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5 Action Research: The Doing Phase

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Learning Objectives

After reading this chapter, you should be able to:

• Describe factors that influence a client and organization’s readiness for change and promote acceptance of interventions.

• Define an OD intervention, including the different ways to classify interventions and the criteria for choos- ing 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 interven- tions fail, the ethics of the implementation stage, client resistance, and strategies to sustain change.

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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 fund- ing was not available to provide a comprehensive program. The grant finally created the oppor- tunity 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 develop- ment. 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 avail- able 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 imple- mentation over the first 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 deter- mine the content of the leadership development academy. Based on Leah’s expertise in leadership development, her role was defined as part expert, part collaborative partner with James and his university. The project had a 2-year implementation time line, with the first year focused on plan- ning 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 undertak- ing 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 inter- vention 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 Jim Craigmyle/Corbis

The Public Health Leadership Academy kicks off after an extensive planning process.

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convened at a resort, and the program was kicked off by high-level state public health officials. The first 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 relation- ships. The academy met monthly for a year and focused on a range of topics related to leader- ship 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 implementa- tion. Chapter 4 introduced the first 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.

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Section 5.1Readiness 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 organi- zation’s perception that the change is necessary and achievable and that employees are willing to sup- port change efforts (McKay, Kunts, & Näswall, 2013). These variables signal readiness for change. Our understanding of change readiness emerged from the fields of health psychology and medical stud- ies (Block & Keller, 1998) and was later applied to organizations.

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Making a change, such as losing weight, is much easier than maintaining a change, such as staying at a new weight.

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 influential 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.

(continued)

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Section 5.1Readiness for Change

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 modifications 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).

Who Invented That? The Transtheoretical Model of Health Behavior Change (continued)

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 orga- nization for change.

Dimensions of Change Readiness

Dimensions of change readiness involve gauging readiness and understanding the dynamics of change.

Gauging Change Readiness Five dimensions influence the level of readiness to make changes (Hord & Roussin, 2013). The first 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

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Section 5.1Readiness for Change

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 defined in terms of new roles, procedures, and resources. Finally, the organization needs to prepare to let go of past practices and find a rea- sonable 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 benefits 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 man-

date and one-way communication. • Employees think this change will make a signifi-

cant difference and bring results. • Stakeholders are strong supporters of the

change. • There is shared responsibility and collective

trust for this change.

Scope and culture: Define 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 sensi- tive 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’ cur- rent workload.

• The change leaders serve as role models of the desired change.

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Section 5.1Readiness for Change

Readiness dimensions Readiness dimension indicators

Structure and coherence: Determine change leader- ship 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 identified 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., finances, 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 ini- tiatives/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 expecta- tions 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 & Rous- sin, 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 empha- sized, “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 capaci- ties to execute the necessary behaviors. Key to facilitating individual change is giving individuals choice and opportunities to influence the process and their environment. The stages of concern model (Hall & Hord, 1984, 2011) discussed in Chapter 2 pro- vides a framework for helping individuals address concerns related to change.

Table 5.2: Readiness for change (continued)

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Section 5.1Readiness for 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 interven- tion 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 con- necting 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 Influencing Readiness to Change

The client and the consultant can take steps to prepare the organization for change. The first is to clearly communicate the discrepancy between the status quo and the desired state. In Chapter 4 this discrepancy was defined 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’ confidence 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 sup- port 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 office and at home. Recy- cling 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 cre- ate 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 identifies 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 sev- eral stakeholders, including students and faculty, in evaluating new platforms and providing input in the final decision. By creating a shared vision for what the university desired in terms

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Section 5.1Readiness for Change

of technology, image, and learning experience, the OD intervention significantly 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 organiza- tion 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 diver- sity, 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 usu- ally 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 benefits 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 imple- mentation; 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-Efficacy 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 man- agement to show employees that they have the self-efficacy to adopt the change. For exam- ple, 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 profes- sional learning is a key way to build self-efficacy (Hord & Roussin, 2013). Implementing and sustaining change requires acquiring new knowledge, skills, and abilities. Such learning may boost employees’ confidence 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

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Section 5.1Readiness for Change

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 sup- port of individual learning efforts by funding them, providing in-house learning opportuni- ties, 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 train- ing and used the new platform the semester before it was officially 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 partici- pate in its planning and implementation.

