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OC 6443
Change Leadership Methods and Models
Week 2
INQUIRY:
DIAGNOSIS;
ACTION
RESEARCH;
ACTION LEARNING
Diagnosis Defined
Diagnosis is a collaborative process
between organizational members and the
OD consultant to collect pertinent
information, analyze it, and draw
conclusions for action planning and
intervention.
SYSTEMS THEORY
What is a system?
A system is a set of objects or elements that interact to achieve a
specific goal .
A system is more than the sum of it's parts; it's properties emerge
from the relationship among it's parts and from the system's
relationship to its environment
Systems are arranged hierarchically, so every system is a super
system for systems contained within it and a subsystem for
systems containing it
All systems are more or less similar
? What do systems do?
? The function of a system is to convert information, energy, or
materials into a planned outcome or product for use within
the system, outside the system or both.
Types of systems
? Systems differ from each other related to degree of selfsufficiency, complexity, and adaptability.
? Closed systems have fixed relationships among system
components and no interaction with the environment. Not really
of concern to IT.
? Open systems interact with their environment, have dynamic
interaction of components, and can be self-regulating.
? Human organizations are open systems; boundaries are
permeable, continually engage in importing, transforming, and
exporting matter, energy, information, and people; Human
organisations are at the high end of the complexity scale due to
these characteristics.
What are the basic elements of
any system?
?
?
?
?
?
?
?
goal
environment
control
input
process
output
feedback.
Systems Theory
? Synergy
? Interdependence
? Interconnections
? within the organization
? between the organization and the environment
? Organization as ORGANISM
? ?A set of elements standing in interrelations?
The Organization as an Open System
Input Stage
Conversion
Stage
Output
Stage
Raw
Materials
Machines
Goods
Services
Human skills
Sales of outputs
Firm can then buy inputs
The Learning Organization
? Adaptive (single-loop) Learning
? Involves coping with a situation
? Limited by the scope of current organizational
assumptions
? Occurs when a mismatch between action and outcome
is corrected without changing the underlying values of
the system that enabled the mismatch.
? Generative (double-loop) Learning
? Moves from COPING to CREATING an improved
organizational reality
? Necessary for eventual survival of the organization
? Both are Central Features of the Model of the
Communicative Organization
? Synergy and Nonsummativity are Important
The Learning Organization
? Through communication, teams are able to learn
more than individuals operating alone.
? Critics argue that teams inhibit learning
? Thoughts?
? Leadership is a key element in creating and
sustaining a learning organization.
? Leaders are responsible for promoting an
atmosphere conducive to learning
? CREATIVE TENSION
? Represents difference between the ?vision? of where the
organization could be and the reality of the current
organizational situation.
Impediments to Learning
Organization
? Complexity of the Environment
? Difficult to determine cause and effect
? Multiple contributing elements in complex
environments
? Internal Conflicts
? Individuals, teams, departments, and subcultures are
often at odds
? Energy is drained by conflict
? Organization members must be trained in
communication and conflict-negotiation skills
Conclusion
? The importance of studying the organization?s
external environment became clear in the
1960s.
? A main focus of such research was to find
methods to help managers improve the ways
they use organizational resources and compete
successfully in the global environment.
Organizational
Diagnosis
Open Systems Model
Environment
Inputs
? Information
? Energy
? People
Transformations
? Social Component
? Technological
Component
Feedback
Outputs
? Goods
? Services
? Ideas
Key Features of the Model
? Environments affect inputs, internal
operations, & outputs
? Organizational inputs can be used as
inputs for maintenance and growth
? Organizations are influenced by
members as well as environments
? System elements are interrelated and
influence each other
Key Feature, Continued
? Organizations are constantly changing
? Organizational success depends on ability
to adapt to or to final a favorable
environment, tie people into their
organizational roles, and manage
operations
? Any level or unit within an organization
can be viewed as a system
Organization-Level
Diagnostic Model
Inputs
Outputs
Design Components
Technology
Strategy
Structure
HR
Systems
Measurement
Systems
Culture
Industry
Structure
Organization
Effectiveness
General
Environment
Model for Organizational Diagnosis
Inputs
Strategic
Orientation
Outputs
General
Environment
Strategy
Organizational
Performance
Industry
Structure
Organizational Productivity
Design
Stakeholder
Satisfaction
Key Alignment Questions
? Do the Design Components fit with the
Inputs?
