission,

vision, and values, as well as developing a strategic plan. What is your experience with such interventions? 2. Conduct an environmental scan on the topic of your choice, such as a career change, place to live, or social

issue that interests you. How might you apply a similar approach to an organization you work for or are involved with? For more information on environmental scanning, read this article: http://horizon.unc.edu/courses /papers/enviroscan (http://horizon.unc.edu/courses/papers/enviroscan) .

3. Conduct a SWOT analysis of an organization to which you belong. Ideally, assemble a team to join you in the process. If that is not possible, you can conduct one on yourself or a social group to which you belong.

4. Identify the type of organization structure that exists in your current workplace, based on the information provided in the organization design section.

5. Take an inventory of the type of learning activities promoted by your organization. Does it �it the de�inition of a learning organization or organization learning? Why or why not?

6. Take the Equity and Diversity Quiz found at http://www.edchange.org/multicultural /quiz/quiz1.htm (http://www.edchange.org/multicultural/quiz/quiz1.htm) and re�lect on your results. What do you need to work on in the future to become more inclusive in your own life and work?

7. Pick a culture to which you belong and identify examples of the three levels of culture: a. Basic underlying assumptions b. Espoused beliefs and values c. Artifacts

Additional Resources Media

Hilton Hotels Mission, Vision and Values (How does your stay there stack up to this statement?)

https://www.youtube.com/watch?v=LKgGdnz0658 (https://www.youtube.com/watch?v=LKgGdnz0658)

Strategic Planning Explanation

https://www.youtube.com/watch?v=sU3FLxnDv_A (https://www.youtube.com/watch?v=sU3FLxnDv_A)

Organizational Design Concepts

https://www.youtube.com/watch?v=LvyXVTb3f1Y (https://www.youtube.com/watch?v=LvyXVTb3f1Y)

Corporate Culture: A Conversation with Edgar Schein

https://www.youtube.com/watch?v=6ZB3jJlGWuk (https://www.youtube.com/watch?v=6ZB3jJlGWuk)

Talent Management

https://www.youtube.com/watch?v=s5jlNi03m7s (https://www.youtube.com/watch?v=s5jlNi03m7s)

LSIE: Future Search Interview

https://www.youtube.com/watch?v=WPgGv48r_D8 (https://www.youtube.com/watch?v=WPgGv48r_D8)

Web Links

Vision, Mission, and Values Development

Mission Statements.com, which offers instructions for how to write effective mission statements from the Fortune 500.

https://www.missionstatements.com/fortune_500_mission_statements.html (https://www.missionstatements.com/fortune_500_mission_statements.html)

Strategic Planning

Nonpro�it Answer Guide’s Purpose of the Environmental Scan page, which offers instructions on how to conduct an environmental scan that pro�iles current and anticipated environmental factors that may impact your organization.

http://nonpro�itanswerguide.org/faq/strategic-planning/whats-the-purpose-of-the -environmental-scan- for-your-nonpro�it-organization (http://nonpro�itanswerguide.org/faq/strategic-planning/whats-the-purpose-of-the- environmental-scan-for-your-nonpro�it-organization)

MyStrategicPlan, a website that automates an organization’s strategic plans and makes them available via the web, based on what the organization wishes to share.

http://mystrategicplan.com (http://mystrategicplan.com)

Organization Design

Journal of Organization Design, a research journal focusing in organization design.

http://www.jorgdesign.net (http://www.jorgdesign.net)

Microsoft® Of�ice’s page on how to create an organization chart.

http://of�ice.microsoft.com/en-us/word-help/create-an-organization-chart-HA010354860 .aspx (http://of�ice.microsoft.com/en-us/word-help/create-an-organization-chart-HA010354860.aspx)

Learning Infrastructure

Dimensions of the Learning Organization Questionnaire by Watkins and Marsick. Take it and see how ready your organization is for strategic learning.

http://www.partnersforlearning.com/instructions.html (http://www.partnersforlearning.com/instructions.html)

Society for Organizational Learning, a nonpro�it member organization for those interested in organization learning.

http://www.solonline.org/?home (http://www.solonline.org/?home)

Culture

Enhancing Cultural Competence Toolkit, which offers tips for enhancing culture.

http://ctb.ku.edu/en/enhancing-cultural-competence (http://ctb.ku.edu/en/enhancing-cultural-competence)

2014 Top Companies for Diversity. Find out if your company is a top diversity company or where you might want to work of yours is not.

http://www.diversityinc.com/the-diversityinc-top-50-companies-for-diversity-2013 (http://www.diversityinc.com/the-diversityinc-top-50-companies-for-diversity-2013)

U.S. Census on Diversity Projections, which contains U.S. Census data predicting future demographics.

https://www.census.gov/newsroom/releases/archives/population/cb12-243.html (https://www.census.gov/newsroom/releases/archives/population/cb12-243.html)

Multicultural Resources from the University of Georgia College of Education, a wide range of resources focused on diversity that have been organized by faculty.

http://www.coe.uga.edu/diversity/resource/multicultural-web-sites (http://www.coe.uga.edu/diversity/resource/multicultural-web-sites)

Labor Force Participation Rate Age 65 and Older. See how the demographics are shifting.

http://www.census.gov/prod/2013pubs/acsbr11-09.pdf (http://www.census.gov/prod/2013pubs/acsbr11-09.pdf)

Talent Management

Succession Planning: How to Do It Wrong (Forbes)

http://www.forbes.com/2009/07/30/succession-planning-failures-leadership-governance -ceos.html (http://www.forbes.com/2009/07/30/succession-planning-failures-leadership-governance-ceos.html)

Succession Planning: How to Do It Right (Forbes)

http://www.forbes.com/2009/07/31/succession-planning-right-leadership-governance -ceos.html (http://www.forbes.com/2009/07/31/succession-planning-right-leadership-governance-ceos.html)

McKinsey & Company: The Use and Abuse of Scenarios. Tips to keep in mind for scenario planning.

http://www.mckinsey.com/insights/strategy/the_use_and_abuse_of_scenarios (http://www.mckinsey.com/insights/strategy/the_use_and_abuse_of_scenarios)

Large-Scale Interactive Events

Large Group Interventions, by Tom Cummings.

http://online.sfsu.edu/rpurser/Large Group Intervention OD Handbook.htm (http://online.sfsu.edu/rpurser/Large Group Intervention OD Handbook.htm)