Developing a Change Communication Strategy Management communication about the change is key during both the planning and implemen- tation phases. Communication not only informs and engages employees about the change, it also helps diminish resistance to it. Effective communication comes in many forms; manage- ment should take advantage of as many as possible by using media, meetings, and face-to-face interactions.

Communicating about the change has several benefits. 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 allevi- ate fears about how the change might negatively impact the organization, certain jobs, or indi- viduals. Effective communication will bolster employees’ confidence 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

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Section 5.2What Are OD Interventions?

of acceptance and understanding (Holt et al., 2007). Involving employees may also benefit 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 employ- ees 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 participa- tion 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 influenced by clear management communication and employee confidence 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 cli- ent 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).

Defining an Intervention

Interventions signify the point at which action is taken on an issue. They can happen through- out 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):

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Section 5.2What Are OD Interventions?

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 relation- ships; 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 inter- ventions. (pp. 145–146)

Interventions Disrupt the Status Quo Coghlan and Brannick (2010) viewed intervening as the point at which the actual change pro- cess 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 perfor- mance 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 defined a plan for the acad- emy 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 definition to emphasize three points:

• The first point, that “the system is ongoing,” suggests that any intervention represents an interruption or disruption to the flow of organization life. The intervention hap- pens in the midst of organization complexities such as politics, priorities, interper- sonal 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, mem- bers 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.

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Section 5.2What Are OD Interventions?

If we consider the Leadership Academy intervention in Argyris’s (2000) terms, it disrupted the flow 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 leader- ship 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 leader- ship 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 partici- pant, 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 first 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.

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Section 5.2What Are OD Interventions?

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.

Classification as Diagnostic or Confrontive Interventions vary in terms of their level, scope, duration, and strategy. The Leadership Acad- emy vignette focused on individual leaders, but it affected the leaders’ direct reports, groups, organizations, and the wider state public health agency. Schein (1988) classified interven- tions as either diagnostic or confrontive in terms of their timing and level of difficulty. Inter- ventions 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 difficulty:

1. Agenda-managed interventions. As the name indicates, agenda-managed interven- tions are concerned with helping the group or organization prioritize what to focus on; these interventions also examine its internal processes. Groups or organiza- tions 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 improv- ing actions and outcomes. Schein (1988) argued that something as simple as evalu- ating meetings significantly 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.

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Section 5.2What Are OD Interventions?

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 difficult messages with tact and diplomacy are key to these types of interven- tions. 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 accept- ing and acting on it as appropriate.

3. Coaching. When individuals and groups receive feedback, there is a natural inclina- tion to seek help in modifying behavior to facilitate the change process. Coaching has become a significant management trend in recent years (Feldman & Lankau, 2005). It involves helping people overcome behaviors that limit their ability to work effec- tively with others (Corbett, Ho, & Colemon, 2009). Coaching is a higher risk confron- tive intervention than agenda-managed interventions or confronting through feed- back 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 difficulty of execution (4). Structural interventions pertain to allocation of work, modification of communications, group membership, assignment of respon- sibility, and lines of authority. These types of changes, which are often called “reor- ganization,” are greeted with trepidation by most organization members. They are also the most difficult to implement and sustain and must be undertaken for the right reasons. Before resorting to restructuring, consultants should consider inter- ventions 1 through 3 to see if they sufficiently 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.

Classification by Level and Process Other theorists use other schemes for classifying OD interventions. McLean (2006), for exam- ple, classified 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 clas- sify OD interventions.

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Section 5.2What Are OD Interventions?

Table 5.3: OD intervention classifications

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 classification helps the OD consultant and client understand an intervention’s scope and focus, no one classification is necessarily “right,” because both levels and processes are fluid. Leadership interventions, for example, commonly fall under more than one classifica- tion. A leadership development program like the one described in the Leadership Academy vignette crosses the classifications of individual, team, organization, human process, human resource, and strategic, since potential leaders receive individual development that impacts their interactions with groups and influences 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 influences 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) classified 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 interoffice collaboration or conflict 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 classified according to French and Bell’s (1999) list as 1, 2, 5, 10, 11, 12, and likely others.

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Section 5.2What Are OD Interventions?

This Book’s OD Intervention Classification Regardless of how they are classified, each phase of action research builds toward making one or more intervention. This book uses three levels of intervention classification: 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 • Conflict 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 mak- ing 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 posi- tioned 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 exam- ple, 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.