? Are the Design Components internal
consistent? Do they fit and mutually
support each other?
Organization-Level Inputs
? General Environment
? External forces that can directly or indirectly
affect the attainment of organizational
objectives
? Social, technological, ecological, economic,
and political factors
? Industry Structure
? External forces (task environment) that can
directly affect the organization
? Customers, suppliers, substitute products,
new entrants, and rivalry among competitors
Organization Design Components
? Strategy
? the way an organization uses its resources
(human, economic, or technical) to gain and
sustain a competitive advantage
? Structure
? how attention and resources are focused on
task accomplishment
? Technology
? the way an organization converts inputs into
products and services
Organization Design Components
? Human Resource Systems
? the mechanisms for selecting, developing,
appraising, and rewarding organization
members
? Measurement Systems
? methods of gathering, assessing, and
disseminating information on the activities of
groups and individuals in organizations
Organization Design Components
? Organization Culture
? The basic assumptions, values, and norms
shared by organization members
? Represents both an ?outcome? of organization
design and a ?foundation? or ?constraint? to
change
Outputs
? Organization Performance
? e.g., profits, profitability, stock price
? Productivity
? e.g., cost/employee, cost/unit, error rates,
quality
? Stakeholder Satisfaction
? e.g., market share, employee satisfaction,
regulation compliance
Data for Organizational Level
Diagnosis
?
?
?
?
?
?
?
Environmental data
Industry structure data
Goals & strategies
Organizational design & structure
Organizational performance
Productivity
Stakeholder satisfaction
The Process
Diagnosis is cyclical process involving:
? Data gathering.
? Identification of
problem areas.
? Interpretation.
? Potential action
programs.
Steps in Diagnosis
Step 1: Tentative problem identified.
Step 2: Collect data.
Step 3: Analyze data.
Step 4: Feedback data.
Step 5: More data needed?
Step 6: Problem areas identified.
Step 7: Is client motivated?
Step 8: Diagnosis and work on problem.
Step 9: Monitor and assess results.
Types of Data-Gathering
Methods
1. Secondary sources.
?
Organization and industry data.
2. Employee surveys or questionnaires.
?
?
Useful with a large number of people.
Data may lack ?richness.?
3. Direct observation.
?
Observing how people go about tasks.
4. Interviews.
?
?
?
?
Direct, personal, and flexible.
One of most widely used methods.
Directed interview.
Nondirected interview.
Analysis of Data
? Techniques used to analyze data.
? Dictated by method used to gather data.
? Type of analysis decided prior to data
collection.
Guidelines for Evaluating
Effectiveness of Data
Collection
?
?
?
?
?
Validity of data.
Time to collect data.
Cost of data collection.
Organization culture and norms.
Hawthorne effect in data collecting.
Diagnostic Models
? Models may be used to:
? Analyze structure, culture, and behavior of
organization.
? Models play a critical role.
? Provide conceptual framework to
understand organization.
Warning Signs in Diagnosis
?
?
?
?
?
?
Confidentiality of data.
Over-diagnosis.
Crisis diagnosis.
Threatening and overwhelming diagnosis.
Practitioner?s favorite diagnosis.
Diagnosis of symptoms, not problems.
Action
Research/Learning
Action Research
What is Action Research?
? Definition
? Action research is known by many other names,
including participatory research, collaborative inquiry,
emancipatory research, action learning, and
contextual action research, but all are variations on a
theme.
? Put simply, action research is ?learning by doing? - a
group of people identify a problem, do something to
resolve it, see how successful their efforts were, and
if not satisfied, try again.
? While this is the essence of the approach, there are
other key attributes of action research that
differentiate it from common problem-solving
activities that we all engage in every day.
Simple Action Research Model
Detailed Action Research Model
Action Research Model
Problem Identification
Consultation with a
behavioral scientist
Joint diagnosis
Joint action planning
Data gathering &
preliminary diagnosis
Action
Feedback to Client
Data gathering after
action
Principles of Action Research
? What gives action research its unique flavor is
the set of principles that guide the research.
? Winter (1989) provides a comprehensive
overview of six key principles.
? Reflexive critique
? An account of a situation, such as notes, transcripts or official
documents, will make implicit claims to be authoritative, i.e.,
it implies that it is factual and true.