Dannemiller Tyson Strategic Vision

http://www.dannemillertyson.com/library/vision_nightmare.html (http://www.dannemillertyson.com/library/vision_nightmare.html)

The Conference Model

https://sites.google.com/site/thechangehandbook/samples/the-conference-model (https://sites.google.com/site/thechangehandbook/samples/the-conference-model)

Future Search Network

http://www.futuresearch.net (http://www.futuresearch.net)

Marvin Weisbord (Future Search Originator)

http://www.marvinweisbord.com (http://www.marvinweisbord.com)

Open Space

http://www.openspaceworld.com/index.htm (http://www.openspaceworld.com/index.htm)

Key Terms

culture The rules, rites, and rituals of social groups that shape the beliefs and behaviors of their members.

diversity and inclusion Interventions aimed at making organizations more welcoming and af�irming of an increasingly multicultural workforce.

downsizing When an organization decreases its size to reduce cost and bureaucracy.

large-scale interactive events (LSIEs) System-wide interventions usually targeted at improving problem solving, leadership, visioning, and task accomplishment between groups.

learning infrastructure When an organization embraces learning as a process and strategy and creates systems to capture and share learning.

mission statement A statement that explains why an organization exists, including its key audience, product, and evaluative measures.

organization design How an organization is set up in terms of reporting relationships; or reorganizing and restructuring to achieve the most appropriate design for the organization’s needs.

organization structure The order of reporting relationships and their general design and relationship to each other, such as functional, divisional, matrix, process based, or network.

reengineering A radical redesign of the organization’s core work processes to provide greater linkage and coordination among tasks with the goal of higher, faster performance.

scenario planning A strategic planning approach that assesses all possible and improbable environmental changes that could affect the organization and creates a story about the possible outcomes.

SMART goal A goal that is speci�ic, measurable, attainable, realistic or relevant, and timely.

strategic planning

when an organization makes a concerted effort to make decisions and embark on actions that shape and guide its entire essence.

succession planning The process of identifying employees with high potential to assume leadership roles in the organization.

SWOT analysis When organization members come together to identify the organization’s strengths and weaknesses, examine environmental opportunities and threats, and create action items to address all of these issues.

talent management Interventions aimed at developing and optimizing the organization’s workforce productivity.

talent management strategy A plan, commitment, and collaboration across the organization to manage talent.

values Principles governing how the organization expects to function in pursuit of the vision and mission.

vision A statement of the organization’s desired future in terms of where the organization wants to go and what the future will be like once it gets there.

10 OD and the Future

Asergieiev/iStock/Thinkstock

Learning Objectives

After reading this chapter, you should be able to:

Examine the emergence of the knowledge society and its implications for organizations, leaders, and OD consultants.

Identify the challenges and opportunities presented by globalization and explain how OD can improve an organization’s ability to manage these challenges.

Identify the implications of ethical OD practices for leaders and OD consultants.

Discuss the future of OD.

Chapter 2 featured a vignette about several companies that failed to change. As a result, their products became obsolete, and they lost their competitive edge. According to Newman (2010), these companies became obsessed with competing in the present and lost sight of the future. In the case of Blockbuster, not only did the company fail to anticipate the future, it turned down the opportunity to buy Net�lix, which now dominates the movie rental industry through Internet video streaming. Why did Blockbuster decide not to buy Net�lix? At the time, Net�lix was losing money (Graser, 2013), and Blockbuster’s management failed to predict customer preference for Internet-based access to entertainment. Graser (2013) explains, “Blockbuster chiefs lacked the vision to see how the industry was shifting under the video rental chain’s feet.” When organizations fail to anticipate the future and change to accommodate it, they are at risk of losing market share or even going completely extinct.

The average life expectancy of a multinational corporation is 40 to 50 years (de Geus, 1997). Very few come close to the life expectancy of humans, which averages about 75 years. By 1983 one third of the companies listed in the 1970 Fortune 500 had vanished, either closing down or succumbing to acquisitions or mergers. Given these statistics, information on preserving organization longevity should be of interest to most companies that wish to survive.

In his book The Living Company, Arie de Geus (1997) examines the factors that keep companies alive for centuries. The book is based on a previously unpublished study commissioned by the Royal Dutch Shell Group, a multinational oil and gas company where de Geus worked. The company was formed in 1907 from the merger of two competing companies, Royal Dutch Petroleum and the Shell Trading Company of the United Kingdom. Incidentally, the word Shell in the company name was derived from the fact that seashells were used for money at the time in the Far East. The previously unpublished Royal Dutch Shell study examined companies older than itself, i.e., those founded before the 1890s.

The Shell Group study de�ined a living company as characterized by four traits that bolster the organization’s ability to be nimble, change ready, and healthy:

1. Sensitivity to the environment. This trait represents the organization’s capacity to learn and adapt. As de Geus (1997) explains, “As wars, depressions, technologies, and political changes surged and ebbed around them, they always seemed to excel at keeping their feelers out, tuned to whatever was going on around them” (p. 6). This trait is also characterized by creating a sense of harmony between the company and its environment. It is also essential in helping the organization change effectively as necessary.

2. Cohesion and identity. This trait is the organization’s ability to create a sense of belonging among its members that is essential for surviving amid change. Managers are generally promoted from within, and their priority is the health of the institution as a whole, other than during times of crisis.

3. Tolerance and decentralization. De Geus (1997) suggests that these traits are symptomatic of the company’s awareness of ecology: “its ability to build constructive relationships with other entities, within and outside itself” (p. 9). Tolerance was selected as the most descriptive word, since decentralization is a modern organizing concept. These companies were highly tolerant of activities on the margins of their business that were experimental and eccentric and stretched their possibilities for innovation.

4. Conservative �inancing. This trait captures the ability to carefully govern the growth and evolution of the organization and ensure there is cash on hand to have the �lexibility and means to explore new ventures that are out of competitors’ reach.

What is remarkable about de Geus’s (1997) �indings is how they parallel conditions for creating and sustaining change in organizations: learning and adapting, commitment to people and the health of the organization as a whole, tolerance of exploration of new ideas, and careful �inancing to support exploration. Where have you observed these traits in your experience with organizations?