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Section 5.2What Are OD Interventions?

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 difficult aspect of the implementation?

Anderson’s (2012) fourth consideration is the depth of the intervention. Less deep interven- tions are observable, whereas very deep interventions are more abstract. The following are Anderson’s depths, listed in order with some potential examples:

Tips and Wisdom

Cummings and Worley (2009) defined an effective intervention as one that fits 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?

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Section 5.3Implementing OD Interventions

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. “Implementa- tion 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 proj- ect 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 confidence 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.

• work content (tasks, skills, knowledge); • overt group issues (communication, decision making, or conflict); • 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) fifth consideration is to sequence activities to ensure optimal out- comes. Consultants need to make the best use of data; be highly effective, efficient, 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 classified in multiple ways, such as diagnostic, confron- tive, or by level or process. This book classifies 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 inter- vention on valid data, verifying the client’s free and informed choice to pro- ceed, and establishing the client’s commitment to learning and change.

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Section 5.3Implementing OD Interventions

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 find the

answer instead of giving the answer. • Mediate conflict as necessary.

Help the client modify and fine-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.

Bring together parts of the client system to address process issues (e.g., conflict, communication).

• Create an implementation task force that con- ducts 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 commu-

nication, 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 train- ing effort.

Work with managers to help them support the change process.

• Develop a means of communicating with manag- ers 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 regu- larly 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.

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Section 5.3Implementing OD Interventions

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 reflect 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 reflective practice.

Crises or reflection can jolt people into a learning mode as they build knowl- edge and understanding. This learning is often the catalyst for change. People may learn the competition is gain- ing 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 effective- ness. This section considers the role of learning in the action research pro- cess 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

JGI/Jamie Grill/Blend Images/Corbis

Learning is often stimulated by crisis or by reflect- ing on events and ideas.

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Section 5.3Implementing OD Interventions

change you made that did not require learning? Chances are you cannot, if you identified 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 pro- cess 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 man- agement system. Although it is a major change, the employees who have been wres- tling 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.

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1. HOLDING THE SPACE: Listen to what life calls you to do

suspending embodying

redirecting enacting

letting-go letting-come

2. OBSERVING: Attend with your mind wide open

3. SENSING: Connect with your heart

7. PERFORMING: Play the “Macro-Violin”

6. PROTOTYPING: Integrate head, heart, hand

5. CRYSTALLIZING: Access the power of intention

4. PRESENCING: Connect to the deepest source of your self and will

OPEN MIND

OPEN HEART

OPEN WILL

Who is my Self? What is my Work?

Section 5.3Implementing OD Interventions

A consultant’s job may well be to sell the OD effort and connect it with the neces- sary 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 conve- nience or survey them to find 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 learn- ing from the emerging future. They describe this new model of learning and leadership exten- sively 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: Otto Scharmer

1. HOLDING THE SPACE: Listen to what life calls you to do

suspending embodying

redirecting enacting

letting-go letting-come

2. OBSERVING: Attend with your mind wide open

3. SENSING: Connect with your heart

7. PERFORMING: Play the “Macro-Violin”

6. PROTOTYPING: Integrate head, heart, hand

5. CRYSTALLIZING: Access the power of intention

4. PRESENCING: Connect to the deepest source of your self and will

OPEN MIND

OPEN HEART

OPEN WILL

Who is my Self? What is my Work?

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Section 5.3Implementing OD Interventions

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 reflection and shifting away from the problem toward the desired future. Your role is to create activities that help clients reflect 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 particu- lar 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 fur- ther 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 reflective 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.

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Section 5.4Monitoring and Sustaining Change

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 find 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 figure 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.”

(continued)

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Section 5.4Monitoring and Sustaining Change

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 flaws inherent in the intervention design itself can contribute to failure. Table 5.6 identi- fies some of the reasons interventions fail, with tips for fixing them.

George and Brenda have a good working relationship, so they forge ahead and try to make the best of a difficult 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 find 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 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?

Case Study: Reorganization Resistance (continued)

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Section 5.4Monitoring and Sustaining Change

Table 5.6: Intervention failures and fixes

Failure Fix

1. The intervention attempted to solve the wrong problem.

• Ensure that phase 1 of the action research pro- cess 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 pro- cess 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 out- comes, and process to achieve them, an interven- tion is not ready to be implemented.