? Dialectical critique
? Phenomena are conceptualized in dialogue, therefore a
dialectical critique is required to understand the set of
relationships both between the phenomenon and its context,
and between the elements constituting the phenomenon.
? Collaborative Resource
? The principle of collaborative resource presupposes that each
person?s ideas are equally significant as potential resources
for creating interpretive categories of analysis, negotiated
among the participants.
? Risk
? The change process potentially threatens all previously established
ways of doing things, thus creating psychic fears among the
practitioners.
? Initiators of action research will use this principle to allay others?
fears and invite participation by pointing out that they, too, will be
subject to the same process, and that whatever the outcome,
learning will take place.
? Plural Structure
? The nature of the research embodies a multiplicity of views,
commentaries and critiques, leading to multiple possible actions
and interpretations.
? This means that there will be many accounts made explicit, with
commentaries on their contradictions, and a range of options for
action presented.
? Theory, Practice, Transformation
? For action researchers, theory informs practice, practice refines
theory, in a continuous transformation.
When is Action Research used?
? Action research is used in real situations, rather than in
contrived, experimental studies, since its primary focus
is on solving real problems.
? It can, however, be used by social scientists for
preliminary or pilot research, especially when the
situation is too ambiguous to frame a precise research
question.
? Mostly, though, in accordance with its principles, it is
chosen when circumstances require flexibility, the
involvement of the people in the research, or change
must take place quickly or holistically.
When used (Cont?d)?
? It is often the case that those who apply this approach
are practitioners who wish to improve understanding of
their practice,
? social change activists trying to mount an action
campaign, or, more likely,
? academics who have been invited into an organization
(or other domain) by decision-makers aware of a
problem requiring action research, but lacking the
requisite methodological knowledge to deal with it.
Current Types of Action Research
? By the mid-1970s, the field had evolved,
revealing 4 main ?streams? that had emerged:
? traditional,
? contextural (action learning),
? radical, and
? educational action research.
Traditional Action Research
? Traditional Action Research stemmed from Lewin?s work within
organizations and encompasses the concepts and practices of
Field Theory, Group Dynamics, T-Groups, and the Clinical Model.
? The growing importance of labor-management relations led to
the application of action research in the areas of Organization
Development, Quality of Working Life (QWL), Socio-technical
systems (e.g., Information Systems), and Organizational
Democracy.
? This traditional approach tends toward the conservative,
generally maintaining the status quo with regards to
organizational power structures.
Contextural Action Research (Action
Learning)
? Contextural Action Research, also sometimes referred to as
Action Learning, is an approach derived from Trist?s work on
relations between organizations.
? It is contextural, insofar as it entails reconstituting the structural
relations among actors in a social environment; domain-based,
in that it tries to involve all affected parties and stakeholders;
holographic, as each participant understands the working of the
whole; and it stresses that participants act as project designers
and co-researchers.
? The concept of organizational ecology, and the use of search
conferences come out of contextural action research, which is
more of a liberal philosophy, with social transformation
occurring by consensus and normative incrementalism.
Radical Action Research
? The Radical stream, which has its roots in Marxian
?dialectical materialism? and the praxis orientations of
Antonio Gramsci, has a strong focus on emancipation
and the overcoming of power imbalances.
? Participatory Action Research, often found in
liberationist movements and international
development circles, and Feminist Action Research
both strive for social transformation via an advocacy
process to strengthen peripheral groups in society.
Educational Action Research
? A fourth stream, that of Educational Action Research, has its
foundations in the writings of John Dewey, the great American
educational philosopher of the 1920s and 30s, who believed that
professional educators should become involved in community
problem-solving.
? Its practitioners, not surprisingly, operate mainly out of
educational institutions, and focus on development of curriculum,
professional development, and applying learning in a social
context.
? It is often the case that university-based action researchers work
with primary and secondary school teachers and students on
community projects.
Action Research Sites
? http://www.web.net/~robrien/papers/arfinal.html#
_Toc26184654
? http://carbon.cudenver.edu/~mryder/itc/act_res.htm
l
? http://carbon.cudenver.edu/~mryder/coss.html#arr
? http://carbon.cudenver.edu/~mryder/itc/pract_res.h
tml
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