This book has explored how organization development uses planned change to help individuals, groups, and organizations become more effective and productive. It has examined the dynamics of change and the major phases of planned change according to the action research process: planning, doing, and checking. It has also looked at some of

istocksdaily/iStock/Thinkstock A key factor in promoting an organization’s long-term sustainability is its ability to build relationships with those inside and outside itself.

the interventions that arise as a result of engaging the OD process at the individual, group, and organization level.

In the �inal chapter of this book, it is worth reminding ourselves that remain-ing relevant and competitive for the long haul requires ongoing learning, re�lection, and commitment to change. OD can help organizations respond to shifting conditions in ways that keep them relevant, competitive, and healthy. Particularly, organizations need to be prepared to compete in the knowledge society and respond to a globalizing and changing workforce. OD consultants can help organizations prepare for and respond to changing contexts by delivering quality consulting and observing OD ethics and values.

10.1 Emergence of the Knowledge Society

The social, political, economical, and cultural world is interconnected and global. The emergence of technology and dominance of the creation and sharing of learning is known as the knowledge society. Also referred to as the knowledge economy, the knowledge society has replaced the industrial society. “Knowledge societies are about capabilities to identify, produce, process, transform, disseminate and use information to build and apply knowledge for human development” (Bindé, 2005, p. 27). Embracing the knowledge society helps organizations develop what de Geus (1997) termed “sensitivity to the environment” (p. 9) in the opening vignette. This sensitivity is an organization’s capacity to learn and adapt.

This shift has implications for organization strategy, challenges, and interventions. Today we have almost instant access to vast quantities of global information. Yet information is not knowledge. Converting information into knowledge requires critical thinking to distinguish useful from useless information, as well as new technologies to connect existing forms of knowledge with new forms.

In developed nations, communications technology and the Internet mediate the knowledge society. Not everyone, however, has this access. The gap between those who have technology and the resources to use it and those who lack this access is known as the digital divide. “Although some may say the digital divide has been bridged, visiting impoverished inner-city, small rural, and violence-torn areas around the globe reveals scores of people who do not have access to electricity, technology, and the outside world” (King, 2010, p. 426).

Opportunities and Challenges of the Knowledge Society

The key challenges of the knowledge society include accelerated change, hypercompetition, and creating new knowledge (Adams, 2012). People are stressed trying to keep up with the impossible information explosion and continue learning.

Accelerated Change

Earlier in this book we drew on Heraclitus’s philosophy to underscore the adage that change is the only constant. OD helps an organization plan change so it can respond to the unexpected and strategize for the future. Friedman noted in his 2007 book, The World Is Flat, that technological advancement has resulted in a reality in which

engines can now talk to computers, people can talk to people, computers can talk to computers, and people can talk to computers farther, faster, more cheaply, and more easily than ever before. And as that has happened, more people from more places have started asking one another the same two questions: “Can you hear me now? Can we work together now?” (pp. 198–199)

What pressures have you felt in dealing with the deluge of information that comes at you daily?

Hypercompetition

In a global context, information overload puts increasing pressure on organizations to change quickly. Hypercompetition is typical when new markets or industries emerge, such as what occurred with smart devices and apps. Competition may be created through pricing, invading markets with better or newer products, or creating new alliances, such as when AT&T purchased DirecTV. New, innovative technology shifts the rules and creates competitive advantage and pro�its. These advantages are often short lived, however, because the competition works to keep up and ultimately innovates beyond the new product or service. Hypercompetition puts extreme pressure on organizations and accelerates the change process. Following a quality, ethical OD process is imperative in these situations.

Darrin Klimek/Photodisc/Thinkstock Technological advances have promoted the emergence of the knowledge society, or knowledge economy.

Challenge to Create New Knowledge

Needed and valued knowledge society competencies include the ability to deeply understand and synthesize information, effectively function interpersonally through soft skills such as team work, and engage in high-quality learning (Dumont & Istance, 2010). Chapter 9 discussed organization learning and learning organizations as responses organizations make to an increasing knowledge society. When CEOs talk about increasing human capital, what they are really discussing is the capacity to generate and share knowledge through people. In what ways have you seen or experienced new knowledge creation?

Corporations are not the only organizations that have embraced the knowledge society and learning as a strategy. Schools aspire to become learning organizations (Senge, Cambron-McCabe, Lucas, Smith, & Dutton, 2012), and governments, nonpro�it organizations, and corporations are coming together to solve social problems using learning strategically (Senge, Smith, Kruschwitz, Laur, & Schley, 2008).

Keeping Up

With technological innovations and knowledge explosion comes the stress of trying to keep up with impossible volumes of information and the need to continue to learn. Information is at our �ingertips most anytime and anywhere, making it impossible to keep pace. According to

Schilling (2013), information doubles every 12 months, soon to be every 12 hours. Even basic, routine transactions require new knowledge, such as paying automated parking meters, self-scanning groceries, checking in for a �light on a smartphone, or searching online for health information.

Becoming Lifelong Learners

Lifelong learning is a self-directed process of seeking knowledge for personal, professional, or civic enhancement. It heightens social, emotional, mental, intellectual, community, spiritual, professional, and economic health. Lifelong learning is also the best defense against the overwhelming deluge of information that is available—and growing— on a daily basis. Since knowledge becomes increasingly obsolete as new information becomes available every second, how people learn and teach will likely have to change. It will be advantageous to develop more �lexible approaches to learning new knowledge and to question existing knowledge. Lifelong learning will enable people to keep up, remain relevant, and contribute to relationships and the workplace.

Who Invented That? MOOCs

A good example of the challenges and opportunities of a knowledge society is the development of MOOCs (massive open online courses). MOOCs provide learners worldwide with an opportunity to build knowledge on a scale never before seen. An MOOC provides open access—it is available to anyone with an Internet connection who wishes to participate.

MOOCs combine traditional learning pedagogy such as streamed video, readings, and problem solving with virtual pedagogy such as interactive user forums and web-based activities to facilitate learning and community among the participants. It remains to be seen if this free, open-access innovation will grow to become recognized as a valid educational option.

To learn more about MOOCs in which you can participate, check out this top ten list: http://www.bdpa- detroit.org/portal/index.php/comittees/high-school-computer-competition-hscc/29-

education/57-moocs-top-10-sites-for-free-education-with-elite-universities.html (http://www.bdpa- detroit.org/portal/index.php/comittees/high-school-computer-competition-hscc/29-education/57-moocs-top-10- sites-for-free-education-with-elite-universities.html) .