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 inter- vention 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 specified 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 first time.

7. The consultant was not skilled at implementing the intervention.

• Hire the right consultant. • Part ways with the consultant if you are not get-

ting 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 accountabil- ity 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 first so it can provide support to employees.

• Prepare employees for the change prior to implementation.

Source: Anderson, 2012, pp. 177–179.

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Section 5.4Monitoring and Sustaining Change

Implications of Failed Interventions Failed interventions have serious implications for the consultant and the organization (Ander- son, 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-efficacy and trust in his or her intuition. This same level of self-doubt can plague organi- zations 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 consultants and organizations if confidence in the process is not quickly restored.

Argyris (1970) notes that other impli- cations for failed interventions on the organization level include increased defensiveness against any change; dim- inished ability to cope through conflict resolution and productive communica- tions; waning energy to work on solv- ing the problem; increased frustration, stress, cynicism, and controlling behav- iors; 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 impor- tant 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 difficulty. 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 busi- ness as a consultant. If you lack evidence to support the need and appropriateness of an inter- vention, it is unethical to recommend it. It is also bad ethics to conspire with the client in ways

Digital Vision/Photodisc/Thinkstock

When interventions fail, the team must decide which steps to take next.

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Section 5.4Monitoring and Sustaining Change

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 chal- lenges 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 definition 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 defined as “an adherence to any atti- tudes 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 find 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.

Causes of Resistance Resistance to change might be caused by management’s dismissal of employee input or fail- ure 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).

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http://pluto.huji.ac.il/~oreg/questionnaire.php

Section 5.4Monitoring and Sustaining Change

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 find 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 solu- tions that resolve the concerns.

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 overconfidence, which fosters an unpreparedness for the difficult 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 difficult 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. Strate- gies that help sustain change include:

1. Communicate regularly about the change implementation. This could be via regu- lar 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.

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 flip 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.

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Section 5.4Monitoring and Sustaining 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 employ- ees 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.

Strategies to Defuse Challenges to Change During implementation a consultant will monitor the client for signs of low commitment, such as anger, hostility, objections, inflexibility with implemen- tation options, unwillingness to look at process issues, hidden agendas, delay- ing tactics, or failure to implement. To successfully make an intervention, there must be commitment and lead- ership from the top, individual com- petence, and adequate organization. When consultants observe signs of waning commitment, they will want to take action quickly. Faltering commit- ment will negatively affect learning and lasting change.

Senge and colleagues (1999) identified 10 challenges created by resistance to change that relate to initiating change, sustaining change momentum, and meeting the challenges of rede- signing and rethinking processes and procedures during and after the change. These are:

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.

sunstock/iStock/Thinkstock

Time must be made for change, and sustaining it takes additional time.

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Section 5.4Monitoring and Sustaining Change

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 flexibility 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 implement- ing 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 manage- ment. 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 per- ceptions 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 natu- rally breed confusion over new procedures and policies. Management can help by modeling patience, flexibility, 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 benefits.

Confusion about the purpose and benefit of the change in the bigger organization picture. Employees may not immediately link the change to organization strategy and purpose. Man- agement can help by showing how the change will benefit the business and its stakeholders.

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.

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Summary and Resources

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 flawed 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 indi-

viduals 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 influenced by clear management communication and employ- ees’ confidence 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 com- municated 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 classified in multiple ways, including diagnostic, confrontive,

level, or process. This book classifies 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 establish- ing 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 implementa- tion to active engagement in providing feedback, modifying the plan, and provid- ing needed training and support. The role the consultant plays will depend on how skilled the client is at leading and facilitating change.

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Summary and Resources

• 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, resis- tance, poor levels of management communication and support, and a flawed OD process that results in the wrong problem being solved, ambiguous goals, inade- quate 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 mis- representation, 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 employ- ees in monitoring the change, rewarding and recognizing employees who are com- mitted to the change effort, and providing the necessary learning and support.

Think About It! Reflective 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 consul- tant 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 reflect 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 inter- vention would be most appropriate (individual, group, and organizational)?

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Summary and Resources

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 specific 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 five 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- fied below. Apply its steps to a behavior change, organization change, or new learn- ing 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

Change Is Good. . .You Go First

https://www.youtube.com/watch?v=jwxrsngEJDw