The Role of the OD Consultant in the Knowledge Society

OD consultants can play a range of roles when helping organizations address knowledge society challenges. Refer back to the characteristics of the living company presented in the opening vignette. You could apply those steps as OD interventions with clients to cope with the knowledge society: being sensitive to the environment and learning and adapting to it, promoting organization cohesion and unity in the face of change, building tolerance and constructive relationships with multiple entities, and adopting conservative �inancing that helps govern and fund careful growth.

There are many other ways OD consultants help organizations cope with the knowledge society. One is to work with them to design ways to capture and share learning related to their processes and products. Another is to anticipate group and team dynamics issues that might arise, given the challenges of a knowledge society. Consultants can also help organizations plan ways to respond to technological and web evolutions, such as creating a social networking strategy or using collaborative virtual tools for meetings and training. Technology may also be able to assist change efforts through new communication, training, and meeting modes.

Take Away 10.1: Emergence of the Knowledge Society

The knowledge society, or interconnectivity of the social, political, economical, cultural, and global world, has created information overload and technological innovation. The knowledge society presents both opportunities and challenges, including accelerated change, hypercompetition, new knowledge creation, pressure to keep up, and the need to become lifelong learners. Consultants can support organizations in the knowledge society by helping them �ind ways to capture and share learning and respond to new challenges using the action research process to solve problems.

Luciano Lozano/Moment/Getty Images Globalization is creating new opportunities to connect and collaborate around the world.

10.2 Globalization and the Changing Workforce

Boundaries are more permeable than ever before. Goods and services cross borders and cultures easily. Your morning coffee may come from Colombia; your clothing may come from China; and the person processing your order may work at a call center in India. This exchange of goods and services across countries and cultures is called globalization.

International commerce has existed for centuries. What distinguishes today’s global market, however, is its speed and intensity, or its shift from “connected to hyper connected” (Friedman, 2011). To survive, organizations must develop work teams able to collaborate virtually across borders and time zones. Globalization also challenges organizations to be accountable to workers and communities in distant regions, as well as to the global environment. Although global markets bring a wide variety of products and services to a large audience, their drawbacks include environmental destruction, pollution, and the exploitation of workers, including child labor. Such drawbacks have intensi�ied pressure to hold corporations accountable for their impact on communities and the environment. Given the pace and scope of globalization across national, social, political, economic, and cultural borders, it is becoming more incumbent on organizations to advocate social responsibility and sustainability (Scherer, Palazzo, & Matten, 2010).

Growth of Outsourcing

The notion of globalization may call to mind the outsourcing of manufacturing to low-income, low-wage countries, or mega multinational corporations that operate worldwide with little accountability or regulation. Outsourcing is the transferring of portions of production to outside suppliers as a means of cost reduction.

Outsourcing challenges how we de�ine organization boundaries and our assumptions about work and organizations. Temporary, contract, and other contingent workers now carry out work that was once done only by full-time, permanent employees. Teams are quickly and easily assembled across global boundaries and just as easily disbanded when the work is �inished. Work colleagues and customers are more diverse than ever before, which creates more opportunities for innovation and creativity but also miscommunication and misunderstanding. Expectations for productivity and results are high. These dynamics put pressure on employees and organizations. Consultants bring an understanding of the human dynamics of change and are attuned to the social costs and bene�its of the organizational challenges that accompany globalization and outsourcing.

Growth in Cultural Diversity

As the world seems to get smaller through globalization and the increased communication capacity afforded by technology, people are more aware than ever of the diversity of the world’s 7 billion people. The population is aging and growing, and many nations are challenged with increased cultural and ethnic diversity, including the United States. According to the latest U.S. Census (Humes, Jones, & Ramirez, 2011), from 2000 to 2010 the Hispanic population accounted for 43% of the total population growth, Asians 43.3%, and African Americans 12.3% (Humes et al., 2011). Such demographic changes create both tensions and opportunities. Tensions arise as cultural and ethnic groups are faced with preserving their culture and language versus adopting the norms of the dominant culture. Opportunities to collaborate, innovate, and learn abound with these shifts.

Although it is impossible to categorize all of the nuances of culture, some authors have attempted to highlight the range of cultural differences, such as Hofstede’s dimensions of culture (Hofstede, Hofstede, & Minkov, 1991). This work began in the 1960s with survey research on attitudes and values of people in 40 different countries, with more recent research including 76 countries. Hofstede and colleagues (1991) distinguished six cultural dimensions known as power distance, uncertainty avoidance, individualism versus collectivism, masculinity versus femininity, long-term versus short-term orientation, and indulgence versus restraint. The dimensions are summarized in Table 10.1.

Table 10.1: Hofstede’s dimensions of culture

What dimensions have you noticed in cultures to which you belong and with which you interact?

Growth in Age-Related Diversity

Around the globe, the population is dramatically aging. Fertility has declined in industrialized nations as longevity has increased, creating an effect such that “in less than 10 years, older people will outnumber children for the �irst time in history” (Withnall, 2012, p. 650). Eleven percent of the world’s population was made up of older adults in 2010, but that number is expected to grow to 22% by 2050 (World Economic Forum, 2012).

Multiple Generations

Today’s U.S. workforce represents four distinct generation groups that have different values and mindsets (Gesell, 2010; Hahn, 2011). When these multiple generations work together, conditions are ripe for misunderstanding each other (Ulrich, 2001). The four generational groups are (dates are ranges that vary according to source):

1. traditionalists, born in or before 1945; 2. baby boomers, born 1946 to 1964; 3. generation X, born 1965 to 1976; and 4. the millennials, also called generation Y, born 1977 to 1997.

Multigenerational issues intersect with the knowledge society, globalization, technology, and cultural diversity. These dynamics affect the people who work in organizations and may create innovation, con�lict, challenge, learning, and of course change due to different work styles values, beliefs, attitudes, and culture. Table 10.2 compares certain characteristics of each group. Bear in mind that these are generalizations; that is, they are not descriptive of every person within the population. Each generation’s individuals have unique personalities, values, and life experiences.

Table 10.2: Generational differences

Generation Characteristics Information consumption and in�luences

Work expectations

Traditionalists

(also called the silent generation, the greatest generation, veterans, or seniors)

Diminishing in the workforce due to retirements Solid and reliable Value consistency Change is challenging Loyal

Newspaper Radio Movie theaters

Authority �igures are to be obeyed Achievement depends on hard work, obeying rules Rewards for their commitment and loyalty Comfortable with delayed recognition and reward

Generation Characteristics Information consumption and in�luences

Work expectations

Baby boomers Largest group in workforce Loyal with a strong sense of duty Optimistic Known as workaholics Grew up in nuclear families Tend to be managing or are managed by people young enough to be their children Natural change agents Strong work ethic

Television Visual news stories about civil rights, Vietnam War, and Apollo 11 moon landing

Team oriented Empowerment Seek personal grati�ication and growth Dynamic work environment Equate work with self-worth Arrive early, engage in overtime as a moral obligation

Generation X

(also called the “sandwich generation” due to its position between two large generational groups)

Smallest generation Independent Global thinkers Self-directed Techno-savvy Latchkey generation Self-suf�icient Adaptable to change Self-reliant Resourceful Balanced

Media Expanding technology MTV and video game era Videocassette recorder Advent of home computers during lifetime

Appreciate and seek quality of life Prefer action over talk Value balance, fun, informality Require individual positive feedback and recognition Thrive on challenge Want to lead and follow Embrace self- governance Prefer to work alone rather than on a team

Generation Characteristics Information consumption and in�luences

Work expectations

Millennials, generation Y Will become largest generation Less than half of today’s workforce Con�ident Optimistic Sociable Accept multiculturalism Value change Open minded Strive to be part of greater good High sense of civic duty and morality

Technology Instant communication Cell phones Social networking

Flexible work schedules Life balance Inclusivity Can-do attitude Multitasking Goal oriented Embrace teamwork Have solid trust in authority Want to understand “why?” Need ongoing feedback Less adept at reading nonverbal cues and understanding social context cues for appropriateness

Source: Adapted from Gesell, 2010, and Hahn, 2011.

What is your generation? Do you agree with the descriptions?

Tips and Wisdom

Gesell (2010) offered some OD interventions that help avoid or minimize intergenerational con�lict:

Facilitate open dialogue among the generations. OD consultants are usually skilled dialogue facilitators and can help organizations learn how to have multigenerational conversations. When leaders understand generational differences, they can lead the different groups according to their needs and expectations. Help organization members explore generational differences through formal OD interventions in which each generational group shares information about its history. Types of information might include:

1. historical events of the generation; 2. trends, people, and popular culture of the time; 3. key values of the generation; 4. key challenges of the generation; 5. perceptions of other generations; 6. bene�its and challenges of working with other generational groups; and 7. things they wish other generations knew about them.

Several of the team-building and con�lict-management interventions discussed in Chapter 8 would also be effective for working with multigenerational groups.

An Aging and Shrinking Workforce

An aging population has implications for the U.S. workforce. It means that multiple generations work side by side, which can create con�licts in work values and expectations. It also increases the need for talent management to ensure that people working later in life continue to be challenged.

Moreover, although a higher percentage of older workers are now staying in the workforce, when the baby boomer generation begins to retire in large numbers, a signi�icant labor shortage will occur. According to employment predictions published by the U.S. Department of Labor (2013), the country is facing a workforce shortage that will potentially slow economic growth in the next decade. Although annual economic growth is predicted to be 0.7%, the workforce is predicted to grow at only 0.5% per year. Workers age 55 and older will make up more than 25% of the workforce in 2022. The overall decline in the labor force participation rate will be from 63.7% in 2012 to 61.6% in 2022, with declines predicted for both women and men. Job openings are predicted to be 50.6 million in total, with 67.2% of those jobs coming from replacement needs. A shrinking workforce will require talent management, especially in the areas of attracting and retaining workers. Competition may drive wages higher and force organizations to offer more bene�its and incentives in order to retain employees.

Opportunities and Challenges of Globalization

Globalization has created several positive opportunities for organizations, countries, and citizens. First, it has accelerated economic growth, particularly in poor countries. It has helped bolster wages and redistribute wealth, while also improving product quality. Globalization has also helped reduce poverty; for example, between 1993 and 1996, the number of people living on less than $1 per day (absolute poverty as de�ined by the World Bank) declined from 432 million to 267 million (Griswold, 2000). Globalization has raised the standard of living and brought better medical care and education to remote and impoverished places. Global adoption of technological innovations has improved global commerce, communications, and cultural exchanges.

Globalization has also created challenges. It has been blamed for increasing child and unfair labor practices, environmental destruction, and the gap between the world’s richest and poorest citizens. Within organizations, it has intensi�ied expectations for workplace �lexibility and virtual of�ice arrangements, requiring different measures of communication and performance in these environments. Globalization is also creating new challenges for communicating across languages, geographical borders, and cultures. This is also met by increasing need to develop leaders who can be effective in multiple environments.

The Role of the OD Consultant in Globalization

OD helps organizations respond to the challenges of globalization by using the action research process to identify problems and opportunities and to improve functionality, particularly in virtual communications and work practices. Group and team interventions, discussed in Chapter 8, can particularly help organizations manage the con�licts and differences that arise with a globalizing workforce.

Tips and Wisdom

Globalization complicates leadership across national, geographical, and cultural boundaries and therefore requires organization leaders—and OD consultants—to think systemically about organization challenges and strategies. Consult the research journal International Journal of Complexity in Leadership and Management to learn more about issues related to leading in global context: http://www.inderscience.com/jhome.php?jcode=ijclm (http://www.inderscience.com/jhome.php? jcode=ijclm) .

OD interventions can also bolster capacity to facilitate multilingual written and verbal communication, including by recruiting and retaining a multilingual workforce. Organizations will also be challenged to embrace cultural differences and �ind ways to create synergies on increasingly diverse work teams. OD consultants need to understand multiple cultural norms so they can help organization members work together effectively.

Take Away 10.2: Globalization and the Changing Workforce

Globalization, the exchange of goods and services across boundaries and cultures, has prompted the growth of outsourcing. Globalization has heralded increases in cultural diversity, including shifts in age-related demographics, multiple generations working side by side, and a shrinking workforce. Challenges of globalization include increasing child and unfair labor practices, environmental destruction, and inequality. Opportunities presented by globalization include increasing technological innovation, communicating instantaneously, accelerating economic growth, bolstering wages, redistributing wealth, and improving product and service quality. OD consultants support globalizing organizations by helping them identify and capitalize on globalization’s opportunities while meeting its challenges.

10.3 OD Ethics and Values

Discussions of OD values, practices, and purposes have been ongoing since the �ield’s inception (Minahan & Norlin, 2013). OD is founded on a humanistic ethic that seeks to develop individuals and the organization in positive, productive ways. This section examines ethics in the workplace, ethical guidelines for consultants, corporate social responsibility, and the role of OD consultants in upholding ethical practice.

Ethics in the Changing Workplace

In a 2013 survey, only 21% of Gallup Poll respondents rated business executives as having high ethical standards (Pastin, 2013). This indicates that both leaders and consultants need to work to ensure that ethical OD is in practice and perceived as such by employees. Serving as ethical role models is not easy in a workplace riddled with ethical dilemmas. Ethics challenges arise daily in organizations and become even more pronounced when change is in progress and employees are on edge. Typical ethical dilemmas during change might include interpersonal con�licts, misunderstandings, differences in values or goals, or disagreements over the best courses of action when solving problems. You might observe behaviors such as withholding information, unfair treatment of employees, others taking credit for work that is not theirs, harassment, bullying, gossiping, or lying. What types of unethical behavior have you witnessed or experienced?

Pastin (2013) identi�ied different ways people handle ethical issues at work. These include:

1. Conformity. Conformists follow rules and do not question authority �igures. They do not want to rock the boat. Although conformists might be perceived as always doing the right thing, they might also look the other way in the presence of unethical behavior by individuals higher up in the organization hierarchy. Conformists may experience ethical con�licts in organizations that lack strict rules and clear consequences for not following them.

2. Negotiation. Negotiators make up rules as they go about organization change. When confronted with a questionable situation, such as a colleague handling personal matters on company time, negotiators will take a wait-and-see approach to see if the consequences of the colleague’s behavior worsen or affect them negatively. Negotiators experience ethical con�licts when they are required to make decisions without guidelines, because they change the rules according to what seems easiest at the time.

3. Navigation. Navigators follow an internal compass to guide their actions when confronted with unethical behavior. They usually have an innate sense of right and wrong and rely on it. They are willing to make unpopular choices by following this moral compass. Navigators can be natural leaders and earn their colleagues’ respect and con�idence. Navigators tend to succeed in most organizations and will leave those they believe to be unethical.

4. Wiggling. Wigglers do not follow a moral compass. They take the route that gives them the most advantage. Motivated by self-interest, wigglers will engage in what most would perceive as unethical behavior, such as lying, if it will help them gain favor with a supervisor or avoid con�lict with a colleague. Wigglers get into trouble when others regard them as dodging ethical issues to protect themselves.

Assessment: Which Ethical Type Are You?

Take this assessment to understand what your ethical tendency is. Your ethical style is not permanent, so you can use this information to help you make more ethical decisions.

http://www.healthethicstrust.com/otjet (http://www.healthethicstrust.com/otjet)

The Role of the OD Consultant in Upholding Ethical Guidelines

Conducting OD inevitably raises ethical issues, and one of the consultant’s roles is to ensure that the process upholds OD ethics and standards. The OD code of ethics was presented in Chapter 1. Throughout this code, you can see OD’s humanistic orientation in the way it emphasizes quality of life, health, justice, dignity, win–win outcomes, holistic perspectives, and participative decision making: http://www.isodc.org (http://www.isodc.org) .

Nekoranec (2009) views the OD consultant’s role as holding leaders acco-untable for ethical behavior so that interventions are ethical and legally acceptable. He notes it is important for OD consultants to ask leaders, “Will this course of action generate the right outcome?” De Geus (1997) notes that leaders should preserve the health of the whole organization during change, which is also an ethical imperative.

Nekoranec (2009) identi�ied three themes for leaders’ ethical actions when making decisions. OD consultants can ask leaders questions around each of these themes as they help clients navigate the ethics of change. Leaders can use some or all of these when making decisions. These themes include:

1. Personifying espoused values a. Taking on a role as ethical vanguard b. Acting with integrity to do the right thing c. Re�lecting on courses of action d. Speaking honestly and frankly about issues e. Learning from the past f. Leading inclusively g. Serving as a role model of values h. Showing and explaining emotions: OD consultants might ask clients, “How will employees perceive your

values as we go about this change?” 2. Building relationships for harmony and purpose

a. Supporting people and helping them bring out their best b. Respecting others c. Sharing information d. Earning trust in leadership e. Maintaining a visible pro�ile and being approachable: OD consultants might ask clients, “How will your

employees achieve greater harmony and purpose as we go about this change?” 3. Working for mutually bene�icial solutions

a. Getting the facts honestly and openly b. Seeking counsel to clarify thinking c. Knowing the legal parameters d. Listening to employees’ feelings and thoughts e. Negotiating the information-gathering process f. Challenging the organization to �ind a more effective solution: OD consultants might ask clients, “How will

you help employees achieve mutually bene�icial outcomes as we go about this change?”

Nekoranec (2009) also identi�ied two types of leadership styles that make achieving ethical outcomes more problematic for OD consultants. The �irst is bad leadership that will result in ineffectual outcomes or unethical leadership. Bad leadership is usually incompetent, rigid, and intemperate. In such cases Nekoranec advises OD consultants to move on to other clients. The other type of problematic leadership style is ethically neutral. Although these leaders may support ethical OD interventions, they are generally not accustomed to ethical practice. They need to be reminded of ethical issues and the importance of ethical outcomes through coaching and direct nudging from the consultant.

Holding Ourselves Ethically Accountable as OD Consultants

Before we can be both worker and organization advocates, we need to think about our own ethics and responsibilities. Cheung-Judge (2012) recommends that OD consultants own, re�ine, and integrate self-knowledge to remain sharp; they should do this by developing lifelong learning habits, working through issues of power, building emotional and intuitive self-awareness, and committing to self-care.

Gellerman, Frankel, and Landenson (1990) present ethical guidelines for OD consultants that are worth re�lection and consideration. They note that ethical OD practice is represented by:

1. Upholding responsibility to ourselves. This occurs when consultants carry out OD with integrity and authenticity, continually pursue self-development, and uphold individual interests in a fair and equitable way. It is dif�icult to advocate change for others if we are not actively engaged in changing and developing ourselves.

2. Being responsible for professional development and competence. Taking this responsibility means we are accountable for our actions, committed to our own continuous learning and development, and dedicated to maintaining our professional competencies. In essence, as OD consultants, we have to practice what we teach!

3. Being responsible to stakeholders. This responsibility involves seeking the long-term well-being of OD stakeholders (such as employees, customers, community, and the environment) and conducting ourselves with honesty, responsibility, and integrity. This means asking tough questions and upholding the consulting role of authenticity with the client.

4. Being responsible to the profession. This responsibility entails contributing to the OD knowledge base, promoting sharing of knowledge and learning, and respecting other OD professionals.

5. Considering the consequences of our actions. This social responsibility is concerned with both the client and the larger social system; it involves carrying out OD with cultural sensitivity and social justice.

Practicing the OD code of ethics and following Gellerman, Frankel, and Landenson’s (1990) guidelines will position consultants to advance OD well into the future.

Tips and Wisdom

Shepard (2006) offered the following advice for OD consultants:

1. Stay alive. 2. Start where the system is. 3. Never work uphill. 4. Do not build hills as you go. 5. Work in the most promising arena. 6. Do not use one when two could do it. 7. Do not overorganize. 8. Do not argue if you cannot win. 9. Play God a little.

10. Innovation requires a good idea, initiative, and a few friends. 11. Load experiments for success. 12. Light many �ires. 13. Keep an optimistic bias. 14. Capture the moment.

Corporate Social Responsibility: Promoting OD Values in a Changing Workplace

OD plays a unique role in organizations: It is in a position to champion workers’ needs while also addressing organization needs that might range from recruitment to termination of the employment relationship. OD can also help the organization improve its processes, services, and products in a way that bene�its all stakeholders and ensures organization health.

Tips and Wisdom

A key way to think about OD is as a process of improving human systems, as noted in the Organization Development Network’s (n.d.) Strategic Plan: “Organization Development is a �ield central to creating effective and healthy human systems in an inclusive world” (p. 3).

Holding organizations accountable for the footprint they leave on people, communities, and the environment is known as corporate social responsibility (CSR). CSR movements often tout sustainability, the idea that the business uses renewable energy, has a minimal impact on the environment, and adopts humane workforce practices. CSR and sustainability are directly linked to globalization and concerns about how it exploits people and places (Bierema & D’Abundo, 2004).

Fenwick and Bierema (2008) interviewed human resource development (HRD) executives from high-pro�ile Canadian and U.S. corporations to understand how they perceived their roles and challenges in implementing CSR. They found that participants’ engagement centered on employee learning and promotion, employee ownership of development, and employee safety and respect. Overall, however, HRD appeared to be only marginally involved or interested in the �irms’ CSR activities. Because OD falls under the HRD function in many organizations, these results should be cause to examine how OD interprets an organization’s commitment to CSR. Given the inherent risks of global commerce, individuals and organizations are under more pressure to behave responsibly. OD’s humanistic philosophical orientation, discussed at length in Chapter 1, positions the process to take a humane approach to organization change, making OD more relevant today than ever before.

Case Study: Corporate Social Responsibility at CarCO

Lauren has enjoyed working at CarCO as the plant manager. She is currently being groomed for a promotion to oversee manufacturing operations at multiple plants. Lauren is looking forward to the challenge of having more responsibility and has several ideas she wants to implement, especially after attending a leadership development program over the past year. She has become involved with a local environmental nonpro�it in her free time and has become increasingly concerned with environmental conservation and pollution control. As plant manager, she has implemented several conservation programs that lessened the plant’s carbon footprint.

As Lauren transitions into her new role, she is invited to a corporate strategic planning meeting to assess manufacturing capacity and future growth. During the meeting, some of the executives begin to discuss the logistics of expanding production at one of the plants that will fall under Lauren’s responsibility. One of the issues is wastewater treatment and whether the plant can comply with industry standards and still be productive. Although the company can easily comply with federal standards, the new industry standards are environmentally stricter and more costly to implement. The community and environmental groups are

pressuring the company to adopt the higher industry standards; moreover, the executives acknowledge that, in the long run, this is probably the direction federal regulation would go.

The discussion is quite lively, and it becomes clear that the majority are in favor of the lesser, cheaper wastewater treatment options that merely meet federal compliance. The issue is never resolved, and Lauren is left wondering what her options are and whether she should raise the issue or do what she thinks is right when the time comes for her to take over operations.

Critical Thinking Questions

1. What are the ethical issues in this case? 2. What would be the socially responsible response? 3. How might this ethical issue be handled from each of the four perspectives offered by Pastin

(2013): conformity, negotiation, navigation, and wiggling? 4. If you were brought in to work with Lauren and the executives around this issue, what OD

approaches would you recommend?

OD in the Future

What is the future of OD? Cummings & Worley (2009) predict it will be more widely adapted across a range of organizations and be more involved in supporting technological and managerial innovation. OD will also take on more diversity and inclusion issues and focus more on ecological sustainability. OD has helped organizations adapt and change for more than 50 years. If OD is to replicate the success of the companies pro�iled by de Geus (1997), the �ield will need to �ind ways to continually learn and adapt, commit to sustaining the health of the organization and its workers, explore new ideas, and invest in new theories and practices that work. Given its humanistic value system, it is �itting for OD to �ind ways to help organizations meet mounting expectations for corporate social responsibility and sustainability.

OD’s key contribution is to help human systems learn and change (Minahan & Norlin, 2013). Is there a place for OD in the future? Absolutely. As Hamel and Breen (2007) assert, for organizations to be healthy for the future, they need to be healthy for human beings. Creating healthy organizations for healthy human beings is how OD makes a difference.

Take Away 10.3: OD Ethics and Values

OD ethics and values help uphold OD’s humanistic stance. OD consultants can remind leaders to prioritize ethics during change. OD consultants should uphold the OD code of ethics and hold clients accountable for ethical leadership. Corporate social responsibility is the process of holding organizations accountable for their effects on people, communities, and the environment. In the future, OD will continue to create healthy organizations for healthy human beings.

Graeme Wise, managing director of The Body Shop Australia, discusses the organization's commitment to ethics and corporate social responsibility.

The Body Shop and Corporate Social Responsibility

The Body Shop and Corporate Social Responsibility From Title: Ethics and Social Responsibility in Business

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© Infobase. All Rights Reserved. Length: 03:48

  0:00 / 3:47 1x

Summary and Resources

Chapter Summary The knowledge society, or interconnectivity of the social, political, economical, cultural and global world, has created information overload and technological innovation. The knowledge society presents both opportunities and challenges, including accelerated change, hypercompetition, new knowledge creation, pressure to keep up, and the need to become lifelong learners. Consultants can support organizations in the knowledge society by helping them �ind ways to capture and share learning and respond to new challenges using the action research process to solve problems. Globalization, the exchange of goods and services across boundaries and cultures, has prompted the growth of outsourcing. Globalization has heralded increased cultural diversity, including shifts in age-related demographics, multiple generations working side by side, and a shrinking workforce. Challenges of globalization include increasing child and unfair labor practices, environmental destruction, and inequality. Opportunities presented by globalization include increasing technological innovation, communicating instantaneously, accelerating economic growth, bolstering wages and redistributing wealth, and improving product and service quality. OD consultants support globalizing organizations by helping them identify and capitalize on globalization’s opportunities while meeting its challenges. OD ethics and values help uphold its humanistic stance. OD consultants can remind leaders to prioritize ethics during change. OD consultants should uphold the OD code of ethics and hold clients accountable for ethical leadership. Corporate social responsibility is the process of holding organizations accountable for their effects on people, communities, and the environment. In the future, OD will continue to create healthy organizations for healthy human beings.

Think About It! Re�lective Exercises to Enhance Your Learning 1. Minahan and Norlin (2013) suggest that the current workplace context raises questions for OD

practitioners, such as: How do we negotiate the needs of the individual versus the needs of the organization? What should OD’s value orientation be? What are the consequences of OD’s humanistic values? How can we be honest with clients about our concerns and anxieties about working in current workplace context? Who gets to de�ine what makes effective OD? Re�lect on these questions and formulate your own answers.

2. Think of a time when a failure to change impacted your life. The failure can be yours or another person’s and can relate to a product, process, relationship, expectation, or outcome. What was the outcome? What did you learn?

3. Review this article on General Motors’ disastrous ignition switch recall and identify the key ethical issues: http://www.nytimes.com/2014/03/25/business/carmaker -misled-grieving-families-on-a-lethal- �law.html?_r=0 (http://www.nytimes.com/2014/03/25/business/carmaker-misled-grieving-families-on-a-lethal- �law.html?_r=0) .

Apply Your Learning: Activities and Experiences to Bring OD to Life 1. Go to the Miniature Earth site (http://www.miniature-earth.com (http://www.miniature-earth.com) ) and

write a one-page summary of issues you identify and their implications for workplaces and OD. 2. Check out an OD professional and her re�lections on her path and work: Pro�ile in OD: Chief Learning Of�icer

Magazine features Tonya Cornelius, VP of Learning and OD for ESPN: http://clomedia.com/articles/view/espn-s-top-play-learning (http://clomedia.com/articles/view/espn-s- top-play-learning) .

3. Go to the U.S. Department of Labor website (http://www.dol.gov (http://www.dol.gov) ) and search topics that interest you. What did you search? What did you learn?

4. Review the Organization Development Network: The Essential Elements of OD Curricula: http://www.odnetwork.org/?page=EssentialElements (http://www.odnetwork.org/? page=EssentialElements) .

5. Consider the case of the Sriracha hot sauce plant discussed in this article (http://america.aljazeera.com/articles/2013/10/29/sriracha-lawsuitmaymakeprices jumpreport.html (http://america.aljazeera.com/articles/2013/10/29/sriracha- lawsuitmaymakepricesjumpreport.html) ) and identify the key ethical and corporate social responsibility issues.

Additional Resources Web Links

Business Ethics Case Studies, resources on business ethics.

http://www.web-miner.com/busethics.htm (http://www.web-miner.com/busethics.htm)

Corporate Responsibility Magazine, a publication that focuses on sustainable, responsible business practices.

http://www.thecro.com (http://www.thecro.com)

Hofstede Centre, for more about Geert Hofstede’s work on culture.

http://geert-hofstede.com (http://geert-hofstede.com)

Monthly Labor Review, U.S. Department of Labor, for reports on labor trends.

http://www.bls.gov/opub/mlr/2013/article/overview-of-projections-to-2022-1.htm (http://www.bls.gov/opub/mlr/2013/article/overview-of-projections-to-2022-1.htm)

MOOCS: Top 10 Sites for Free Education with Elite Universities.

http://www.bdpa-detroit.org/portal/index.php/comittees/high-school-computer -competition-hscc/29- education/57-moocs-top-10-sites-for-free-education-with-elite -universities.html (http://www.bdpa- detroit.org/portal/index.php/comittees/high-school-computer-competition-hscc/29-education/57-moocs-top-10-sites-for- free-education-with-elite-universities.html)

Organization Development Network: The Essential Elements of OD Curricula.

http://www.odnetwork.org/?page=EssentialElements (http://www.odnetwork.org/?page=EssentialElements)

Trompenars Seven Dimensions of Culture, another model for understanding culture.

http://www.mindtools.com/pages/article/seven-dimensions.htm (http://www.mindtools.com/pages/article/seven-dimensions.htm)

Media

Summit on the Future of the Corporation (Arie de Geus is one of the speakers)

https://www.youtube.com/watch?v=3iKdesdRojo (https://www.youtube.com/watch?v=3iKdesdRojo)

The Power and Promise of Diversity: SAP

https://www.youtube.com/watch?v=0P9M-1eEQFM (https://www.youtube.com/watch?v=0P9M-1eEQFM)

Boomers, Gen X and Gen Y: Multigenerational Workforce

http://youtu.be/RGNiXMlLzO8 (http://youtu.be/RGNiXMlLzO8)

Key Terms

corporate social responsibility (CSR) The movement toward holding organizations accountable for the footprint they leave on people, communities, and the environment.

digital divide The gap between people, communities, or countries with ready access to technology and the resources to use it versus those without technological access and knowledge.

globalization The exchange of goods and services across boundaries and cultures.

outsourcing Transferring portions of production to outside suppliers as a means of cost reduction.

sustainability The idea that business can be maintained by using renewable energy, having a minimal impact on the environment, and employing humane workforce practices.

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